ASSESSMENT OF SUITABILITY. In providing the Investment Services of or Portfolio Management, the Company is obliged under Applicable Regulations to seek information from a client or potential client (for example via the Client Account Application Form) regarding the Client’s knowledge, experience in the investment field relevant to the specific type of Financial Instrument or service, as well as his financial situation including his ability to bear losses and his investment objectives including his risk tolerance, so as to be able, based on this information, to recommend to the client the investment services and the Financial Instruments that are suitable for him (suitability test) and, in particular, that are in accordance with his risk tolerance and ability to bear losses.
ASSESSMENT OF SUITABILITY. You confirm that, where you instruct us to enter into any Contracts on your behalf, an assessment has been conducted of your suitability to engage in trading in the particular types of Contracts contemplated, as set out in the PDS.
ASSESSMENT OF SUITABILITY. 8.2.1 When a Client elects to be provided with the investment services of investment advice or portfolio management, the Company will collect additional information, through the Suitability Test, regarding the Client’s knowledge and experience in the investment field relevant to the specific type of product or service, the Client’s financial situation including his/her ability to bear losses, and his/her investment objectives including his/her risk tolerance so as to enable the Company to recommend to the Client the investment services and financial instruments that are suitable for him/her and, in particular, that are in accordance with his/her risk tolerance and ability to bear losses.
8.2.2 When assessing whether the service is suitable for the Client, the Company shall be entitled to rely on the information provided by the Client unless the Company is aware that the information is manifestly out of date, inaccurate or incomplete. Even if the suitability assessment is the responsibility of the Company, the Client is required to provide all the information requested in the Suitability Test. Information provided should be up-to-date, accurate and complete.
8.2.3 The Client is required to update the information originally provided where significant changes occur. In particular, the Client shall notify the Company of any changes in his/her investment objectives or any restrictions on the scope of the services to be provided. Such notification must be submitted by the Client in the form of a revised Suitability Test which will set out the changes in the Client’s
8.2.4 The requirements for collecting information and assessing suitability apply to all types of Clients irrespective of their categorization. However, in respect to Clients that are categorized by the Company as Professional or Elective Professionals, the Company is entitled to assume that they have sufficient knowledge and experience, as already mentioned under paragraph 8.1.4 above. Additionally, in the event where an Elective Professional will be provided with the investment service of Investment Advice, the Company may not collect information about the Client’s financial situation.
8.2.5 If you elect not to provide the Company with the requested information or if you provide us with insufficient information, the Company will decline your application to open a Trading Account, for the provision of services as defined under paragraph 19 of this Agreement.
ASSESSMENT OF SUITABILITY. CUSTOMER ACKNOWLEDGES THAT IT HAS OR WILL MAKE ITS OWN ASSESSMENT AS TO THE SUITABILITY OF THE SERVICES FOR ANY USE IT MAKES OF IT (AND IT IS QUALIFIED TO MAKE SUCH ASSESSMENT OR HAVE RECEIVED SUITABLE INDEPENDENT ADVICE) AND NOTHING IN THE SERVICES CONSTITUTES A RECOMMENDATION OR ADVICE TO TAKE, OR REFRAIN FROM TAKING, ANY SPECIFIC COURSE OF ACTION.
ASSESSMENT OF SUITABILITY. If there is more than one applicant for a vacancy within The Society's jurisdiction, the applicants will be considered in the priority set out in Subsection 65.6.3. Within each category the most suitable candidate will be selected.
ASSESSMENT OF SUITABILITY. 7.1. In providing the Service of Portfolio management and investment advice, the Company is obliged under applicable regulations to ask the client to provide information regarding:
a. his/her knowledge and experience in the investment field relevant to the specific type of Financial Instrument or investment service,
b. his/her financial situation, including his/her ability to bear losses, and
c. his/her investment objectives, including his/her risk tolerance, so as to enable the Company to recommend to the client the investment services and the Financial Instruments that are suitable for the client and, in particular, are in accordance with his/her risk tolerance and ability to bear losses (the “suitability test”).
7.2. Provided that, where the client has been categorized as a professional client (either a professional client per se or an elective professional client), the Company is entitled to assume that the client has the necessary experience and knowledge in order to understand the risks involved in relation to the particular investment services or transactions, or types of transaction or Financial Instrument, for which the client is classified as a professional client.
7.3. Provided further that, where the client has been categorized as a professional client per se (not an elective professional client) and the Company provides investment advice to the client, the Company is entitled to assume that the client is able financially to bear any related investment risks consistent with his/her investment objectives. The Company is entitled, at its discretion, to request additional information from the client and/or to request an update of the information provided by the client to the Company whenever the client deems necessary.
7.4. The client hereby acknowledges that the Company shall rely on the information provided by the client unless the Company is aware or ought to be aware that the information is manifestly out of date, inaccurate or incomplete. In any case, the client is obliged to provide us with up to date, accurate and complete information as well as inform us immediately in writing of any change of the information provided.
7.5. Where the client fails to provide, or do not provide up to date, accurate, complete and sufficient, information as requested by the Company, the Company shall refuse to decide to trade or recommend investment services or Financial Instruments to the client. Additionally, the Company shall not recommend or decide to trad...
ASSESSMENT OF SUITABILITY and possession of the dog
1.1 This agreement sets out the conditions on which Guide Dogs will loan to the Service User the Dog and any supporting equipment which may consist of one or more of the following: a walking harness, a Cujo lead, a normal lead, a collar, a branded jacket and a bandana (“the Equipment”).
1.2 The loan of the Dog and the Equipment to the Service User will be in the form of a gratuitous loan. No payment for possession of the dog is charged or made.
1.3 Ownership in the Dog and of the Equipment shall remain at all times with Guide Dogs.
1.4 The loan of the Dog and the Equipment to the Service User is to enable the Young Person to enjoy the benefits and friendship of a well-behaved dog and in particular to build confidence, leading to better relationships with others, improved well-being, and a sense of fun and trust.
1.5 The Parties acknowledge that entry into this agreement has been proceeded by completion of an application form, a telephone interview, a home check and the undertaking of an assessment at one or more workshop events of the Young Person and Service User’s suitability to possess, manage and care for the Dog.
1.6 Subject to clauses 4 and 5, so long as the Service User abides with the conditions imposed by this agreement, the Service User shall have the right to sole possession of the Dog during the term of this agreement.
1.7 The Service User shall not undertake any action to assert ownership of the Dog or the Equipment nor to hold themselves out as legal owner of the Dog or the Equipment.
ASSESSMENT OF SUITABILITY. 5.1. In providing the service of portfolio management, the Company is obliged under Applicable Regulations to seek information from a Client or potential Client regarding his knowledge and experience in the investment field relevant to the specific type of service or Financial Instrument offered or demanded as well as his financial situation including his ability to bear losses and his investment objectives including his risk tolerance, so as to enable the Company to assess whether the service or Financial Instrument is appropriate for the Client and in particular, that are in accordance with his risk tolerance and ability to
5.2. In providing the Services of Reception and Transmission and Execution of Client Orders, the Company is obliged under Applicable Regulations to seek information from a Client or potential Client regarding his knowledge and experience in the investment field relevant to the specific type of service or Financial Instrument offered or demanded as well as his financial situation including his ability to bear losses and his investment objectives including his risk tolerance, so as to enable the Company to assess whether the service or Financial Instrument is appropriate for the Client and in particular, that are in accordance with his risk tolerance and ability to bear losses. Where the Client or potential Client elects not to provide the information regarding his knowledge and experience, or where he provides insufficient information regarding his knowledge and experience, the Company will not be able to determine whether the service or Financial Instrument is appropriate for him. The Company is entitled, at its sole discretion, to request additional information regarding the Client and/or to request an update of the data notified by the Client, whenever it deems necessary. The Company shall assume that information about his knowledge and experience provided from the Client to the Company is accurate and complete and the Company shall have no responsibility to the Client if such information is incomplete or misleading or changes or becomes inaccurate and the Company will be deemed to have performed its obligations under Applicable Regulations, unless the Client has informed the Company of such changes.
ASSESSMENT OF SUITABILITY. 5.1. In providing the service of portfolio management, the Company is obliged under Applicable Regulations to seek information from a Client or potential Client regarding his knowledge and experience in the investment field relevant to the specific type of service or Financial Instrument offered or demanded as well as his financial situation including his ability to bear losses and his investment objectives including his risk tolerance, so as to enable the Company to assess whether the service or Financial Instrument is
5.2. In providing the Services of Reception and Transmission and Execution of Client Orders, the Company is obliged under Applicable Regulations to seek information from a Client or potential Client regarding his knowledge and experience in the investment field relevant to the specific type of service or Financial Instrument offered or demanded as well as his financial situation including his ability to bear losses and his investment objectives including his risk tolerance, so as to enable the Company to assess whether the service or Financial Instrument is appropriate for the Client and in particular, that are in accordance with his risk tolerance and ability to bear losses. Where the Client or potential Client elects not to provide the information regarding his knowledge and experience, or where he provides insufficient information regarding his knowledge and experience, the Company will not be able to determine whether the service or Financial Instrument is appropriate for him. The Company is entitled, at its sole discretion, to request additional information regarding the Client and/or to request an update of the data notified by the Client, whenever it deems necessary. The Company shall assume that information about his knowledge and experience provided from the Client to the Company is accurate and complete and the Company shall have no responsibility to the Client if such information is incomplete or misleading or changes or becomes inaccurate and the Company will be deemed to have performed its obligations under Applicable Regulations, unless the Client has informed the Company of such changes.
ASSESSMENT OF SUITABILITY. The Company is obliged under Applicable Regulations to obtain information and assess the Client’s knowledge and experience in the investment field so that it can assess whether the service or product envisaged is suitable for the Client. For this reason in addition to the common provisions of the assessment of appropriateness and suitability, the Company obtains from clients or potential clients such information as is necessary for the Company to understand the essential facts about the potential client and to have a reasonable basis for believing, giving due consideration to the nature and extent of the service provided, that the specific transaction to be entered into in the course of providing a portfolio management service satisfies the following criteria:
a) it meets the investment objectives of the client in question;
b) it is such that the client is able financially to bear any related investment risks consistent with his investment objectives;
c) it is such that the client has the necessary experience and knowledge in order to understand the risks involved in the transaction or in the management of client’s portfolio. Where the Company provides an investment service to a professional client it shall be entitled to assume that, in relation to the products, transactions and services for which it is so classified, the client has the necessary level of experience and knowledge to understand the risks involved in the transaction or in the management of his portfolio. If the Company does not obtain sufficient information to comply with the suitability requirements under the Law, so as to assess whether the services and products offered by the Company are suitable for the client, the Company reserves the right not provide such service to that client. The above applies to Clients who will sign Portfolio Management Agreement with the Company, which will be additional and complementary to this Agreement
