CONFIRMATIONS AND ACCOUNT STATEMENTS a. Reports or confirmations of the execution of securities orders and statements of your Account will be binding if you do not object in writing within ten (10) business days after Broker forwards the confirmation or statement to you by mail or another method of delivery. Broker will send an Account statement to the address of record: every calendar quarter, at a minimum and for any month when you have trading or cash management activity. Account statements will show all activity in the Account for the stated period, including securities transactions, cash balances, credits and debits, and all fees paid directly from the Account. Broker will also send out a confirmation for every securities transaction in the Account. The only exceptions are automatic investments, automatic withdrawals, or dividend reinvestments; for these activities, your regular Account statement serves in place of a confirmation.
b. To receive Account statements and confirmations faster, you can arrange to have them delivered electronically, at no charge, instead of through the mail. If you live with immediate family members who also have eligible accounts, you can “household” those accounts to potentially qualify for enhanced services and features. You may elect to have accounts householded by submitting a request to xxxxxxx@xxxxxxxxxx.xxx. You also may elect to have your statements combined or householded by submitting a request to xxxxxxx@xxxxxxxxxx.xxx. By electing to participate in householding, you agree that Broker may provide the employers of any householded account holders with Account statements, trade confirmations, or other documents as required by applicable regulations.
c. As an owner of the Account, you are responsible for monitoring the Account. This includes making sure that you are receiving transaction confirmations, Account statements, and any other expected communications. It also includes reviewing these documents to see that information about the Account is accurate and contains nothing suspicious. Note that so long as Broker sends communications to you at the electronic or physical address of record given on the application, or to any other address given to Broker by an authorized person, the communications are legally presumed to have been delivered, whether you actually received them or not. In addition, confirmations and statements are legally presumed to be accurate unless you specifically tell Broker otherwise.
d. If you have not received a communication tha...
CONFIRMATIONS AND ACCOUNT STATEMENTS. SoFi HK will endeavour to confirm with you promptly the features of a transaction effected on your behalf. In addition, SoFi HK will provide you with monthly account statements in accordance with the Securities and Futures (Contract Notes, Statements of Account and Receipts) Rules (the “Contract Notes Rules”) unless (a) SoFi HK is not required to prepare and provide to you a contract note, a statement of account and a receipt in accordance with the Contract Notes Rules during the relevant period; (b) SoFi HK’s Associated Entity is not required to prepare and provide to you a receipt in accordance with the Contract Notes Rules during the relevant period; (c) the balance of the Account is nil at all time during the relevant period; (d) you have no open position as at the end of the relevant period; and (e) no Securities and collateral are held for your account at all time during the relevant period. Subject to any contrary legal or regulatory requirement, you agree to any contract notes, other confirmations and account statements to be in electronic form and further agree to receiving them through electronic means in lieu of hard copies of the same. Unless there have been no transactions over a continuous period of six (6) months, SoFi HK will report your statements electronically through the email. You are responsible for reviewing all acknowledgements, confirmations, contract notes and account statements in relation to your transactions, and your Account immediately upon your first receiving them. All transactions and other information in any acknowledgements, confirmations or contract notes will be binding on you unless SoFi HK receives notice of objection in writing or via electronic mail within 14 days after you receive or are deemed to have received the same. All transactions and other information in any account statements will be binding on you unless SoFi HK receives notice of objection in writing or via electronic mail within 14 days after you receive or are deemed to have received the same. In all cases, SoFi HK reserves the right to determine the validity of your objection to the relevant transaction or information.
CONFIRMATIONS AND ACCOUNT STATEMENTS. A. AM UK or its Affiliates shall provide a summary of the trading activity in Customer`s account to Customer on a daily basis. AM UK or its Affiliates shall provide to Customer account statements of Customer`s account on a monthly basis.
B. AM UK and its Affiliates may elect to confirm the execution or cancellation of any Customer order by the sole methods of transmitting an electronic confirmation to Customer via e-mail or through its electronic platform or, for security purposes, by posting the information on the AM UK website with a notification sent to Customer to login and retrieve the information. Customer agrees to accept electronic trade confirmations in lieu of printed confirmations.
C. Customer agrees to monitor each open order until AM UK or one of its Affiliates confirms the execution or cancellation of the order to Customer. Confirmations may be subject to delays. Customer understands that reports and confirmations of order executions or cancellations may be erroneous for various reasons including, but not limited to, cancellation or adjustment by an exchange. Confirmations also are subject to change by AM UK or its Affiliates, in which case, Customer shall be bound by the actual order execution, so long as it is consistent with customer`s order.
D. Customer agrees to notify AM UK by telephone at the telephone number(s) specified on the AM UK website or by e-mail to the AM Customer Service Department at xxxxx@xxxxxxxxxxxxxx.xxx as soon as reasonably possible after Customer has become aware, or should have become aware, that:
(1) Customer has failed to receive an accurate confirmation of an execution or cancellation;
(2) Customer has received a confirmation that is not consistent with Customer`s order;
(3) Customer has received confirmation of execution or cancellation of an order that Customer did not place; or
(4) Customer has received a confirmation; account statement; or other information reflecting inaccurate orders, trades, account balances, securities, funds, margin status or transaction history.
E. In the event that AM UK or any of its Affiliates confirms an execution or cancellation in error and Customer unreasonably delays in reporting such error, AM UK and its Affiliates reserve the right to require Customer to accept the trade, or to remove the trade from Customer`s account, in their respective sole discretion.
F. Customer understands and agrees that AM UK or its Affiliates may adjust Customer`s account to correct any error. Custome...
CONFIRMATIONS AND ACCOUNT STATEMENTS. On 1 February 2007, SEC granted COL exemptive relief from Securities Regulation Code (SRC) Rules 30.2- 2 and 52.1-8. Accordingly, COL shall furnish account statements and confirmations of all executed transactions on the day these are made by electronic mail sent to the email address appearing in COL’s records. These shall be binding if no written objection is made by the next business day. The Client acknowledges that the validity of his objection to any such confirmation of transaction or account statement shall be determined solely by COL.
CONFIRMATIONS AND ACCOUNT STATEMENTS. 40.1 Electronic Settlement/Trade Confirmations: Following the execution of a dealing Instruction for your Account, we will confirm that Transaction and/or Contract as soon as we reasonably can by posting a trade confirmation (“Settlement/Trade Confirmation”) on our Online Trading Facility, but failure to do so will not affect the validity of the transaction. Settlement/Trade Confirmations will normally be available instantly following the execution of the Transaction via our Online Trading Facility. Confirmations shall be deemed to be conclusive and binding on you if not objected to immediately upon receipt with such objection confirmed in writing (including e-mail or electronic mail) no later than close of business on the business day (being a day, other than a Saturday, Sunday or public holiday, when banks in Saint Kitts and Nevis are open for business) (a “Business Day”) following the day on which the Settlement/Trade Confirmation is posted on our Online Trading Facility. In the event that you believe to have entered into a Transaction or Contract, which should have produced a Settlement/Trade Confirmation or otherwise a posting on your Account, but you have not received such confirmation, you must inform us immediately when you ought to have received such confirmation. In the absence of such information, the Transaction and/or Contract may, at our reasonable discretion, be deemed to be non–existent.
40.2 Reports of Account Activity: We will post details of your Account activity on our Online Trading Facility and you will be able to generate daily and monthly of your Account activity as well as a report of each executed Transaction and/or Contract. Updated Account information normally will be updated periodically during our Dealing Hours and will in any event be available no more than twenty-four (24) hours after any activity takes place on your Account. Posting of Account Information (as defined below) via our Online Trading Facility will be deemed delivery of Settlement/Trade Confirmations and Account statements. Account information will include Settlement/Trade Confirmations with ticket numbers, purchase and sale rates, utilised Margin available for Margin trading, statements of profits and losses, as well as current open positions, any other information required to be provided under Applicable Laws, Rules and/or Regulations and any other information we may make available (“Account Information”). We may in our absolute discretion withdraw or amend an...
CONFIRMATIONS AND ACCOUNT STATEMENTS. On 1 February 2007, SEC granted COL exemptive relief from Securities Regulation Code (SRC) Rules 30.2-2 and 52.1-
CONFIRMATIONS AND ACCOUNT STATEMENTS. 25.1. Confirmations for all Transactions and/or Contract that have been executed in your Account on a trading day will be available in your online Client Account through our trading platform as soon as the Transaction and/or Contract is executed. It is your responsibility to notify us if any confirmation is incorrect. Confirmations shall, in the absence of manifest error, be conclusive and binding on you, unless you place your objection in writing within fourteen (14) Business Days. You may request to receive the Client Account statement monthly or quarterly via email, by providing such a request to us, but we are not obliged to provide you with the Client Account statement in hard copy. The Client Account statement may be provided at your expense.
CONFIRMATIONS AND ACCOUNT STATEMENTS. 5.1 The Client hereby consents that BROKERAGE FIRM will send either electronically or by hard copy to the Client a confirmation promptly following execution of an Instruction and a monthly statement on the Account. Such confirmations and monthly statements of the Account shall be conclusive and deemed to be accepted by the Client if not objected to by notice in writing from the Client within 7 days after BROKERAGE FIRM despatch of such confirmation and statement in accordance with Clause 6. The Client shall be deemed to have waived any alleged errors or omissions in the absence of such notification.
CONFIRMATIONS AND ACCOUNT STATEMENTS. Reports of trades executed with Bear Xxxxxxx, prime broker transactions, futures transactions and other Activities with you (“Activity Report(s)”) that have been provided or made available to you by 10:00 a.m. (New York time) on the business day immediately following the trade date shall be conclusive if not objected to in writing by 12:00 noon (New York time) on that day, except that with respect to Clearing Transactions for which Bear Xxxxxxx’ time to disaffirm is earlier than such time, by not later than one half hour prior to Bear Xxxxxxx’ time to disaffirm, or, if such Activity Reports are provided or made available to you after 10:00 a.m. (New York time) on the business day immediately following the trade date, then no later than two hours after such reports have been provided or made available to you, except that with respect to Clearing Transactions for which Bear Xxxxxxx’ time to disaffirm is earlier than such time, by not later than one half hour prior to Bear Xxxxxxx’ time to disaffirm. Information contained in confirmations and account statements to the extent not included in such Activity Reports shall be conclusive if not objected to in writing within three days in the case of confirmations and ten days in the case of account statements, after such documents have been transmitted to you by mail or otherwise.
CONFIRMATIONS AND ACCOUNT STATEMENTS. You acknowledge that transaction confirmation statements and periodic account statements are the regular reminders to you of the status of your Account. Accordingly, you agree to review confirmation statements and periodic account statements in a timely manner and to notify NMIS of any discrepancies. Confirmations of transactions and statements for your Account(s) shall be conclusively deemed accurate if you do not object, in writing, within ten (10) calendar days after receipt by you. Such notice must be sent by you to the IPS Retail Investment Operations Department. Failure to so notify NMIS shall preclude you from asserting at any later time that transactions reflected in such confirmations or Client Account Statements were unauthorized. If you are mistakenly credited with funds or securities, you shall promptly return such funds of securities upon your discovery of the error or upon request from NMIS. In the event your Client Account Statement indicates that securities were delivered and you have not received them, it is understood that you will notify NMIS immediately in writing. If written notification is received within 120 calendar days after the delivery date, as reflected on your Client Account Statement, replacement will be made free of charge. Thereafter, a fee for replacement may apply. In the event that you request NMIS to instruct the Clearing Firm to post information (including security valuations) concerning assets not held at the Clearing Firm, or securities or other property not sold through NMIS, or for which there is no ascertainable market value, onto any Client Account Statement, neither NMIS nor the Clearing Firm shall have any liability to you for inaccuracies or omissions.
