Dealing policies. We will always deal for you on a best execution basis in accordance with The FSA Financial Services Rulebook in force from time to time. We may provide services to you under this Agreement notwithstanding that FIM, or an associated company or person connected with it, may have a particular interest or relationship which could result in conflicting interests or duties. A copy of our conflicts of interest policy will be made available on request. Details of the qualifications and/or relevant education may be requested in relation to our team of Investment Managers. Please note a short biographies are included on our website; xxxxx://xxxxxxxxxx.xx.xx/ In particular we may, without prior reference to you: • deal in investments in which FIM, or any associated company or person connected with it, have underwritten, managed or arranged an offer or issue for sale during the preceding twelve months; • deal in investments in respect of which FIM, or any associated company or person connected with it, may benefit from a commission, fee, mark-up or mark-down payable otherwise than by you and where FIM, or any associated company or person connected with it, may also be remunerated by the counterparty to any such transaction; • deal in investments of a company on your behalf in respect of which FIM, or any associated company or person connected with it, is a director or holds or deals in securities of that company or is otherwise interested in that company; • combine your transactions with those of other clients and average the prices obtained; • carry out a transaction on your behalf in securities issued by an associated company or person connected with it or a customer of an associated company; • deal on your behalf with an associated company or person connected with it; • act as agent for you in relation to transactions in which FIM is also acting as agent for other clients and/or an associated company or person connected with it; • carry out a transaction on your behalf in units or shares of collective investment schemes, e.g. unit trusts, where FIM or an associated company or person connected with it, acts as manager, operator, banker, distributor adviser or trustee to the scheme concerned; • effect transactions on your behalf involving placings and/or new issues with an associated company or person connected with it who may be acting as principal or receiving an agent’s commission. FIM may or may not profit from the dealing where it or any associated company or pe...
Dealing policies. We will always deal for you on a best execution basis in accordance with The FSA Financial Services Rulebook in force from time to time. We may provide services to you under this Agreement notwithstanding that FIM, or an associated company or person connected with it, may have a particular interest or relationship which could result in conflicting interests or duties. A copy of our conflicts of interest policy will be made available on request. Details of the qualifications and/or relevant education may be requested in relation to our team of Investment Managers. Please note that short biographies are included on our website; xxxxx://xxxxxxxxxx.xx.xx/ FIM may or may not profit from dealing where it, or any associated company or person connected with it, acts as principal.
Dealing policies. Where we arrange a transaction on your behalf we will take all reasonable steps to obtain the best possible result for you xx xxxx into account price, costs, speed, likelihood of execution and settlement, size, nature and any other issues that we consider to be relevant. Investors should note that mainstream UK life assurance, pension funds and unit trusts/oeics may be purchased Monday to Friday 9.30 a.m. to 5.00 p.m. by either telephone or electronically, subject to cleared funds being in place and any third-party money laundering requirements satisfied. Xxxxxxxxx Xxxxxxx accepts no responsibility for the frustration of the transactions it places if caused by either the actions or unexpected additional requirements of third parties. We undertake to deal within 24 hours* if instructions are emailed/faxed to us and we have acknowledged receipt. We accept no responsibility to deal in respect of instructions of which we have not acknowledged receipt – clients should seek confirmation if receipt of their instructions is not acknowledged on the same business day. Instructions sent by post will be dealt with within 24 hours*. *If instructions are received on Friday (UK time) or immediately prior to a UK public holiday, they will normally be acted upon the following UK business day. The pricing of UK oeics/unit trust is from noon one day, to noon the following day. It is your responsibility to inform us if you become non-UK tax resident, resident in a different country for taxation purposes, or are liable to file tax returns in another country. If you become tax resident outside the UK or liable to file tax returns in a country other than the UK in the future, it may not be possible to offer some or all of the UK services provided by Xxxxxxxxx Xxxxxxx. If you are a British expatriate, or a foreign national resident outside the UK, it is your responsibility to keep us informed of your country of tax residence and of your future intentions with regard to tax residence should these change. When conducting investment or other business with Xxxxxxxxx Xxxxxxx, your business relationship is at all times with the firm, which takes responsibility for the professional activities of its partners, employees and other staff. Xxxxxxxxx Morland’s partners and staff have normally agreed to a restrictive covenant preventing them from dealing with Xxxxxxxxx Morland’s clients for a period of twelve months after their employment or partnership ceases. This means that an individual w...
