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. 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. 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. 2.2.2. The Client acknowledges that the assessment of suitability and appropriateness conducted aims at enabling the Company to act in the best interests of the Client and the provision of accurate and up-to-date information by the Client is necessary in this context. 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 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, unless the Client has informed the Company of such changes. 2.2.3. If the Client elects not to provide such information to the Company, or if the Client provides insufficient in formation, the Company will not be able to determine whether the service or product envisaged is appropriate for the Client. The Company may be required to warn the Client, if the Company considers that the Services and/or Financial Instruments offered are not appropriate to the Client and/or if the information provided by the Client is insufficient to al low the Company to conduct the assessment of suitability and appropriateness of the Services and/or Financial Instruments offered. The Company assumes no liability in case the Client chooses to proceed notwithstanding such warning by the Company. 2.2.4. When providing the Client with reception and transmission services, the Company may 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 him. As a result, the Client will not benefit from the protection of the relevant conduct of business rules. 2.2.5. The Company shall provide the Client with daily reports on the performance of the Services provided. These reports include amongst other particulars on the balance, available margin, pending orders and floating P&L.
Sample 1
Assessment of Suitability and Appropriateness. 3.1 When providing portfolio management and investment advice, CWW AM is required to collect certain information including: a) the knowledge and experience of the Client in the relevant investment field, b) the financial situation of the Client and the Client’s ability to bear losses, c) the investment objective of the Client, including the Client's risk tolerance, and d) The Client’s ESG preferences. The above requirements will enable CWW AM to recommend to the Client the investment services and financial instruments that are best suited for the Client (assessment of suitability). C WorldWide Asset Management | 3 If CWW AM does not receive the required and updated information from the Client, CWW AM is not authorised to provide investment advice or implement portfolio management. 3.2 When providing other financial services than portfolio management and investment advice CWW AM is required to collect information from the Client on the knowledge and experience of the Client within the relevant investment area, enabling CWW AM to assess whether the investment service or investment product is appropriate for the Client (assessment of appropriateness). 3.3 The objective of the assessment of suitability and appropriateness is to enable CWW AM to act in the best interest of the Client. 3.4 It is important that the Client provides CWW AM with complete and accurate information. If the circumstances of the Client of importance to the suitability assessment or the assessment of appropriateness changes the Client shall notify CWW AM thereof.
Sample 1
Assessment of Suitability and Appropriateness. 3.1 When providing portfolio management and investment advice, CWW AM is required to collect information on: (a) the knowledge and experience of the Client in the relevant investment field, (b) the financial situation of the Client and the Client’s ability to bear losses, and (c) the investment objective of the Client, including the Client's risk tolerance, enabling CWW AM to recommend to the Client the investment services and financial instruments that are best suited for the Client (assessment of suitability). If CWW AM does not receive the required and updated information from the Client, CWW AM is not authorised to provide investment advice or implement portfolio management. 3.2 When providing other financial services than portfolio management and investment advice CWW AM is required to collect information from the Client on the knowledge and experience of the Client within the relevant investment C WorldWide Asset Management | 3 area, enabling CWW AM to assess whether the investment service or investment product is appropriate for the Client (assessment of appropriateness). 3.3 The objective of the assessment of suitability and appropriateness is to enable CWW AM to act in the best interest of the Client. 3.4 It is important that the Client provides CWW AM with complete and accurate information enabling CWW AM to recommend the financial instruments and services best suited for the Client. 3.5 If the circumstances of the Client of importance to the suitability assessment or the assessment of appropriateness changes the Client shall notify CWW AM thereof.
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, inspection or investigation of the Grant Agreement 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. B. As part of the services, Grantee must provide to HHS upon request a copy of those portions of Grantee's and its Subcontractors' internal audit reports relating to the services and Deliverables provided to the State under the Grant Agreement. C. Grantee shall include the requirement to provide to System Agency (and any of its duly authorized federal, state, or local authorities) internal audit reports related to this Grant Agreement in any Subcontract it awards. Upon request by System Agency, Grantee shall enforce this requirement against its Subcontractor. Further, Grantee shall include in any Subcontract it awards a requirement that all Subcontractor Subcontracts must also include these provisions.