Order Handling. A. Intermediary will offer and sell the Shares only in accordance with the terms and conditions of the Prospectus and Intermediary will make no representations not included in the Prospectus or in any authorized supplemental material supplied by Distributor.
B. Intermediary understands that the Shares of the Fund will be offered and sold at a price based on the net asset value (“NAV”) next determined after a purchase order is effective plus any applicable sales charge (the “Current Offering Price”), which is in effect at the time the order for such Shares is confirmed and accepted by the Fund or its Transfer Agent.
C. All requests for repurchase of Shares of the Fund shall be executed at the NAV as determined on the pricing dated for the repurchase offer and the proceeds of such repurchases shall be reduced by any expenses permitted by Rule 23c-3 under the 1940 Act for repurchase offers, as set forth in the Prospectus or the applicable repurchase offer notice, as the case may be.
D. Class Z Shares are available only to certain ‘Eligible Investors” as provided in the Class Z prospectus of the Fund, as amended from time to time. Intermediary agrees to make Class Z Shares available to its customers only with written authorization from the Fund. In connection with any repurchase offer for Shares, Intermediary agrees to deliver or cause to be delivered to each customer to whom such offer is made, a copy of the prospectus offer notice.
E. Intermediary expressly acknowledges and understands that the Shares will not be repurchased by the Fund (other than through repurchase offers or tender offers from time to time, if any) and that no secondary market for the Shares exists currently or is expected to develop. Intermediary also expressly acknowledges and agrees that, in the event the customer seeks to cancel his or her order for such Shares after confirmation, such Shares may not be repurchased, remarketed or otherwise disposed of by or through Intermediary. ANY REPRESENTATION AS TO A REPURCHASE OFFER OR A TENDER OFFER BY THE FUND, OTHER THAN THAT WHICH IS SET FORTH IN ITS PROSPECTUS OR THE REPURCHASE OFFER NOTICE, IS EXPRESSLY PROHIBITED.
F. The minimum dollar purchase of Shares shall be the applicable minimum amount described in the then current Prospectus and no order for less than such amount will be accepted hereunder.
G. All purchase requests and applications submitted by Intermediary are subject to acceptance or rejection in the Fund’s or Distributor’s sole ...
Order Handling. Betterment may, but is not required to, aggregate orders for the sale or purchase of securities for the Account with orders for the same security for other Betterment clients, including its employees and their related persons, and for Betterment’s own account with Betterment Securities. In such cases, each Account will be charged or credited with the average price per unit.
Order Handling. Client understands that, subject to the terms of an order, the method of execution of each order is in the sole discretion of Betterment Securities. Orders that are accepted by Betterment Securities will be transmitted by Betterment Securities or its agent to the appropriate exchange or other market for placement and execution. Certain orders, at the discretion of Betterment Securities or its agent, may be subject to manual review and entry, which may cause delays in the execution of orders on behalf of Client and may cause orders on behalf of Client to be executed at prices that are significantly different from price conditions that existed when the order was entered on behalf of Client. Betterment Securities reserves the right in its sole discretion to decline to accept any order without advance notice.
Order Handling. In accordance with MiFID client order handling rules, Cantor are required to have procedures and arrangements in place that provide for the prompt, fair and expeditious execution of Orders unless the characteristics of the order or prevailing market conditions make this impracticable or the interest of the client requires otherwise. We are also required to consider the need to manage any potential conflicts of interest between Clients and/or between Cantor and the Client.
Order Handling. I agree and understand that RHC does not guarantee that any order that I place will be filled. I further agree and understand that RHC reserves the right to cancel any order or part of an order if such order was placed during a scheduled or unscheduled RHC downtime, violates RHC’s Code of Conduct, or is non- marketable.
Order Handling.
4.1 The Contracting QP must place Orders for any of the following purposes in accordance with paragraph 4.2:
(a) to set up one or more L3 Virtual Routing Domains;
(b) to request Modification(s) to an Approved Project Schedule; and/or
(c) to Deactivate any L3 Virtual Routing Domains which has been set up by Nucleus Connect. In relation to paragraph 4.1(a), the number of L3 Virtual Routing Domains that the Contracting QP can have per Order is limited to one hundred (100). If the Contracting QP requires a number of L3 Virtual Routing Domains which exceeds one hundred (100), or has other specific requirements on the set up of the L3 Virtual Routing Domain(s), Nucleus Connect will assess such requirements on a case-by-case basis. In such event, additional Charges will also be applicable on a cost-oriented basis.
4.2 The Contracting QP shall use the Platform to place Orders, or (only if the Platform is not in operation) shall send Orders using the application form attached to this Service Schedule by email to xxxxxxxxx@xxxxxxxxxxxxxx.xxx (and/or such other email address as Nucleus Connect may notify the Contracting QP from time to time) in the first instance or if email is not available for any reason by facsimile to (00) 0000 0000 (and/or such other facsimile number as Nucleus Connect may notify the Contracting QP from time to time) (the latter method shall hereinafter be referred to as the “Manual Process”).
4.3 The Contracting QP is responsible for the acts and omissions of its Authorised Users in connection with the Platform and the Manual Process.
4.4 All Orders received by Nucleus Connect will be processed by Nucleus Connect in the order in which they are received. For Orders received via the Platform or via email, Nucleus Connect shall notify and send to the Contracting QP an acknowledgement that the Orders have been received.
4.5 Nucleus Connect shall use the Platform to notify the Contracting QP if Nucleus Connect rejects any Order submitted by the Contracting QP pursuant to paragraph 4.6, or (only if the Platform is not in operation) shall send such notification by email in the first instance or if email is not available for any reason by facsimile, to the email address or facsimile number of the “Primary contact person” specified in Annex 5 of the Master ICO Agreement. Any such rejection, and the reasons therefor, shall be notified to the Contracting QP as aforesaid within two (2) Business Days after Nucleus Connect’s receipt of such Order.
4.6 Subj...
Order Handling. A. Intermediary will offer and sell the Shares only in accordance with the terms and conditions of the current Prospectus and Statement of Additional Information (“SAI”) and Intermediary will make no representations not included in said Prospectus or SAI or in any authorized supplemental material supplied by Distributor.
B. Intermediary understands that the Shares of the Trust will be offered and sold at the net asset value next determined after a purchase order is effective plus any applicable sales charge (the “Current Offering Price”), which is in effect at the time the order for such Shares is confirmed and accepted by the Trust or its Transfer Agent. Selling and/or Services Agreement 4 of 17 Xxxxxx Funds MMC Securities Corp.
C. All orders for redemption of any Shares shall be executed at the net asset value per Share minus any applicable sales charge as described in the Prospectus.
D. The minimum dollar purchase of Shares shall be the applicable minimum amount described in the then current applicable Prospectus and no order for less than such amount will be accepted hereunder.
E. All purchase requests and applications submitted by Intermediary are subject to acceptance or rejection in the Trust’s sole discretion, and, if accepted, each purchase will be deemed to have been consummated at the office of the Trust.
F. The Trust reserves the right, at its discretion and without prior notice, to suspend the sale of Shares or withdraw entirely the sale of Shares of a Fund.
G. Intermediary agrees that all transactions will be processed through the systems of the National Securities Clearing Corp. (“NSCC”) unless otherwise agreed to between the parties or as instructed by the Transfer Agent. The procedures relating to purchase, redemption or exchange orders and the handling thereof will be subject to the terms of the Prospectus and written and agreed upon instructions received by Intermediary from the Trust or the Transfer Agent from time to time.
H. Intermediary agrees that Intermediary will follow all requirements, rules and regulations in connection with Intermediary’s handling of orders for transactions in the Shares, including, without limitation, Rule 22c-1(a) under the 1940 Act and as required by FINRA Rules 2010 and 2020.
I. Intermediary understands and agrees that, if any Shares sold under this Agreement are redeemed or repurchased by a Fund or are tendered for redemption within seven business days after the date of confirmation of the initial purchas...
Order Handling. We will attempt to execute all Transactions in accordance with your instructions, as received through our Trading Platform, via telephone, email, or other means we allow from time to time. Where prevailing rates are different from the rates posted on our Trading Platform, we will use commercially reasonable efforts to execute any Transactions on or close to the prevailing market rates. Regardless of whether we issue a written confirmation, you agree that a Contract shall have been formed and is binding upon the earlier of: (1) when Moneycorp verbally confirms the terms of a Transaction placed by telephone; (2) when Moneycorp sends a Confirmation confirming the terms of a Transaction entered by email or facsimile, or pursuant to a Standing Order; or (3) when Moneycorp sends a confirmation message to you through its Trading Platform. You hereby agree not to assume that any Transaction has been executed until you have received notification from us by the applicable method described above. We are not responsible for delays in transmission or execution of any Transaction due to disruption, failure, or malfunction of any of our systems or any third party system, and we are not liable for any claims, losses, damages, costs, or expenses, including attorneys’ fees, arising other than as a direct result of our gross negligence.
Order Handling. 7.1 We will handle client orders fairly. We may aggregate your Northbound orders with the Northbound orders of any other client or of its affiliates when we process such orders. This may sometimes operate to your disadvantage and, because of the quota restrictions escribed in the Annex, may result in your order only being partially executed or not at all.
7.2 All client orders and transactions to be undertaken for clients (“Client Orders”) which are for submission to the applicable open auction or start of continuous trading session (the “Opening”) shall be handled by us in a way that seeks to ensure that all such Client Orders have a fair and equal opportunity to participate in the Opening. We will regard all such Client Orders as having been received by us only at the point at which our system submits Client Orders into the applicable opening auction or start of continuous trading session.
Order Handling. Optimal may, but is not required to, aggregate orders for the sale or purchase of securities for the Account with orders for the same security for other Optimal clients, including its employees and their related persons, and for Optimal’s own account with Broker. In such cases, each Account will be charged or credited with the average price per unit.
