Appropriateness Test. 6.5.1 Before entering into any Transaction related to the Brokerage Services, the Broker will assess each Financial Instrument as being suitable and appropriate to the Client’s risk profile, related experience and financial situation. In addition, the Broker will assess if the financial instrument’s characteristics are consistent with the needs and characteristics of the Client. If, based on the information provided by the Client, certain Financial Instruments will be deemed as inappropriate, the Broker will inform the Client in a written form of any potential risks related to this Financial Instrument. Such Transaction may be executed only after such notification and subsequent receival of the confirmation from the Client of understanding all the indicated risks, unless the Client will provide special instructions.
Appropriateness Test. In the case of the Intermediation of Trades service, the Platform shall ascertain the Client´s expertise and experience in the field of investments, as well as other information in order to assess whether the Client´s Orders correspond to the expertise and experience necessary to understand the risks involved, or whether the provision of the service is appropriate for the Client, and whether the financial instrument Ordered corresponds to the needs of the target market for such instrument. If the Orders are unreasonable in light of the information obtained by the Platform from the Client, the Platform shall notify the Client of this fact. The same policy applies where the Client fails to provide complete, accurate, truthful or up-to-date information or even refuses to provide it altogether.
Appropriateness Test. Notwithstanding that DEGIRO only provides services on an Execution Only basis (as explained in Article 6.4 (Execution Only) below), in compliance with its legal obligations, as part of the onboarding procedure (or if necessary, at any time thereafter) DEGIRO requires the Client to complete an Appropriateness Test for complex and non-complex financial instruments. XXXXXX is entitled to rely on the correctness and completeness of the information provided by the Client. Based on the outcome of the test, the Client will receive a warning if a particular service or product is assessed by DEGIRO as potentially being inappropriate for the Client or if the Client provides insufficient information for DEGIRO to assess the appropriateness of a service or product. XXXXXX does not admit the Client to services other than those related to Financial Instruments categorised under the Basic Profile if the Client does not show enough knowledge about the relevant Financial Instruments based on the outcome of an Appropriateness Test. DEGIRO reserves the right not to admit the Client to services or not to execute transactions that relate to non-complex and complex Financial Instruments and are not appropriate for the Client for other reasons than insufficient knowledge.
Appropriateness Test. 7.1 TC Limited makes a distinction between services that are simply a matter of execution and those where prior assessment is required to determine the extent to which the service and/or the product is “appropriate” to the client’s needs and circumstances and “appropriate” to the client’s level of knowledge and experience. For the purposes of assessment of appropriateness, TC Limited requires certain information on clients to be obtained and formally assessed in order to ensure such appropriateness; to satisfy this requirement, we have designed an appropriateness test which we will apply to clients before providing investment services.
Appropriateness Test a questionnaire to assess the appropriateness of the crowdfunding transactions for the Investors (Lenders). It helps to determine the knowledge and experience of the User (Investor), who is classified as an Inexperienced Investor (Lender) in the field of financing according to the type of transaction planned and is intended to determine the acceptability of the relevant type of transaction to the Lender;
Appropriateness Test. 1.1. In order to use copy trading and/or social trading services the Client needs to complete the Appropriateness test. The Company will establish Client’s investment profile according to the answers provided and will assess what trading strategies are suitable for the Client.
Appropriateness Test. The Company carries out the Appropriateness Test, to the extent required by the Applicable Regulations, as these obligations are also specified herein with respect to retail clients. The Client completes the relevant questionnaire during the registration, which constitutes an integral part hereof. The Company relies on the information provided to it by the Client and which the Company considers to be true. The Client accepts and acknowledges that if he does not provide adequate and correct information to the Company, then the Company may proceed with the transaction or the provision of the service without any liability as to its compatibility with the Client's profile.
Appropriateness Test. We reserve the right, where applicable, to conduct an appropriateness test in order to determine whether you have the necessary knowledge and experience in the investment field to understand the risks involved in the specific type of product or service offered or demanded.
