ADDITIONAL RISK DISCLOSURE STATEMENT Sample Clauses

ADDITIONAL RISK DISCLOSURE STATEMENT. If your Customer Financial Questionnaire reflects one or more of the following:
Sample 1
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ADDITIONAL RISK DISCLOSURE STATEMENT. This Statement is made in compliance with the rules of the Securities and Investments Board because you have authorised your broker to deal with or for you in futures, options or contracts for differences which are not undertaken under the rules of a recognised or designated investment exchange and in contracts traded thereon. Its purpose is to warn you of the risks, additional to those referred to in the General Risk Disclosure Statement, inherent in such dealings.
Sample 1
ADDITIONAL RISK DISCLOSURE STATEMENT. ACCOUNT NAME: ACCOUNT NUMBER: • You do not have more than one year of commodities investment experience, and • Your annual income is less than $50,000 or your net worth is less than $50,000. You should therefore be aware of additional risk disclosures before you open a commodity futures and options trading account. Trading futures involves a high level of risk. A relatively small market movement can cause you to lose all of the funds you have deposited, and you will still be liable for any deficit in your account. IF YOU DO NOT FULLY UNDERSTAND YOUR TRADING STRATEGY, OR IF YOU CANNOT AFFORD TO LOSE ALL OF THE FUNDS YOU HAVE DEPOSITED (AND POSSIBLY MORE), THEN FUTURES TRADING IS TOO RISKY FOR YOU. ACKNOWLEDGEMENT: I understand the financial risks involved in commodity futures and options trading and I wish to proceed with opening an account. Signature: Date: Joint Signature: (if applicable) Date: Please be advised that I hereby direct you to close my account, and transfer my account balance to Clear Chicago Group using the wiring instructions below. Bank of America, New York ABA Routing Number: 000000000 000 00xx Xxxxxx Xxxx New York, New York 10001 Bank Telephone: (000) 000-0000 Credit: Clear Chicago Group Customer Segregated Account Account Number: 0000 0000 0000 Current Firm Information: Firm Name: Firm Address: Your account number with firm: Print Name (s): Signature (s): Date:
Sample 1
ADDITIONAL RISK DISCLOSURE STATEMENT. It is your responsibility to carefully read all the documents and risk disclosure statements of ODM. You acknowledge that trading futures, options, foreign exchange and/or contract for difference (CFD) and/or Precious Metals trading account with ODM involves a high risk of loss, Since leverage is involved, these losses can be quite substantial and occurs quite quickly, possibly exceeding the funds you have deposited in your account or have allocated as risk capital. You should disregard any suggestions from any source whatsoever that the foregoing risks can be limited, minimized or eliminated. You agree to immediately report any statements to the contrary made to you by ODM’s personnel, introducing Brokers or Trading Advisors who may be directing the trading activity in your account. The trading of currencies or derivatives like options on currencies involves an extremely high degree of risk of loss and is unsuitable for many individuals. Some researchers have shown that more than eighty percent of investors who trade in options eventually lose money. There is a possibility to lose part or all of the money you deposit in the currency trading account. If any of the criteria above describes your situation, or if you have pursued only conservative forms of investment in the past, we advise you to study the risk of loss involved in currency trading thoroughly before you consider it an appropriate investment for you or you may consider it completely inappropriate and decide to never trade. Therefore, you should carefully analyse you personal circumstances to determine if foreign exchange trading is suitable for you. If you have decided to trade foreign exchange and/or contract for difference (CFD) and/or Precious Metals please be advised that many industry advisors believe that you should not place more than 20% of your net worth at risk. If at any time your losses exceed 20% of your net worth, you should cease trading immediately. ODM is not responsible to monitor your deposit(s), losses or net worth. ODM has no right to refuse your account if your decision to trade is made with full understanding of the risk of loss. Therefore, we require that you sign and return the enclosed copy of this Additional Risk Disclosure Statement to us in order to indicate that you are fully aware of the substantial risk of loss in trading and accept full responsibility for your decision to trade in the foreign exchange markets.
Sample 1
ADDITIONAL RISK DISCLOSURE STATEMENT. Dear Sir or Madam: As a result of the following information on your account application, RJO is providing you with their additional risk disclosure before you open a commodity future and option trading account: While X. X. X'Xxxxx is prepared to open your account, it is required to advise you to consider the risks involved with trading commodity futures and options. The risk of loss in trading commodity futures and options can be substantial and may be inappropriate for you for the reason checked above; therefore, you must consider whether such trading is proper in light of your financial condition. Only Risk Capital (money that you are able to lose without adversely affecting your standard of living) should be invested. RJO recommends that you review the Risk Disclosure Statement in the customer agreement and/or discuss any concerns with your broker or other financial advisor before finalizing your decision. ACKNOWLEDGEMENT __________________________________ Name ____________________ ____________ Signature Date I understand that the risks associated with commodity trading may not be appropriate for me. However, I have read the Risk Disclosure Statements and I have considered the financial risks involved in commodity trading with regard to my financial condition, and I wish to proceed with opening an account. Name Signature Date Name Signature Date
Sample 1

Related to ADDITIONAL RISK DISCLOSURE STATEMENT

  • Risk Disclosure Statement Counterparty represents and warrants that it has received, read and understands the OTC Options Risk Disclosure Statement provided by Dealer and a copy of the most recent disclosure pamphlet prepared by The Options Clearing Corporation entitled “Characteristics and Risks of Standardized Options”.

  • Disclosure Statement A disclosure statement of the Property signed and dated by the Seller;

  • RISK DISCLOSURE 11.1 The Investment Adviser’s attention is drawn to Schedule 3 which provides important information as to the nature and risks of certain investments which may comprise a Portfolio and a description of certain provisions of the industry standard master agreements and their consequences. The Investment Adviser represents and warrants to the Local Manager that it has read, understood, and accepts the provisions of Schedule 3. Xxxxxx Xxxxxxx Investment Management Limited ( the “Local Manager”) has established and implemented transaction execution arrangements that are designed to allow the Local Manager to take all reasonable steps to obtain the best possible result when executing or placing orders as portfolio manager on behalf of its clients in relation to financial instruments that form part, or may become part, of one or more investment portfolios managed by the Local Manager for that or those clients (each a “Transaction”). For the purposes of this document: any reference to the Local Manager “executing an order” is a reference to the Local Manager, as agent, entering into a Transaction on behalf of a client with another person that acts as principal to that Transaction, any reference to the Local Manager “placing an order” is a reference to the Local Manager, as agent, arranging for a Transaction to be entered into by another person that acts as agent on behalf of a client when entering into that Transaction, and any reference to the Local Manager “effecting a Transaction” is a reference to the Local Manager either placing or executing an order. As part of its transaction execution arrangements, the Local Manager has an order execution policy in place that is designed to ensure that the Local Manager complies with its duty to obtain the best possible result when effecting a Transaction for one or more clients (the “Order Execution Policy”). This document is intended to provide the Local Manager’s clients with a summary of the Local Manager’s Order Execution Policy. Nothing herein is intended to place upon the Local Manager fiduciary or other duties or responsibilities over and above the specific obligations provided for in the investment management agreement between the Local Manager and a client.

  • Transactions Requiring Disclosure to FINRA 2.17.1 Finder’s Fees. There are no claims, payments, arrangements, agreements or understandings relating to the payment of a finder’s, consulting or origination fee by the Company or any Insider with respect to the sale of the Securities hereunder or any other arrangements, agreements or understandings of the Company or to the Company’s knowledge, assuming reasonable inquiry, any Insider that may affect the Underwriters’ compensation, as determined by FINRA.

  • Additional Disclosures The Sweepstakes is in no way sponsored, endorsed or administered by, or associated with Facebook, Twitter, Instagram, or any other social media platform. Each Entrant releases Facebook, Twitter, Instagram, and all other social media platforms mentioned in these Official Rules from any claims, responsibility or liability relating to their participation in this Sweepstakes. Copyright/trademark/service mark infringements are not intended or implied.

  • Securities Act Updating Disclosure If any material pool characteristic differs by 5% or more at the time of issuance of the securities from the description in the final prospectus, provide updated Reg AB disclosure about the actual asset pool. Depositor If there are any new servicers or originators required to be disclosed under Regulation AB as a result of the foregoing, provide the information called for in Items 1108 and 1110 respectively. Depositor

  • Certification Regarding Debarment Party certifies under pains and penalties of perjury that, as of the date that this Agreement is signed, neither Party nor Party’s principals (officers, directors, owners, or partners) are presently debarred, suspended, proposed for debarment, declared ineligible or excluded from participation in Federal programs, or programs supported in whole or in part by Federal funds.

  • Vendor Logo (Supplemental Vendor Information Only) No response Optional. If Vendor desires that their logo be displayed on their public TIPS profile for TIPS and TIPS Member viewing, Vendor may upload that logo at this location. These supplemental documents shall not be considered part of the TIPS Contract. Rather, they are Vendor Supplemental Information for marketing and informational purposes only. Some participating public entities are required to seek Disadvantaged/Minority/Women Business & Federal HUBZone ("D/M/WBE/Federal HUBZone") vendors. Does Vendor certify that their entity is a D/M/WBE/Federal HUBZone vendor? If you respond "Yes," you must upload current certification proof in the appropriate "Response Attachments" location. NO Some participating public entities are required to seek Historically Underutilized Business (HUB) vendors as defined by the Texas Comptroller of Public Accounts Statewide HUB Program. Does Vendor certify that their entity is a HUB vendor? If you respond "Yes," you must upload current certification proof in the appropriate "Response Attachments" location. No Can the Vendor provide its proposed goods and services to all 50 US States? Yes

  • Statement of Additional Information The Manager shall determine from time to time what securities and other investments will be purchased (including, as permitted in accordance with this paragraph, swap agreements, options and futures), retained, sold or exchanged by the Fund and what portion of the assets of the Funds portfolio will be held in the various securities and other investments in which the Fund invests, and shall implement those decisions (including the execution of investment documentation), all subject to the provisions of the Trusts Declaration of Trust and By-Laws (collectively, the Governing Documents), the 1940 Act, and the applicable rules and regulations promulgated thereunder by the Securities and Exchange Commission (the SEC) and interpretive guidance issued thereunder by the SEC staff and any other applicable federal and state law, as well as the investment objectives, policies and restrictions of the Fund referred to above, and any other specific policies adopted by the Board and disclosed to the Manager. The Manager is authorized as the agent of the Trust to give instructions to the custodian of the Fund as to deliveries of securities and other investments and payments of cash for the account of the Fund. Subject to applicable provisions of the 1940 Act and direction from the Board, the investment program to be provided hereunder may entail the investment of all or substantially all of the assets of the Fund in one or more investment companies. The Manager will place orders pursuant to its investment determinations for the Fund either directly with the issuer or with any broker or dealer, foreign currency dealer, futures commission merchant or others selected by it. In connection with the selection of such brokers or dealers and the placing of such orders, subject to applicable law, brokers or dealers may be selected who also provide brokerage and research services (as those terms are defined in Section 28(e) of the Securities Exchange Act of 1934, as amended (the Exchange Act)) to the Funds and/or the other accounts over which the Manager or its affiliates exercise investment discretion. The Manager is authorized to pay a broker or dealer who provides such brokerage and research services a commission for executing a portfolio transaction for the Fund which is in excess of the amount of commission another broker or dealer would have charged for effecting that transaction if the Manager determines in good faith that such amount of commission is reasonable in relation to the value of the brokerage and research services provided by such broker or dealer. This determination may be viewed in terms of either that particular transaction or the overall responsibilities which the Manager and its affiliates have with respect to accounts over which they exercise investment discretion. The Board may adopt policies and procedures that modify and restrict the Managers authority regarding the execution of the Funds portfolio transactions provided herein. The Manager shall also provide advice and recommendations with respect to other aspects of the business and affairs of the Fund, shall exercise voting rights, rights to consent to corporate action and any other rights pertaining to the Fund's portfolio securities subject to such direction as the Board may provide, and shall perform such other functions of investment management and supervision as may be directed by the Board. The Manager may execute on behalf of the Fund certain agreements, instruments and documents in connection with the services performed by it under this Agreement. These may include, without limitation, brokerage agreements, clearing agreements, account documentation, futures and option agreements, swap agreements, other investment related agreements, and any other agreements, documents or instruments the Manager believes are appropriate or desirable in performing its duties under this Agreement.

  • DEFENSE FEDERAL ACQUISITION REGULATION SUPPLEMENT CONTRACT CLAUSES 252.246-7000 MATERIAL INSPECTION AND RECEIVING REPORT (MAR 2008)

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