Client Acknowledgments Clause Samples
Client Acknowledgments. 8.1. You, the Client, acknowledge and confirm to ZERO Securities Pty Ltd for ZERO Securities Pty Ltd’ benefit in relying on the following:
(a) you (or, if a corporate entity, the directors who apply to be bound by these Terms) have read and understood all documentation provided to you by us including these Terms and any product disclosure statement (PDS) in relation to any Financial Products which you request ZERO Securities Pty Ltd to make available to you in relation to your Account;
(b) you have received, read and understood our Financial Services Guide (FSG);
(c) all dealings in Financial Products and the performance by us of our obligations under these Terms are subject to Applicable Laws;
(d) at all times you will be able to make payments and fulfil all commitments on your part arising under these Terms and under the conditions applicable to dealings between you and ZERO Securities Pty Ltd;
(e) we will not provide legal, tax, financial or accounting advice to you as part of the services that we provide to you in accordance with these Terms;
(f) by these Terms (including any Transaction made under it) we do not act in a fiduciary capacity in relation to you and ZERO Securities Pty Ltd does not owe any fiduciary obligations to you in respect of its services provided to you in connection with these Terms;
(g) ZERO Securities Pty Ltd may transfer from your other Account(s) held with ZERO Securities Pty Ltd (if any), whether carried or managed by ZERO Securities Pty Ltd , such funds as may be required to meet obligations as a result of Transactions between the Client and ZERO Securities Pty Ltd or to satisfy any amount owing by the Client under these Terms or otherwise and ZERO Securities Pty Ltd would not enter into these Terms but for this acknowledgement (and all of the other terms). Under the terms of the PIO the extent of the recourse provided to ZERO Securities Pty Ltd is limited to money ZERO Securities Pty Ltd holds both in a client money account on your behalf, or otherwise holds in relation to your CFD trading account;
(h) ZERO Securities Pty Ltd will either deal by issuance of a contract or it will instruct third parties to deal on behalf of the Client, in the Financial Products, as required by the Transaction;
(i) the Client will provide to ZERO Securities Pty Ltd on request such information regarding its financial and business affairs and identity, as ZERO Securities Pty Ltd may reasonably require;
(j) in agreeing to these Terms, the Client a...
Client Acknowledgments. Client acknowledges and agrees that:
(i) Company’s role is that of service provider only and is not a principal to an Offering or any transaction nor is it acting as a fiduciary in connection with any transaction proposed or consummated under this Agreement.
(ii) Company may restrict or suspend access to the System or Services (x) as Company deems necessary to comply with applicable law, protect against communications or security problems, or perform emergency maintenance; or (y) where Client is in breach of this Agreement.
(iii) Client is solely responsible for obtaining and maintaining, and protecting the security of its software, systems, equipment, telecommunication and internet connections required for Client’s use of the System and Services. Client shall reimburse Company for third-party expenses Company incurs on Client’s behalf and with Client’s prior written authorization.
(iv) Company, Network Members, and their respective agents may disclose without prior notice to or consent from the Client, Offering Materials and other information relating to an Offering to any applicable regulatory authority (including FINRA) as required or as requested pursuant to applicable regulation or in the course of a compliance audit.
(v) Client is responsible for backup of data and retention of business records, including records relating to an Offering, as it deems necessary or desirable, but at least as required by law applicable to the Client.
(vi) Company may rely upon the accuracy and completeness of all information provided by Client, and has no obligation to independently verify any such information.
(vii) Company and its affiliates may use Offering information in marketing or other materials for Company’s benefit. More specifically, Company and its affiliates may reference Client and Affiliated Issuer by name and include other information about an Offering as permitted by 17 C.F.R. 230.134(a) in its materials.
(viii) Company is not responsible for Outside Services, including accreditation checks, KYC checks and other diligence for Subscribers and Investors performed by Outside Service Providers.
(ix) In performing the Services, Company makes no guarantee that Client will raise funds in an Offering or meet its fundraising goals.
Client Acknowledgments. The Client acknowledges and agrees that the Company can provide no assurance that it will be able to recover the Benefits for the Client. The Client acknowledges and agrees that the Services will be performed strictly on a commercially reasonable “best efforts” basis.
Client Acknowledgments. The Client AGREES AND ACKNOWLEDGES that:
8.1. The Client has given consideration to the Client’s objectives, financial situation and needs and has formed the opinion that Dealing in derivatives is suitable for the Client’s purposes and has completed and submitted the Investor Profile with the IMA Operator and will inform the IMA Operator of any material changes.
8.2. The Client is aware of the risks involved in Dealing in derivatives, including, without limitation, the possibility that the Client’s entire investment may be lost and that the Client’s liability could exceed the assets in the account; the fact that this account will be subject to brokerage commissions regardless of whether profits are earned; and that even if the IMA Operator instructs the Executing Broker to use its best efforts to close out all open positions in this account at a particular time, there is no assurance that the Executing Broker will be able to close out all positions without incurring substantial additional losses.
8.3. The IMA Operator makes no promises, representations, warranties, or guarantees that any of its IMA Services to be provided as set out in this Agreement will result in a profit to the Client or will not result in a loss. All transactions are made for the sole account and risk of the Client. The Client is solely liable for and bears the risk of all errors in the execution of the IMA Operator’s instructions or otherwise, save through the IMA Operator’s own negligence, breach of duty, fraud or dishonesty.
8.4. The IMA Services of the IMA Operator shall not be limited to the Client and the IMA Operator shall be free to render similar IMA Services to others. The Client acknowledges that the IMA Operator manages other accounts and may be instructing the Executing Broker to execute trades for such accounts at or about the same time that it gives instructions to execute similar trades for the Client’s account.
8.5. The Client has received a copy of this Agreement and the agreement with the Executing Broker.
8.6. The IMA Operator and its directors and employees may Deal in derivatives on their own account.
8.7. The IMA Operator reserves the right to refuse to Deal on behalf of the Client in relation to any Dealings in derivatives (other than closing out existing open positions held in the Client’s account) or limit the number of open positions held on behalf of the Client or both. The IMA Operator will inform the Client of any refusal to deal.
8.8. The Client and the I...
Client Acknowledgments. The Client hereby acknowledges and agrees that:
(a) in placing orders to buy or sell securities, the Manager shall act solely as the Client's agent;
(b) the Manager shall not be responsible for the execution of security transactions processed by a custodian chosen by the Client;
(c) the Manager neither assumes responsibility for investment losses nor guarantees investment gains for the Client's accounts;
(d) the Manager shall have no obligation to institute or defend any legal proceedings on the Client's behalf;
(e) the Manager may accept and act upon such instructions which the Manager believes to be genuine, given orally or by telephone, facsimile, letter, email or other electronic means of communication acceptable to the Manager;
(f) the Manager will manage the Account in accordance with its this Agreement, the Investment Policy Statement provided to the Client, and the Statement of policies, as amended from time to time or published on its website;
(g) the Client consents to his or her personal information being compared to records maintained by third parties for the purpose of identity verification, including telecom and other service providers, and consents to those third parties providing personal information relating to Client to Tactex, its affiliates and our third-party suppliers for the purpose of identity verification;
(h) Client’s account statement and other documents or communications from the Manager will be made available to Client in electronic form only via the Mylo online platform; and
(i) a copy of this Agreement may be provided by the Manager to the Custodian, if applicable.
Client Acknowledgments a. The Client hereby agrees to furnish GIA with all current information and/or documentation relative to his or her financial and investment situation. The Client further agrees to keep GIA informed of any changes as they pertain to Client’s objectives, needs, and goals. The Client acknowledges that GIA cannot adequately perform its services for the Client unless the Client diligently performs their responsibilities under this Agreement.
b. Client authorizes GIA to respond to inquiries from, and communicate and share information with, Client’s attorney, accountant, and other professionals to the extent necessary in furtherance of GIA’s services under this Agreement.
Client Acknowledgments. The Client acknowledges that if the Client gives an Investment Instruction under a Regular Investment Facility:
a) the Operator may acquire Accessible Investments for the Client without the Client having the current disclosure documents for the Accessible Investments; and
b) the Operator may continue to acquire Accessible Investments for the Client until the Client instructs the Operator otherwise or the Operator, acting reasonably terminates the facility in respect of the Client.
Client Acknowledgments. Client hereby acknowledges and agrees that:
Client Acknowledgments. You acknowledge that: ● You are required to deposit a minimum of $100 to open a Passfolio Account and if the balance falls below $100 you will only be able to withdraw the entire balance and close the account or add funds. ● Various factors (including the timing and frequency of deposits and withdrawals, or market volatility) will cause the allocations of your model portfolio to fluctuate over time. ● If you choose a different model portfolio than the one we recommend for you, (a) you assume the risk that your model portfolio may perform worse for you over any time period than our recommended portfolio; (b) the model portfolio you select may not be suitable based on your risk tolerance, investment time horizon, or your investment objectives, financial condition, or other facts or circumstances that apply to you; and
(c) We are not liable for any losses or other damages resulting from your choice of model portfolio. ● The Program: (a) is not a complete investment program; (b) does not account for multiple goals; (c) does not consider outside assets, concentration, debt or other accounts you may have with us, with our affiliates, or any third party; (d) has limits on asset allocation models, profiles, and underlying instruments; (e) is not suitable for all investors; and (f) relies on the information you provide in your risk profile to provide investment recommendations, and we do not verify the completeness or accuracy of such information. ● We are not responsible for the obligations of the Introducing Broker and Custodian and that you have separate agreements with us and with the Introducing Broker and Custodian that allocate separate rights and obligations between you and the respective entity. You further acknowledge that the services you receive through the Program are sufficient consideration for you to enter into this Advisory Agreement. ● We do not guarantee that the model portfolio will perform better over any period of time than any other portfolio or investment option made available through the Program or otherwise available in the market.
Client Acknowledgments. By opening an account, acknowledges having read and understood the agreement. • Prime Global FX relies on their statements to operate. • Prime Global FX provides advisory and execution services, but investment decisions are the Client’s responsibility. • Any advice provided is general and does not consider the Client’s individual needs. • In accounts with multiple holders, the first name listed will be the main contact.