Assessment of Suitability and Appropriateness Sample Clauses

Assessment of Suitability and Appropriateness. 2.2.1. The Company may be required under Applicable Regulations to assess whether the Services and/or Financial Instruments offered are suitable and appropriate for the Client. To this end, the Company may ask the Client to provide the Company with all and/or any information requested regarding his knowledge and experience in the investment field relevant to the Services and/or Financial Instruments offered.
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Assessment of Suitability and Appropriateness. The Company may be required under Applicable Regulations to assess your knowledge and experience in trading financial instruments, such as CFDs, in order to determine the degree to which these instruments are suitable for you. During the Account process, you will be prompted to complete CDG Global (EU) Ltd’s Client Questionnaire which includes, inter alia, questions concerning your personal details, economic profile, investing experience and financial knowledge. This information is used by us as means for gathering information from you that enables us to assess your appropriateness for investing in financial instruments such as CFDs. CDG Global (EU) Ltd shall assume that information about his knowledge and experience provided from the Client to the Company is accurate and complete and the Company will 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. We may require you to provide us with additional information notwithstanding that we may have indicated to you that you have completed the Client Questionnaire. At the end of the Client Questionnaire, you must read and accept this Agreement together with the other agreements and policies which together make up the Set. When providing the Client with reception and transmission services, the Company may under the Applicable Regulations not be required to assess the suitability of the Financial Instrument in which the Client wishes to transact, nor the service(s) provided or offered to Client. As a result, the Client will not benefit from the protection of the relevant conduct of business rules. Currency of Accounts You will be able to open your trading Account(s) in EUR/USD or any currency that may be offered by the Company. Account balances will be calculated and reported to you in the currency in which Account(s) are maintained.
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Assessment of Suitability and Appropriateness. 3.1 When providing portfolio management and investment advice, CWW AM is required to collect certain information including:
Sample 1

Related to Assessment of Suitability and Appropriateness

  • 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.

  • County Review and Approval of Insurance Requirements The County reserves the right to review and adjust the Required Insurance provisions, conditioned upon County’s determination of changes in risk exposures.

  • Searchability Offering searchability capabilities on the Directory Services is optional but if offered by the Registry Operator it shall comply with the specification described in this section.

  • 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:

  • Diagnostic Assessment 6.3.1 Boards shall provide a list of pre-approved assessment tools consistent with their Board improvement plan for student achievement and which is compliant with Ministry of Education PPM (PPM 155: Diagnostic Assessment in Support of Student Learning, date of issue January 7, 2013).

  • Evaluation Cycle: Formative Assessment A) A specific purpose for evaluation is to promote student learning, growth and achievement by providing Educators with feedback for improvement. Evaluators are expected to make frequent unannounced visits to classrooms. Evaluators are expected to give targeted constructive feedback to Educators based on their observations of practice, examination of artifacts, and analysis of multiple measures of student learning, growth and achievement in relation to the Standards and Indicators of Effective Teaching Practice.

  • No Restriction on Existing Examination and Investigative Authority That this Agreement shall in no way preclude any State Mortgage Regulator from exercising its examination or investigative authority authorized under the laws of the corresponding Participating State in the instance a determination is made wherein Respondent is found not to be adhering to the requirements of the Agreement, other than inadvertent and isolated errors that are promptly corrected by Respondent, or involving any unrelated matter not subject to the terms of this Agreement. The Parties agree that the failure of Respondent to comply with any term or condition of this Agreement with respect to a particular State shall be treated as a violation of an Order of the State and may be enforced as such. Moreover, Respondent acknowledges and agrees that this Agreement is only binding on the State Mortgage Regulators and not any other Local, State or Federal Agency, Department or Office.

  • Search, Enquiry, Investigation, Examination And Verification a. The Property is sold on an “as is where is basis” subject to all the necessary inspection, search (including but not limited to the status of title), enquiry (including but not limited to the terms of consent to transfer and/or assignment and outstanding charges), investigation, examination and verification of which the Purchaser is already advised to conduct prior to the auction and which the Purchaser warrants to the Assignee has been conducted by the Purchaser’s independent legal advisors at the time of execution of the Memorandum.

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

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