Related and Connected Issuers

Richardson Wealth may sometime trade in or advise clients about securities of issuers to which the Richardson Wealth or certain other parties related to Richardson Wealth, is related or connected.

An issuer of securities is “related” to us if, through the ownership of, or direction or control over voting securities:

  • Richardson Wealth may control that issuer,
  • that issuer may control the Ricardson Wealth, or
  • the same third party may control both the issuer and the Richardson Wealth.

An issuer is “connected” to us if, due to indebtedness or other relationships, a reasonable prospective purchaser of securities of the connected issuer might question the our independence from the issuer.

Richardson Wealth will ensure that any dealings in securities of related or connected issuers in your account will comply with the investment objectives, guidelines, restrictions and other applicable provisions of your Investment Policy Statement, Richardson Wealth’s Relationship Disclosure and Terms & Conditions Booklet, and other account agreements.

Please see (PDF) of Related and Connected Issuers