Customer assessment. 7.1 You agree and acknowledge that in assessing your eligibility to trade in securities and units in collective investment schemes, we may be required to take into account and give due consideration to your investment knowledge and experience to trade in Listed Specified Investment Products (“Customer Account Review”) and unlisted Specified Investment Products ("Customer Knowledge Assessment"), or of your investment profile, financial objectives, financial situation, and particular needs (the "Needs Analysis") before or while providing any Services, opening any Account or to entering into any Transaction for your Account. The Customer Account Review, Customer Knowledge Assessment and Needs Analysis may be recorded in such documents as we may require from time to time. Pursuant to such Customer Account Review, Customer Knowledge Assessment and Needs Analysis, we may collect information about your investment objectives, financial situation and particular needs, including but not limited to the following:
7.1.1 your financial objectives;
7.1.2 your risk tolerance;
7.1.3 your employment status;
7.1.4 your financial situation, including your assets, liabilities, cash flow and income;
7.1.5 the source and amount of your regular income;
7.1.6 your financial commitments;
7.1.7 your current investment portfolio, including any life policy;
7.1.8 whether the amount to be invested is a substantial portion of your assets;
7.1.9 whether you hold a diploma or have higher qualifications in accountancy, actuarial science, business/business administration/business management/business studies, capital markets, commerce, economics, finance, financial engineering, financial planning, computational finance and insurance;
7.1.10 whether you have a professional finance-related qualification;
7.1.11 whether you have transacted in Listed Specified Investment Products at least 6 times in the preceding 3 years;
7.1.12 whether you have invested in certain collective investment schemes or investment- linked policies at least 6 times in the preceding 3 years, or any other unlisted SIP at least 6 times in the preceding 3 years; and
7.1.13 whether you have a minimum of 3 consecutive years of working experience in the past 10 years in the development of, structuring of, management of, sale of, trading of, research on and analysis of investment products or the provision of training in investment products, including any work experience in accountancy, actuarial science, treasury or financial...
Customer assessment. The Client acknowledges that the application to open an Account may be subject to uSMART SG having established that the Client has the requisite knowledge and competence under Applicable Law (including but not limited to the relevant Customer Account Review (CAR) and Customer Knowledge Assessment (CKA) requirements under the SFA, which uSMART SG may repeat from time to time) (“Customer Assessments”). For the avoidance of doubt, CAR means the term “Customer Account Review” and CKA means the term “Customer Knowledge Assessment” under the Notice on the Sale of Investment Products issued by the MAS under SFA. The Client is aware that any inaccurate or incomplete information provided may affect the outcome of the CAR and/or CKA. The Client may be assessed or deemed not to possess the requisite or competence (i) under the Applicable Law; (ii) if Client refuses or fails to provide all relevant information and documents to uSMART SG for such Customer Assessments, or (iii) refuse to carry out the Customer Assessment (including performing any updates to the Customer Assessment as may be required by uSMART SG from time to time).
Customer assessment. Customer is solely responsible for determining the suitability of the Service for Customer's business and complying with any Laws applicable to Customer’s use of the Service.
Customer assessment a. Agency may use either existing assessment forms, or a Program-provided assessment form.
b. Agency shall assess the home and scope a project that adheres to IHWAP’s standard work specifications using qualified staff. Assessment and Inspection staff are not required to complete the IHWAP’s Training Certification Program (TCP) training prior to commencing work in the field if staff otherwise hold industry-standard and Agency- accepted credentials or qualifications.
c. The detailed assessment documentation requirements under IHWAP are not required by the Program, unless Agency sees value in capturing that level of detail for internal purposes (e.g., to complete the work order). Energy modeling is not required by the Program.
Customer assessment. 3.1. You acknowledge that your application to open an Account, access any Service(s) or undertake any Transaction(s) may be subject to Webull having established that you have the requisite knowledge and competence under such Applicable Laws and Regulations (including the Client Assessment Requirements) as may be applicable to you (the “Client Assessment”). You agree to provide such information and documents as Webull may request for the purposes of the Client Assessment, as soon as practicable.
3.2. If you are assessed or deemed by Webull not to possess the requisite knowledge and competence, or if you fail or refuse to provide all relevant information and documents to Webull under Clause 3.1, Webull may at its absolute discretion refuse to permit you to open an Account, access any Service(s) or enter into any Transaction(s), without Webull incurring any liability whatsoever to you for such refusal. If the information or documents you provide to Webull are inaccurate or incomplete, this may affect the outcome of the Client Assessment.
3.3. To the extent permitted under Applicable Laws and Regulations, Webull does not undertake any duty or obligation to ensure that any Transaction or Securities are suitable or recommended for you, and Webull shall not be regarded as making any recommendation or suitability representation to you by reason only that Webull permitted you to open an Account, access any Service(s) or enter into any Transaction(s).
