Common use of Dealing Service to be provided Clause in Contracts

Dealing Service to be provided. Advisory accounts An Advisory Service means that we will provide you with advice on investment services and products but the decision to invest or not to invest will be made by you. Under this service we may also execute investment transactions on your behalf where you have made an investment decision without taking any advice from us. (see paragraph 1 Part B) You shall remain designated as receiving advisory services in accordance with the advisory account opening document signed by you unless you seek, in writing, to change the designation of your account. Any such requested change shall not be effective until you have completed or provided such additional information as is requested by Xxxxxx and we have acknowledged the amendment of the change in status of your account in writing. Xxxxxx does not permit clients to take short equity positions other than via derivatives. Where specific terms apply to an investment you must consider these before investing. You acknowledge that some complex instruments may not be readily realisable and it may be difficult for investors to sell or realise the product and/or obtain reliable information about its value or the extent of the risks to which it is exposed. You acknowledge that execution of orders in respect of instruments which are not market traded and/or are not settled through normal market settlement systems for example, units in a mutual fund or unit trust, will be on a strictly best efforts basis only. Xxxxxx will not be responsible for any losses which may arise from time elapsed between the issue of the order in respect of the security in question, and its execution. Company Announcements: You should be aware in dealing in the securities of an entity in a period post the announcement of that entity’s results, or of other information material to its business, that such announcements are often followed by analysts’ briefings and conference calls. Information relevant to the price of the securities in question may emerge in such forum and may have an influence on the market price of the security. In choosing to deal in the period between the announcement by the entity and the subsequent analysts’ briefings, conference calls, etc, you acknowledge the risk of a possible adverse price movement. This acknowledgement is without prejudice to our other duties to you.

Dealing Service to be provided. Advisory Discretionary accounts An Advisory A Discretionary Service means that we Xxxxxx will provide you manage your portfolio of investments on a discretionary basis in accordance with advice on the investments objectives, risk profile and investment services and products but the decision to invest or not to invest will be made by you. Under this service we may also execute investment transactions on your behalf where purposes which you have made an investment decision without taking any advice from usadvised us of in your Client Mandate or subsequently in writing. (see paragraph 1 Part B) You shall remain designated as receiving advisory discretionary services in accordance with the advisory discretionary account opening document signed by you unless you seek, in writing, to change the designation of your account. Any such requested change shall not be effective until you have completed or provided such additional information as is requested by Xxxxxx and we have acknowledged the amendment of the change in status of your account in writing. Xxxxxx does not permit clients to take short equity positions other than via derivatives. Where specific terms apply to an investment you must consider these before investing. You acknowledge that some complex instruments may not be readily realisable and it may be difficult for investors to sell or realise the product and/or obtain reliable information about its value or the extent of the risks to which it is exposed. You acknowledge that execution of orders in respect of instruments which are not market traded and/or are not settled through normal market settlement systems for example, units in a mutual fund or unit trust, will be on a strictly best efforts basis only. Xxxxxx will not be responsible for any losses which may arise from time elapsed between the issue of the order in respect of the security in question, and its execution. Company Announcements: You should be aware in dealing in the securities of an entity in a period post the announcement of that entity’s results, or of other information material to its business, that such announcements are often followed by analysts’ briefings and conference calls. Information relevant to the price of the securities in question may emerge in such forum and may have an influence on the market price of the security. In choosing to deal in the period between the announcement by the entity and the subsequent analysts’ briefings, conference calls, etc, you acknowledge the risk of a possible adverse price movement. This acknowledgement is without prejudice to our other duties to you.

Dealing Service to be provided. Advisory accounts An Advisory Service means that we will provide you with advice on investment services and products but the decision to invest or not to invest will be made by you. Under this service we may also execute investment transactions on your behalf where you have made an investment decision without taking any advice from us. (see paragraph 1 Part B) ). You shall remain designated as receiving advisory services in accordance with the advisory account opening document signed by you unless you seek, in writing, to change the designation of your account. Any such requested change shall not be effective until you have completed or provided such additional information as is requested by Xxxxxx and we have acknowledged the amendment of the change in status of your account in writing. Xxxxxx does not permit clients to take short equity positions other than via derivatives. Where specific terms apply to an investment you must consider these before investing. You acknowledge that some complex instruments may not be readily realisable and it may be difficult for investors to sell or realise the product and/or obtain reliable information about its value or the extent of the risks to which it is exposed. You acknowledge that execution of orders in respect of instruments which are not market traded and/or are not settled through normal market settlement systems for example, units in a mutual fund or unit trust, will be on a strictly best efforts basis only. Xxxxxx will not be responsible for any losses which may arise from time elapsed between the issue of the order in respect of the security in question, and its execution. Company Announcements: You should be aware in dealing in the securities of an entity in a period post the announcement of that entity’s results, or of other information material to its business, that such announcements are often followed by analysts’ briefings and conference calls. Information relevant to the price of the securities in question may emerge in such forum and may have an influence on the market price of the security. In choosing to deal in the period between the announcement by the entity and the subsequent analysts’ briefings, conference calls, etc, you acknowledge the risk of a possible adverse price movement. This acknowledgement is without prejudice to our other duties to you.