Assessment of Suitability Sample Clauses

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.
Sample 1Sample 2Sample 3See All (6)
AutoNDA by SimpleDocs
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.
Sample 1Sample 2Sample 3See All (5)
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 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 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.
Sample 1Sample 2Sample 3See All (4)
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.
Sample 1Sample 2
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.
Sample 1Sample 2
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.
Sample 1Sample 2
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:
Sample 1
AutoNDA by SimpleDocs
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:
Sample 1
Assessment of Suitability and possession of the dog
Sample 1

Related to Assessment of Suitability

  • Assessment 29) The Secretary of State will notify the appropriate body for assessment purposes about the Academy.

  • Environmental Assessment and Mitigation Development of a transportation project must comply with applicable environmental laws. The party named in article 1, Responsible Parties, under AGREEMENT is responsible for the following:

  • Phase I a. In Phase I, the project will be connected as a tap to the Transmission Owner’s 230kV transmission line MWP-2 via one 230kV circuit breaker in series with one of two ring bus breakers for stuck breaker protection (one in each direction) and a tie-line breaker, as shown on the one-line diagram labeled CL-E-IA-01 attached to this Appendix A as Figure 1. The changes to the existing MWP-2 line protection for this arrangement are described in Phase I System Upgrades in Section II of this Appendix A.

  • Response/Compliance with Audit or Inspection Findings A. Grantee must act to ensure its and its Subcontractors’ compliance with all corrections necessary to address any finding of noncompliance with any law, regulation, audit requirement, or generally accepted accounting principle, or any other deficiency identified in any audit, review, or inspection of the Contract and the services and Deliverables provided. Any such correction will be at Grantee’s or its Subcontractor's sole expense. Whether Xxxxxxx's action corrects the noncompliance shall be solely the decision of the System Agency.

  • Assessment Center A promotional candidate may not appeal or dispute the Assessment Center or scoring of the Assessment Center to an administrative or judicial body except for fraud committed by an assessor.

  • Phase II A small portion of the work for the Phase II modifications to the Plattsburgh Substation will be performed by Transmission Owner, and the remainder will be performed by Clinton and Xxxxxxxxx. A detailed definition of the specific scope for Transmission Owner and Clinton and Xxxxxxxxx including interface points shall be defined during the design phase and, as such documents become available, copies will be delivered to the NYISO, Transmission Owner, Noble Altona Windpark, LLC and Marble River, LLC. The full scope includes the installation of wave traps, CCVT’s and modifications and/or additions to relaying on the MWP-1 and MWP- 2 lines. These lines will be reconfigured at the completion of Phase II to connect to Xxxxx and Xxxxxxx Substations on MWP-1 and the Xxxx Substation on MWP-2. Clinton and Xxxxxxxxx will design the upgrades and purchase the materials based on the outline specification that was prepared and issued by Transmission Owner. The work to be performed by Clinton and Xxxxxxxxx will include both the materials for the exterior and interior installations and items for Transmission Owner installation inside the control building in existing relay panels and communication racks. In addition, Clinton and Xxxxxxxxx will be responsible for the exterior and interior construction work and will provide construction management services in coordination with Transmission Owner. The civil design for the foundations and the electrical design for the cable runs to the control room will be designed by, as approved by Transmission Owner, and installed under the supervision and control of Clinton and Xxxxxxxxx. The equipment will be selected and procured in accordance with the specifications developed during the detailed engineering phase, copies of which shall be furnished to the NYISO, Transmission Owner, Noble Altona Windpark, LLC and Marble River, LLC. The construction of the foundations, structures, wave traps, CCTV and cable runs into the control building to the termination cabinets will be completed by Clinton and Xxxxxxxxx. The work at the Plattsburgh Substation will be installed under Transmission Owner’s CPP-1. Transmission Owner will provide Protection and Controls Engineering, install and terminate wiring from the termination cabinets to the control panels and relays, install relays and equipment in the existing panels, and will commission such work inside the 230kV control building. Transmission Owner will develop the communications protocols and data flow over the circuits.

  • Risk Assessment An assessment of any risks inherent in the work requirements and actions to mitigate these risks.

  • Periodic Risk Assessment Provider further acknowledges and agrees to conduct periodic risk assessments and remediate any identified security and privacy vulnerabilities in a timely manner.

Draft better contracts in just 5 minutes Get the weekly Law Insider newsletter packed with expert videos, webinars, ebooks, and more!