Appropriateness and Suitability Sample Clauses

Appropriateness and Suitability. 8.1. The Company shall use the information you provided during the Account Opening Application form to assess in basis of your knowledge and experience in the investment field, whether the service or Financial Instrument is appropriate for you. We shall offer different types of accounts with different characteristics and features in basis of each client’s personal circumstance.
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Appropriateness and Suitability. In accordance with the Applicable Regulations, Xxxxxxxxx is entitled to assume that a Professional Client has the necessary experience and knowledge in order to understand the risks involved in relation to those particular investment services or Transactions, or types of Transactions and products, for which the client is classified as a Professional Client. As such no appropriateness assessments will be conducted in respect of Professional Clients. As no investment advice is provided to Professional Clients, no suitability assessments will be conducted in respect of Professional Clients. Furthermore, in accordance with the Applicable Regulations, Magnasale is not obliged to, and it will not conduct appropriateness assessment, in respect of Eligible Counterparties. As no investment advice is provided to Eligible Counterparties, no suitability assessments will be conducted in respect of Eligible Counterparties. Please note that we will not be able to take your borrowing or leverage into account in assessing your investment risk appetite or capacity. You should be aware that leverage and Margined Transactions dramatically increase the risk of investments in Financial Instruments, particularly where large Transactions can be taken in reliance on a small amount of Margin as is common when dealing with Margined Transactions. Any decision on whether or not to open an Account and whether or not you understand the risks is yours. We do not monitor on your behalf whether the amount of money you have transferred to us or whether your profits and losses are consistent with your financial assets and earnings. It is left up to you to assess whether your financial resources are adequate and what level of risk to take
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Appropriateness and Suitability. In accordance with the Applicable Regulations, Finalto Asia is entitled to assume that an Accredited/Institutional client has the necessary experience and knowledge in order to understand the risks involved in relation to those particular investment services or Transactions, or types of Transactions and products, for which the client is classified as an Accredited/Institutional Client. As such no appropriateness assessments will be conducted in respect of an accredited/ institutional clients. As no investment advice is provided to such clients, no suitability assessments will be conducted in respect of Accredited/ Institutional clients. Please note that we will not be able to take your borrowing or leverage into account in assessing your investment risk appetite or capacity. You should be aware that leverage and Margined Transactions dramatically increase the risk of investments in Financial Instruments, particularly where large Transactions can be taken in reliance on a small amount of Margin as is common when dealing with Margined Transactions. Any decision on whether or not to open an Account and whether or not you understand the risks is yours. We do not monitor on your behalf whether the amount of money you have transferred to us or whether your profits and losses are consistent with your financial assets and earnings. It is left up to you to assess whether your financial resources are adequate and what level of risk to take
Sample 1
Appropriateness and Suitability. 5.1. The Company performs Suitability and Appropriateness Tests prior to the provision of Services related to Portfolio Management. The Company may also request the tests be re- performed in the event of substantial change to the information provided by the Client and/or for any other reason.
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Appropriateness and Suitability. The financial and investment instruments mentioned on this Website may not be appropriate or suitable for all investors. Your individual investment objectives and financial position were not considered in the preparation of the materials on this Website. The materials and/or opinions and/or investment options and/or other information made available to you by way of this Website constitutes neither a representation that any investment option or financial instrument is appropriate or suitable for you, nor a recommendation that you enter into a specific investment transaction. You must make your own independent financial decisions with regard to undertaking certain investments and consider whether any investment is appropriate for you in view of your investment objections and financial position.
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Related to Appropriateness and Suitability

  • Appropriateness Farming practices that are fitting for a specific community, location, or operation.

  • Suitability The Dealer Manager will offer Shares, and in its agreement with each Soliciting Dealer will require that the Soliciting Dealer offer Shares, only to Persons that it has reasonable grounds to believe meet the financial qualifications set forth in the Prospectus or in any suitability letter or memorandum sent to it by the Company and will only make offers to Persons in the states in which it is advised in writing by the Company that the Shares are qualified for sale or that such qualification is not required. In offering Shares, the Dealer Manager will comply, and in its agreements with the Soliciting Dealers, the Dealer Manager will require that the Soliciting Dealers comply, with the provisions of all applicable rules and regulations relating to suitability of investors, including without limitation the FINRA Conduct Rules and the provisions of Article III.C. of the Statement of Policy Regarding Real Estate Investment Trusts of the North American Securities Administrators Association, Inc. (the “NASAA Guidelines”). The Dealer Manager agrees that in recommending the purchase of the Shares in the Primary Offering to an investor, the Dealer Manager and each Person associated with the Dealer Manager that make such recommendation shall have, and each Soliciting Dealer in its Soliciting Dealer Agreement shall agree with respect to investors to which it makes a recommendation shall agree that it shall have, reasonable grounds to believe, on the basis of information obtained from the investor concerning the investor’s investment objectives, other investments, financial situation and needs, and any other information known by the Dealer Manager, the Person associated with the Dealer Manager or the Soliciting Dealer that: (i) the investor is or will be in a financial position appropriate to enable the investor to realize to a significant extent the benefits described in the Prospectus, including the tax benefits where they are a significant aspect of the Company; (ii) the investor has a fair market net worth sufficient to sustain the risks inherent in the program, including loss of investment and lack of liquidity; and (iii) an investment in the Shares offered in the Primary Offering is otherwise suitable for the investor. The Dealer Manager agrees as to investors to whom it makes a recommendation with respect to the purchase of the Shares in the Primary Offering (and each Soliciting Dealer in its Soliciting Dealer Agreement shall agree, with respect to investors to whom it makes such recommendations) to maintain in the files of the Dealer Manager (or the Soliciting Dealer, as applicable) documents disclosing the basis upon which the determination of suitability was reached as to each investor. In making the determinations as to financial qualifications and as to suitability required by the NASAA Guidelines, the Dealer Manager and Soliciting Dealers may rely on (A) representations from investment advisers who are not affiliated with a Soliciting Dealer, banks acting as trustees or fiduciaries, and (B) information it has obtained from a prospective investor, including such information as the investment objectives, other investments, financial situation and needs of the Person or any other information known by the Dealer Manager (or Soliciting Dealer, as applicable), after due inquiry. Notwithstanding the foregoing, the Dealer Manager shall not, and each Soliciting Dealer shall agree not to, execute any transaction in the Company in a discretionary account without prior written approval of the transaction by the customer.

  • Evaluation 1. The purposes of evaluation provisions include providing employees with feedback, and employers and employees with the opportunity and responsibility to address concerns. Where a grievance proceeds to arbitration, the arbitrator must consider these purposes, and may relieve on just and reasonable terms against breaches of time limits or other procedural requirements.

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