Acceptance and Agreement. The business relationship between the Client and NRP Finans is regulated by the Norwegian Securities Act with regulations and guidelines, other relevant legislation, specific agreements between the NRP Finans and the Client, and NRP Finans’ prevailing general business terms and conditions. ▪ General business terms and conditions; ▪ Information regarding Client classification; ▪ NRP Finans’ prevailing guidelines for Order execution; ▪ Risks related to trading in/of financial instruments; and ▪ Risks related to financial instruments and shares in ANS, KS and IS partnerships arranged by NRP Finans AS. ▪ NRP Finans Privacy Statement The above listed documents are available from the NRP Finans’ website (English): xxxx://xxx.xxx-xxxxxx.xx/Compliance/. The English versions are translations of the Norwegian documents. In case of discrepancies in wordings or interpretation between the Norwegian and the English version, the Norwegian version shall prevail. The Norwegian versions are available from the NRP Finans’ website: xxxx://xxx.xxx-xxxxxx.xx/Compliance/. • that NRP Finans can file and store, and handle personal data which the Client has provided in accordance with the prevailing data protecting regulation, including NRP Finans Privacy Statement; • that NRP Finans can exchange information the Company has compiled herein and registered, with other companies owned by Ness, Risan & Partners; • that information provided by the Client may be forwarded to third parties, including but not limited to state and local authorities and financial institutions, for the purpose of complaints handling, Anti-Money Laundering purposes and in order to meet NRP Finans’ legal obligations; • that general information, not directed to the client personally, may be provided on Ness, Risan & Partners’ website xxx.xxx.xx if deemed appropriate medium; • that the Client accepts to receive contract note(s) and other personal information via e-mail or electronically in NRP InvestorPortal; • to receive Suitability Declarations, when applicable, electronically in NRP InvestorPortal subsequent to the execution of a transaction; • to waive the right to postpone a transaction until the Suitability Declaration has been received; • that NRP Finans can collect client credit information from third parties that offer such services; and perform own and independent enquires about the Client (“Due diligence”); • that the client is obligated to give NRP Finans immediate notice of any changes to information given, including but not limited to post and e-mail addresses, bank accounts, tax jurisdictions, beneficial owners, including mergers and demergers involving the Client. • That failing to comply to notify NRP Finans as stated in the bullet point above, may incur liabilities and costs for the Client, if and when such failure to comply result in expenses and/or extra workload beyond what is expected, for any company or employee in the NRP Group. Enclosure 1 – AML Client Statement YES YES Enclosure 2 – Request for Access to NRP InvestorPortal NO YES Enclosure 3 – FATCA/CRS Self Certification For non- norwegian Clients: YES YES Verified copy of valid Passport: YES Proof of bank account holder For non- norwegian Clients: YES Note that the Client Agreement and Enclosures (incl. Enclosure 3 if applicable) must be signed by the Client. Verified copies of Passports and other Enclosures listed above must be provided directly from the entity and persons that verify the copies. Verified copies may be sent by post to the address stated in section 1 or to xxxxxxxxxx@xxx.xx.
Appears in 2 contracts
Samples: Client Agreement for Provision of Investment Services, Client Agreement for Provision of Investment Services
Acceptance and Agreement. The business relationship between the Client and NRP Finans is regulated by the Norwegian Securities Act with regulations and guidelines, other relevant legislation, specific agreements between the NRP Finans and the Client, and NRP Finans’ prevailing general business terms and conditions. ▪ General business terms and conditions; ▪ Information regarding Client classification; ▪ NRP Finans’ prevailing guidelines for Order execution; ▪ Risks related to trading in/of financial instruments; and ▪ Risks related to financial instruments and shares in ANS, KS and IS partnerships arranged by NRP Finans AS. ▪ NRP Finans Privacy Statement The above listed documents are available from the NRP Finans’ website (English): xxxx://xxx.xxx-xxxxxx.xx/Compliance/. The English versions are translations of the Norwegian documents. In case of discrepancies in wordings or interpretation between the Norwegian and the English version, the Norwegian version shall prevail. The Norwegian versions are available from the NRP Finans’ website: xxxx://xxx.xxx-xxxxxx.xx/Compliance/. • that NRP Finans can file and store, and handle personal data which the Client has provided in accordance with the prevailing data protecting regulation, including NRP Finans Privacy Statement; • that NRP Finans can exchange information the Company has compiled herein and registered, with other companies owned by Ness, Risan & Partners; • that information provided by the Client may be forwarded to third parties, including but not limited to state and local authorities and financial institutions, for the purpose of complaints handling, Anti-Money Laundering purposes and in order to meet NRP Finans’ legal obligations; • that general information, not directed to the client personally, may be provided on Ness, Risan & Partners’ website xxx.xxx.xx if deemed appropriate medium; • that the Client accepts to receive contract note(s) and other personal information via e-mail or electronically in NRP InvestorPortal; • to receive Suitability Declarations, when applicable, electronically in NRP InvestorPortal subsequent to the execution of a transaction; • to waive the right to postpone a transaction until the Suitability Suuitability Declaration has been received; received • that NRP Finans can collect client credit information from third parties that offer such services; and perform own and independent enquires about the Client (“Due diligence”); • that the client is obligated to give NRP Finans immediate notice of any changes to information given, including but not limited to post and e-mail addresses, bank accounts, tax jurisdictions, beneficial owners, including mergers and demergers involving the Client. • That failing to comply to notify NRP Finans as stated in the bullet point above, may incur liabilities and costs for the Client, if and when such failure to comply result in expenses and/or extra workload beyond what is expected, for any company or employee in the NRP Group. Enclosure 1 – AML Client Statement YES YES Enclosure 2 – Request for Access to NRP InvestorPortal NO YES Enclosure 3 – FATCA/CRS Self Certification For non- norwegian Clients: YES YES Verified copy of valid Passportidentification: YES Proof of bank account holder For non- norwegian Clients: YES Note that the Client Agreement and Enclosures (incl. Enclosure 3 if applicable) must be signed by the Client. Verified copies of Passports and other Enclosures listed above must be provided directly from the entity and persons that verify the copies. Verified copies may be sent by post to the address stated in section 1 or to xxxxxxxxxx@xxx.xx.YES
Appears in 1 contract
Samples: Client Agreement for Provision of Investment Services
Acceptance and Agreement. The business relationship between the Client and NRP Finans PF is regulated by the Norwegian Securities Act with regulations and guidelines, other relevant legislation, specific agreements between the NRP Finans PF and the Client, and NRP Finans’ PF’s prevailing general business terms and conditions. ▪ General business terms and conditions; ▪ Information regarding Client classification; ▪ NRP Finans’ PF’s prevailing guidelines for Order execution; ▪ Risks related to trading in/of financial instruments; and ▪ Risks related to financial instruments and shares in ANS, KS and IS partnerships arranged by NRP Finans PF AS. ; ▪ NRP Finans PF Privacy Statement Statement. The above listed documents are available from the NRP Finans’ PF’s website (English): xxxx://xxx.xxx-xxxxxx.xx/Compliance/. xxxxx://xxx.xx/Compliance/. The English versions are translations of the Norwegian documents. In case of discrepancies in wordings or interpretation between the Norwegian and the English version, the Norwegian version shall prevail. The Norwegian versions are available from the NRP Finans’ website: xxxx://xxx.xxx-xxxxxx.xx/Compliance/. PF’s website xxxxx://xxx.xx/Compliance/. • that NRP Finans PF can file and file, store, and handle personal data which the Client has provided in accordance with the prevailing data protecting regulation, including NRP Finans Privacy Statement; • that NRP Finans PF can exchange information the Company has compiled herein and registered, with other companies owned by Ness, Risan & Partners; • that information provided by the Client may be forwarded to third parties, including but not limited to state and local authorities and financial institutions, for the purpose of complaints handling, Anti-Money Laundering purposes and in order to meet NRP Finans’ PF’s legal obligations; • that general information, not directed to the client personally, may be provided on NessXxxx, Risan Xxxxx & Partners’ website xxx.xxx.xx if deemed appropriate medium; • that the Client accepts to receive contract note(s) and other personal information via e-mail or electronically in NRP InvestorPortal; • to receive Suitability Declarations, when applicable, electronically in NRP InvestorPortal subsequent to the execution of a transaction; • to waive the right to postpone a transaction until the Suitability Declaration has been received; • that NRP Finans PF can collect client credit information from third parties that offer such services; and perform own and independent enquires about the Client (“Due diligence”); • that the client Client is obligated to give NRP Finans PF immediate notice of any changes to information given, including but not limited to post and e-mail addresses, bank accounts, tax jurisdictions, beneficial owners, including mergers and demergers involving the Client. • That failing to comply to notify NRP Finans PF as stated in the bullet point above, may incur liabilities and costs for the Client, if and when such failure to comply result in expenses and/or extra workload beyond what is expected, for any company or employee in the NRP Group. Enclosure 1 – AML Client Statement YES YES Enclosure 2 – Request for Access to NRP InvestorPortal NO YES Enclosure 3 – FATCA/CRS Self Certification For non- norwegian Clients: YES YES Verified copy of valid Passport: YES Proof of bank account holder For non- norwegian Clients: YES Note that the Client Agreement and Enclosures (incl. Enclosure 3 if applicable) must be signed by the Client. Verified copies of Passports and other Enclosures listed above must be provided directly from the entity and persons that verify the copies. Verified copies may be sent by post to the address stated in section 1 or to xxxxxxxxxx@xxx.xx.
Appears in 1 contract
Samples: Client Agreement for Provision of Investment Services
Acceptance and Agreement. The business relationship between the Client and NRP Finans PF is regulated by the Norwegian Securities Act with regulations and guidelines, other relevant legislation, specific agreements between the NRP Finans PF and the Client, and NRP Finans’ PF’s prevailing general business terms and conditions. ▪ General business terms and conditions; ▪ Information regarding Client classification; ▪ NRP Finans’ PF’s prevailing guidelines for Order execution; ▪ Risks related to trading in/of financial instruments; and ▪ Risks related to financial instruments and shares in ANS, KS and IS partnerships arranged by NRP Finans ASPF. ▪ NRP Finans NRP’s Privacy Statement The above listed documents are available from the NRP Finans’ website (English): xxxx://xxx.xxx-xxxxxx.xx/Compliance/. xxxxx://xxx.xx/Compliance/ The English versions are translations of the Norwegian documents. In case of discrepancies in wordings or interpretation between the Norwegian and the English version, the Norwegian version shall prevail. The Norwegian versions are available from the NRP Finans’ website: xxxx://xxx.xxx-xxxxxx.xx/Compliance/. xxxxx://xxx.xx/Compliance/. • that NRP Finans PF can file and file, store, and handle personal data which the Client has provided in accordance with the prevailing data protecting regulation, including NRP Finans PF Privacy Statement; • that NRP Finans PF can exchange information the Company has compiled herein and registered, with other companies owned by Ness, Risan & Partners; • that information provided by the Client may be forwarded to third parties, including but not limited to state and local authorities and financial institutions, for the purpose of complaints handling, Anti-Money Laundering purposes and in order to meet NRP Finans’ PF’s legal obligations; • that general information, not directed to the client Client personally, may be provided on Ness, Risan & Partners’ website xxx.xxx.xx xxxx://xxx.xxx.xx/ if deemed appropriate medium; • that the Client accepts to receive contract note(s) and other personal information via e-mail or electronically in NRP InvestorPortal; • to receive Suitability Declarations, when applicable, electronically in NRP InvestorPortal subsequent to the execution of a transaction; • to waive the right to postpone a transaction until the Suitability Declaration has been received; • that NRP Finans PF can collect client credit information from third parties that offer such services; and perform own and independent enquires enquiries about the Client (“”Due diligence”); • that the client Client is obligated to give NRP Finans PF immediate notice of any changes to information given, including but not limited to post and e-mail addresses, bank accounts, tax jurisdictions, beneficial owners, including mergers and demergers involving the Client. ; • That that failing to comply to notify NRP Finans PF as stated in the bullet point above, may incur liabilities and costs for the Client, if and when such failure to comply result in expenses and/or extra workload beyond what is expected, for any company or employee in the NRP Group. Enclosure 1 – AML Client Statement YES YES Enclosure 2 – Request for Access to NRP InvestorPortal NO YES Enclosure 3 – FATCA/CRS Self Certification Declaration For non- norwegian Non- Norwegian Clients: YES YES Enclosure 4 – For Legal Entities that are Trusts, Foundations, Endowments etc.: Enclosure 4 is not provided in the basic Client Agreement and will be forwarded to Clients upon request to + 47 22 04 81 59 or xxx@xxx.xx For Trusts etc.: YES YES Verified copy of valid Passport: Passports of Contact Persons (re section 5.2) and all Beneficial Owners (re Enclosure 1) YES Certificate of incorporation, not older than 3 months old YES Financial Statements Subject to section 5.3. Proof of bank account holder For non- norwegian Clients: Norwegian Clients YES Note that the Client Agreement and Enclosures (incl. Enclosure 3 if and 4 where applicable) must be signed by the ClientClient and its duly authorized representative. Verified copies of Passports and other Enclosures listed above must be provided directly from the entity and persons that verify the copies. Verified copies may be sent by post to the address stated in section 1 or to xxxxxxxxxx@xxx.xx.
Appears in 1 contract
Samples: Client Agreement for Provision of Investment Services
Acceptance and Agreement. The business relationship between the Client and NRP Finans is regulated by the Norwegian Securities Act with regulations and guidelines, other relevant legislation, specific agreements between the NRP Finans and the Client, and NRP Finans’ prevailing general business terms and conditions. ▪ General business terms and conditions; ▪ Information regarding Client classification; ▪ NRP Finans’ prevailing guidelines for Order execution; ▪ Risks related to trading in/of financial instruments; and ▪ Risks related to financial instruments and shares in ANS, KS and IS partnerships arranged by NRP Finans AS. ▪ NRP Finans Privacy Statement The above listed documents are available from the NRP Finans’ website (English): xxxx://xxx.xxx-xxxxxx.xx/Compliance/. The English versions are translations of the Norwegian documents. In case of discrepancies in wordings or interpretation between the Norwegian and the English version, the Norwegian version shall prevail. The Norwegian versions are available from the NRP Finans’ website: xxxx://xxx.xxx-xxxxxx.xx/Compliance/. • that NRP Finans can file and store, and handle personal data which the Client has provided in accordance with the prevailing data protecting regulation, including NRP Finans Privacy Statement; • that NRP Finans can exchange information the Company has compiled herein and registered, with other companies owned by Ness, Risan & Partners; • that information provided by the Client may be forwarded to third parties, including but not limited to state and local authorities and financial institutions, for the purpose of complaints handling, Anti-Money Laundering purposes and in order to meet NRP Finans’ legal obligations; • that general information, not directed to the client personally, may be provided on Ness, Risan & Partners’ website xxx.xxx.xx if deemed appropriate medium; • that the Client accepts to receive contract note(s) and other personal information via e-mail or electronically in NRP InvestorPortal; • to receive Suitability Declarations, when applicable, electronically in NRP InvestorPortal subsequent to the execution of a transaction; • to waive the right to postpone a transaction until the Suitability Declaration has been received; • that NRP Finans can collect client credit information from third parties that offer such services; and perform own and independent enquires about the Client (“Due diligence”); • that the client is obligated to give NRP Finans immediate notice of any changes to information given, including but not limited to post and e-mail addresses, bank accounts, tax jurisdictions, beneficial owners, including mergers and demergers involving the Client. • That that failing to comply to notify NRP Finans as stated in the bullet point above, may incur liabilities and costs for the Client, if and when such failure to comply result in expenses and/or extra workload beyond what is expected, for any company or employee in the NRP Group. Enclosure 1 – AML Client Statement YES YES Enclosure 2 – Request for Access to NRP InvestorPortal NO YES Enclosure 3 – FATCA/CRS Self Certification For non- norwegian Clients: YES YES Verified copy of valid Passport: YES Proof of bank account holder For non- norwegian Clients: YES Note that the Client Agreement and Enclosures (incl. Enclosure 3 if applicable) must be signed by the Client. Verified copies of Passports and other Enclosures listed above must be provided directly from the entity and persons that verify the copies. Verified copies may be sent by post to the address stated in section 1 or to xxxxxxxxxx@xxx.xx.
Appears in 1 contract
Samples: Client Agreement for Provision of Investment Services