Client Suitability Sample Clauses
The Client Suitability clause establishes the obligation of the service provider to assess whether a product or service is appropriate for the client's needs, circumstances, and objectives. In practice, this may involve gathering information about the client's financial situation, experience, and goals before making recommendations or proceeding with a transaction. By requiring this assessment, the clause helps ensure that clients receive suitable advice or offerings, thereby reducing the risk of mis-selling and protecting both parties from potential disputes over inappropriate products or services.
Client Suitability. The Investment Adviser understands and agrees that the Sub-Adviser, as part of its duties hereunder, is not responsible for determining whether or not the Fund is suitable and appropriate investments for the clients who invest in such.
Client Suitability. Prior to the acceptance of participation, the TRUSTOR/s shall undergo client suitability, through a Client Suitability Assessment, which shall be acknowledged and signed by the TRUSTOR/s. For investments in UITF, the TRUSTOR/s have read and understood the general features of the UITFs with risk classification corresponding to his/their risk profile, and have made an informed decision to invest or consider future investments in these UITFs.
Client Suitability. Prior to the acceptance of participation, the TRUSTEE shall perform client suitability, through a Client Suitability Assessment form which shall be acknowledged and signed by the TRUSTOR/s.
Client Suitability. Prior to the acceptance of participation, the TRUSTOR shall undergo a Client Suitability Assessment, using a document referred to as such, which shall be acknowledged and signed by the TRUSTOR. For investments in the FUND, the TRUSTOR confirms that he has read and understood the general features of the FUND as contained in the PLAN/TRUST DEED, with risk classification corresponding to his risk profile, and has made an informed decision to invest or consider future investments in the FUND.
Client Suitability. RWBAS understands and agrees that the Sub-Adviser, as part of its duties hereunder, is not responsible for determining whether or not any of the Funds are suitable and appropriate investments for the clients who invest in such Funds.
Client Suitability. Assante understands and agrees that the Sub-Adviser, as part of its duties hereunder, is not responsible for determining whether or not any of the Funds are suitable and appropriate investments for the clients who invest in such Funds.
Client Suitability. 22.1. It is understood that when providing the Client with Securities Dealing Services on an "execution-only” basis, the Company is not required and does not assess whether the financial instrument or Service is suitable for the Client. As a result, the Client carries the responsibility for their own investment decisions.
Client Suitability. Prior to the acceptance of the initial participation from a Participant, the Trustee shall perform client suitability assessment, through a Client Suitability Assessment form which shall be accomplished and signed by the Participant.
Client Suitability. The Adviser understands and agrees that the SubAdviser, as part of its duties hereunder, is not responsible for determining whether or not any of the Funds are suitable and appropriate investments for the clients who invest in such Funds.