Material Interest. We will act honestly, fairly and professionally known as conducting business in ‘Client’s best interest’ regulations. Occasionally situations may arise where we or one of our other clients have some form of interest in business transacted for you. If this happens or we become aware that our interests or those of one of our other clients conflict with your interest, 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. Where this cannot be achieved, we will not conduct the business.
Material Interest. We will act honestly, fairly and professionally known as conducting business in ‘Client’s best interest’ regulations. Occasionally situations may arise where we or one of our other clients have some form of interest in business transacted for you. If this happens or we become aware that our interests or those of one of our other clients conflict with your interest, 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. In accordance with the rules of our regulator, The Financial Conduct Authority, we are prohibited from accepting any payment (commission or other non-monetary benefits) which is likely to conflict with the duty of the firm to its clients.
Material Interest. You acknowledge that when effecting Transactions for you, we or one of our associated companies may have an interest, relationship or arrangement that is material in relation to such Transaction or the Securities concerned. In particular, either we, our Agents or any of our associated companies may:
(a) effect Transactions with you as principal for their own account;
(b) effect Transactions in Securities where they have a position in the relevant Securities or are involved with those Securities as underwriter, sponsor or otherwise;
Material Interest. We will act honestly, fairly and professionally known as conducting business in ‘Client’s best interest’ regulations. Occasionally situations may arise where we or one of our other clients have some form of interest in business transacted for you. If this happens or we become aware that our interests or those of one of our other clients conflict with your interest, 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. Where this cannot be achieved, we will not conduct the business. In accordance with the rules of our regulator, The Financial Conduct Authority, we are prohibited from accepting any payment (commission or other non-monetary benefits) which is likely to conflict with the duty of the firm to its clients.
Material Interest. AM UK or its Affiliates may, when arranging deals or dealing for Customer have various policies and procedures in place to assist in identifying, preventing and managing conflicts of interests with Customer, or between Customer and another client that arise in the course of providing services. The AM UK Conflicts of Interest policy provides the overall framework for the identification of conflicts and addresses business conduct and practices that may give rise to an actual or potential conflict of interest. A summary of the policy can be found on the AM UK website. In addition to the Conflicts of Interest policy, there are various other policies and processes that address conflicts of interest that arise in specific circumstances, including those dealing with employee trading, external interests or gifts and entertainment. In those residual circumstances where organizational or administrative arrangements are unable to prevent, with reasonable confidence, that the risk of the conflict has a negative impact on Customer`s interest, AM UK and its Affiliates will disclose the source and nature of the material interest as soon as reasonably possible as well as the steps taken to mitigate those risks prior to providing services to Customer. AM UK and its Affiliates hereby disclose that, when arranging deals or dealing for Customer, they may have an interest relationship or arrangement that is material including, without limitation:
(A) Dealing in the investment concerned or a related investment or an asset underlying the investment, as principal for AM UK`s or the Affiliate`s own account or that of someone else, including selling to or buying from Customer;
(B) Combining Customer`s orders with the orders of AM UK`s Affiliates, or the orders of the Customers of AM UK or its Affiliates;
(C) Matching (e.g., by way of a cross) Customer`s order with that of another Customer by acting on his behalf as well as that of Customer;
(D) Buying from Customer and either selling or not selling immediately to another Customer or vice versa;
(E) Holding a position (including a short position in the investment concerned, a related investment or an asset underlying the investment);
(F) Quoting prices to the market in the investment, a related investment or the asset underlying the investment; and
(G) Arranging deals and providing other services to associates or Customers who may have interests in investments or underlying assets which conflict with Customer`s own. Customer authori...
Material Interest. 51 NYSE .......................................................................
Material Interest. We will act honestly, fairly and professionally. There is also a regulatory framework we work, known as conducting business in ‘Client’s best interest’. Occasionally situations may arise where we or one of our other clients have some form of interest in business transacted for you. If this happens or we become aware that our interests or those of one of our other client’s conflict with your interest, 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. In accordance with the rules of our regulator, we are prohibited from accepting any payment (commission or other non-monetary benefits) which is likely to conflict with the duty of the firm to its clients.
Material Interest. We will act honestly, fairly and professionally known as conducting business in ‘Client’s best interest’ regulations. Occasionally situations may arise where we or one of our other clients have some form of interest in business transacted for you. If this happens or we become aware that our interests or those of one of our other clients conflict with your interest, 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. In accordance with the rules of our regulator, The Financial Conduct Authority, we are prohibited from accepting any payment (commission or other non-monetary benefits) which is likely to conflict with the duty of the firm to its clients. The principals of Xxxxxx Wealth Management LLP have a minority shareholding in Capital Reward Ltd. Capital Reward Ltd is a subsidiary of our compliance support company and generates its income from the placement of business with certain product providers. The business placed is intended to add value to the shares in that company and the long term aim is for the shares to be sold, thereby providing a deferred cash benefit to the shareholders. The existence of the shareholding and any potential benefit will in no way influence our recommendation in relation to the most suitable product or provider. On request we will be pleased to provide you with a list of the providers from whom such benefits may be earned. We can also confirm that the provision of the shares and their potential benefits do not affect your product terms.
Material Interest. We will act honestly, fairly and professionally known as conducting business in ‘Client’s best interest’ regulations. Occasionally situations may arise where we or one of our other clients have some form of interest in business transacted for you. If this happens, or we become aware that our interests, or those of one of our other clients, conflict with your interest, 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. In accordance with the rules of our regulator, The FCA, we are prohibited from accepting any payment (commission or other non-monetary benefits) which is likely to conflict with the duty of the firm to its clients. Most clients involved with Pension Income Planning Ltd are directly referred from IFAs who wish to use the specialist financial advice service offered by such a company and as such any work outside of the remit and scope of Pension Income Planning Ltd.’s terms of engagement will be referred back to the introducing firm. Clients who come directly to Pension Income Planning Ltd may require advice on Lasting Power of Attorney, Xxxxx and Trusts and Pension Income Planning Ltd recommend Countrywide South- East LLP as a provider of these services. Countrywide South-East LLP is wholly owned by the shareholders of Pension Income Planning Ltd and if this company is successful and profitable these individuals may benefit financially.
Material Interest. We will act honestly, fairly and professionally, known as conducting business in ‘Client’s best interest’ regulations. Occasionally situations may arise where we, or one of our other clients, have some form of interest in business transacted for you. If this happens or we become aware that our interests or those of one of our other clients conflict with your interest, 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. From time to time we may attend training events funded and /or delivered by product providers, fund managers and platforms. These events are designed to enhance our knowledge and ultimately therefore enhance the quality of service we provide to our clients. Further details are available on request. In accordance with the rules of our regulator, the Financial Conduct Authority, we are prohibited from accepting any payment (commission or other non-monetary benefits) which is likely to conflict with the duty of the firm to its clients.
