The investment objective and remuneration for such account would be determined based on the requirements of both parties.
Open the prospectus (this really is good for you) and find the Investment Objective section and read it.
Our primary investment objective is wealth preservation, but income generation does play a major role in determining our allocation.
In fact, certain UBS customers with a primary investment objective of income held Non-Traditional ETFs for periods of several months.
FORBES: UBS To Pay Nearly Nearly $2 Million ETF Fine and Restitution
Certain UBS registered representatives also made unsuitable recommendations of Non-Traditional ETFs to certain customers with a primary investment objective of income.
FORBES: UBS To Pay Nearly Nearly $2 Million ETF Fine and Restitution
Boston says she told the adviser that they had a "conservative and moderate" appetite for risk, with "income" as their investment objective.
The investment objective and business of the partnership were particularly poorly defined.
FORBES: Anatomy of (Yet Another) Hedge Fund Fraud (June 1, 2001)
In seeking to achieve its investment objective, the Fund will invest in senior secured loans, high yield corporate bonds and investment grade-rated collateralized loan obligations.
FORBES: Ares Announces $320 million IPO of Ares Dynamic Credit Allocation Fund
The Company plans to invest the net proceeds of the offering in accordance with its investment objective, which is to generate attractive risk-adjusted returns for investors by originating loans to privately held small-cap companies across a broad range of industries, and for general corporate purposes.
Many of the trustees we met boasted of the low fees their funds paid their investment consultants for supposedly objective investment advice regarding asset allocation and manager selection.
FORBES: The Long Overdue Florida Public Pension Clean-Up (November 21, 2007 )
First, pensions are unwilling to pay much for objective investment consulting advice.
FORBES: Freakonomics: The Hidden Side of Managing Money ( September 2, 2005 )
Apparently, in consideration of those factors, the respondents alleged that they had created a 5 to 10-year investment program with the objective of producing slightly more than the targeted income.
FORBES: Citigroup Broker Exonerated In $2.5 Million Great Recession Case
The addendum to my report sent to the SEC indicated that my client, Mr. Christopher Tobe, a former trustee of the Kentucky Retirement System, had recently received substantial information from an international labor union, Unite Here, indicating that a real estate investment consultant retained by KRS to provide objective advice to the pension received compensation from real estate investment managers it recommended, including placement agent fees.
FORBES: Kentucky Retirement System Whistleblower Sends Unite Here Union Report to SEC
Not surprisingly, the firms that offer truly objective evaluations of investment products make very little money, as compared to investment firms.
FORBES: Pension Consultant Conflicts of Interests (April 1, 2002 )
As a leading expert in investment management personal trading, who has testified before Congress on personal trading abuses, it is my objective (gratis) opinion that investment staff should be compelled to fully disclose all their personal holdings, including alternative investments in order to protect taxpayers and participants in the fund.
You are much more likely to get objective advice from a Register Investment Advisor than a sales person.
Finally, pensions must be persuaded that in order to receive objective expert advice, they must pay investment consultants substantially more.
FORBES: The Future of the Consulting Industry Speech, (September 19, 2005)
The objective is to determine a safe assumption for investment returns, and a safe level of income or withdrawals from savings each year to sustain a desired lifestyle the rate at which it is safe to withdraw golden eggs from the goose.
FORBES: Managing Your Retirement Fund In A Secular Bear Market
If economic growth is the objective, the money should be left in private hands for saving and investment.
FORBES: Republicans Mislead Their Base With Handwringing Over Sequester Defense Cuts
As a result of his role as an objective guide, the consultant arguably exerts the greatest degree of influence over the investment process.
FORBES: Compelling Pension Consultant Disclosure (June 1, 2002 )
But boomer investors don't just want investment advice and options that are easy to understand--they increasingly want them to be objective, too.
We are also committed to working together to develop high standard trade and investment rules in the region and promote regional economic integration, consistent with the long-term objective of the APEC economies to develop a Free Trade Area of the Asia-Pacific (FTAAP).
Too many stopped providing objective stock research to investors long ago, instead spending the bulk of their time helping woo investment-banking business.
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