Investment Recommendations. CESL Sales and Trading staff may from time to time communicate Investment Recommendations as defined by the Market Abuse Regulation EU 594/2014. Such opinions and judgements offered are those of the author or individual sender (“Author”) acting as an agent of CESL and may differ from the opinions expressed by CESL or its Affiliates, including, including research publications. Views expressed by Sales and Trading personnel may not be objective or independent of the interests of the Authors or other CESL Sales and/or Trading desks, who are active participants in the markets, investments or strategies referred to in this communication. An investment recommendation is not a personal recommendation and does not take into account whether any product or transaction is suitable for any particular investor. CESL and its Affiliated Companies maintain information barriers to restrict the information flows that may give rise to a conflict of interest. These information barriers prevent information that is held by CESL and its Affiliated Companies from conflicting with the best interest of a client. Xxxxx Execution Services Limited Client Brokerage Agreement Schedule 3 Data Protection Notice to Data Subjects In providing the Services to the Client, your personal data such as contact details, email address, phone numbers, passport, residency history, employment history, NI number, DBS check, (this is not an exhaustive list ), may be disclosed to CESL to enable them to communicate with you to perform the “Services”. CESL has a registered address at 0 Xxxxxxx Xxxxxx, London, EC2A 2DQ and will be the data controller of your data for these purposes.
Investment Recommendations. The Donor recommends that may make recommendations to the Foundation regarding the investment of the Fund. However, such recommendations are advisory only, and the Foundation shall not be bound by such recommendations. Upon the resignation, incapacity or death of the Donor, or if no person or Scholarship Committee has been designated to make investment recommendations by the Donor, the Foundation shall select an investment strategy to fulfill the purpose of the Fund. Donor: East Texas Communities Foundation: Kyle L. Penney, Pxxxxxxxx XXXXNDUM II SCHOLARSHIP FUND AGREEMENT , 20
Investment Recommendations. 6.1. The Client acknowledges and agrees that the Bank may make Investment Recommendations that it thinks fit. The Client acknowledges that the Bank, subject to applicable laws, accepts no responsibility to send to the Client any information memorandum or other offering document and that the Bank takes no responsibility for the contents of, any information memorandum or other offering document, subscription agreement or such other similar document or information. The Bank makes no representation as to the performance or future performance of any Asset, and the Client acknowledges that he has not relied on any informa- tion, views or advice provided by the Bank or its employees or agents in making any decision to invest in any Asset.
Investment Recommendations information recommending or suggesting an investment strategy, explicitly or implicitly, concerning one or several financial instruments or the issuers, including any opinion as to the present or future value or price of such instruments, intended for distribution channels or for the public;
Investment Recommendations. Please be aware that investments can fall as well as rise and that you may not get back the full amount invested. The price of investments we recommend may depend on fluctuations in the financial markets, or other economic factors, which are out with our control. Past performance is not necessarily a guide to future performance. Specific warnings relevant to the investments or other products we arrange are provided in the product literature we provide. Best execution Where we sent investment applications on your behalf to third parties (e.g. to put an investment in force), we will take all sufficient steps to ensure that we obtain the best possible result for you. This is referred to as ‘Best Execution’. We have a Best Execution Policy, a copy of which is available on request. Conflict of interests Although we will always try to act in your best interests there may be situations where we or one of our other clients has some form of interest in the business being transacted for you. If this happens or we become aware that our interests or those of one of our other clients conflict with your interests, we will write to you and obtain your consent before we carry out your instructions, and detail the steps we will take to ensure fair treatment. Please let us know if you would like more information regarding conflicts of interest. Other benefits we may receive Under the rules of our regulator the FCA, as a firm providing independent advice we are unable to accept or retain payments or benefits from other firms (e.g. product providers) as this would conflict with our independent status. From time to time we may attend training events funded and /or delivered by product providers, fund managers and investment platforms. These events are designed to enhance our knowledge and ultimately therefore enhance the quality of service we provide to our clients. Please ask us if you want further details. Communicating with you We may communicate with you by telephone, post, e-mail, SMS text message or in person to provide advice or information relating to your existing policies. In certain circumstances, we may ask you to confirm any instructions in writing as this helps avoid any future misunderstandings. All our communications with you will be in English. We will ask for your consent where any communications from us are for marketing purposes. Financial Crime We are required to put in place controls to prevent our business from being used for money laundering and other f...
Investment Recommendations
