DEALING ARRANGEMENTS Sample Clauses
The "Dealing Arrangements" clause defines the procedures and protocols that parties must follow when conducting transactions or dealings under the agreement. It typically outlines how orders are to be placed, processed, and confirmed, and may specify the roles and responsibilities of each party in the transaction process. For example, it might detail the timing for submitting instructions, acceptable communication methods, or the process for resolving discrepancies. The core function of this clause is to ensure that all dealings are conducted in an orderly, transparent, and efficient manner, thereby reducing the risk of misunderstandings or operational errors.
DEALING ARRANGEMENTS. The Local Manager’s policy regarding its Dealing Arrangements, including details of the goods and services that relate to the execution of trades and those that relate to the provision of research are set out in Schedule 2. The Local Manager shall provide the Investment Adviser with details of its Dealing Arrangements with the frequency required by the FCA Rules. For purposes of this Agreement, “
DEALING ARRANGEMENTS. The Local Manager's policy regarding its Dealing Arrangements, including details of the goods and services that relate to the execution of trades and those that relate to the provision of research are set out in Schedule 2. The Local Manager shall provide VKAM with details of its Dealing Arrangements with the frequency required by the FSA Rules. For purposes of this Agreement, "
DEALING ARRANGEMENTS. The Advisor does not enter into Dealing Arrangements (as defined in the FSA Rules) with brokers or other third parties (meaning the soft-commission type arrangements entered into for the receipt of goods or services that relate to the execution of trades or the provision of research, under which an investment manager executes customer orders with a specific broker).
DEALING ARRANGEMENTS. The Local Manager's policy regarding its Dealing Arrangements, including details of the goods and services that relate to the execution of trades and those that relate to the provision of research are set out in Schedule 2. The Local Manager shall provide the Investment Adviser with details of its Dealing Arrangements with the frequency required by the FSA Rules. For purposes of this Agreement, "Dealing Arrangements" means arrangements entered into by the Local Manager as permitted by the FSA Rules for the receipt or payment of money, goods or services that relate to the execution of trades or the provision of research under which the Local Manager executes or arranges for the execution of orders in designated investments.
DEALING ARRANGEMENTS. The Advisor does not enter into Dealing Arrangements (being arrangements in accordance with the FSA Rules for the receipt of goods or services that relate to the execution of trades or the provision of research, under which the Advisor executes customer orders in any of the designated investments specified in the FSA Rules). Certain brokers or third parties may introduce clients to the Advisor without being separately remunerated for such services to the extent that is permitted under the FSA Rules. The Advisor has identified the potential conflicts of interest that may arise as a result of such arrangements in its conflicts of interest policy so as to ensure as far as possible that such arrangements shall not impair compliance with the Advisor's duty to act in the best interests of the Fund. Further information on such arrangements shall be disclosed to the Fund on request.
DEALING ARRANGEMENTS. 9.1 The Manager may from time to time enter into arrangements for the receipt of goods or services that relate to the execution of trades or the provision of research in accordance with the FCA Rules.
9.2 The Manager uses commission sharing arrangements to purchase a defined range of execution and research services in accordance with the criteria set out in the FCA Rules. Typical examples of research services satisfying these criteria include, without limitation, macroeconomic research and equity research. An example of an execution service is an electronic trading platform.
9.3 The Manager will ensure that Dealing Arrangements will comply with the FCA’s rules. In particular, the Manager will not receive goods or services under such an arrangement unless the Manager has reasonable grounds to be satisfied that the goods or services are related to the execution of trades on behalf of the Manager’s customers; or comprise the provision of research and will reasonably assist the Manager in the provision of its services to its customers on whose behalf the orders are being executed and do not, and are not likely to, impair compliance with the duty of the Manager to act in the best interests of its customers.
9.4 The Manager shall provide the Client with adequate information regarding its dealing arrangements on an annual basis, in accordance with the FCA Rules.