Common use of Orders and Instructions Clause in Contracts

Orders and Instructions. 4.1 You agree that: a. if you wish to place any Order or provide any instructions in respect of your Trading Account, you must do so with the Intermediary (such communications to be given in the form and manner agreed with the Intermediary from time to time), and you authorise the Intermediary, as your agent (and not as the agent of Openmarkets), to communicate your Order and other instructions or information to Openmarkets; b. any Order is subject to terms agreed between Openmarkets and the Intermediary in relation to the execution and processing of Orders; c. Openmarkets may provide communications to you through the Intermediary and not directly to you. 4.2 You represent and warrant to Openmarkets that you have authorised the Intermediary to communicate and provide instructions to Openmarkets on your Trading Account on your behalf and have access to all and any information relating to the Trading Account or services provided by Openmarkets. Openmarkets will not act on any Orders or other instructions or information communicated directly to it by you (and not the Intermediary). You may only terminate the Intermediary’s authority to act on your behalf by terminating this agreement. 4.3 As a Participant of one or more Securities Exchange, subject to your instructions, Openmarkets is required to handle and execute Orders in accordance with the Competition Market Integrity Rules. A copy of the Openmarkets Best Execution Policy as at the date of these Terms and Conditions is set out in Schedule 4. Openmarkets may from time to time amend its Best Execution Policy and make such amendments available on its website or through the Intermediary, or otherwise notify you of the amended Best Execution Policy. 4.4 Openmarkets may at any time, in its absolute discretion, refuse to accept any Order from, or execute Orders for you. For example, Openmarkets may refuse to accept your Order if it would require Openmarkets to act otherwise than in accordance with its Best Execution Policy. 4.5 Subject to any instructions from you, Openmarkets will generally execute Orders in the sequence in which they are received. However, you acknowledge and agree that: a. your Order may be automatically crossed against other orders before reaching the Market; b. Openmarkets may not be aware of principal orders that are being (or may be) executed, and that direct market access arrangements and program trading may make it impossible to prevent principal orders from being executed at the same time as (or before) your Order. Accordingly, you agree that Openmarkets may execute principal orders where your Order on the same terms is outstanding and that these Terms and Conditions constitute disclosure as required by the Market Integrity Rules. Unless you notify Openmarkets to the contrary, you will be taken to have consented to Openmarkets (and/or any of its related bodies corporate) trading as Principal with you and agree to pay such commission (if any) on such transactions, each time you place an order with Openmarkets through the Intermediary; c. you will be charged the normal rate of commission by the Intermediary for Orders which are crossed with Openmarkets’ principal orders unless, if you are a retail client (as defined in the Corporations Act), we are not permitted to do so under the Corporations Act or the Market Integrity Rules; and d. an Order once accepted by Openmarkets may not be transacted and an Order to transact an AQUA Product through the ASX Managed Fund Settlement Service is subject to acceptance by the issuer of the product and an application for issue or redemption of a product may be rejected; and e. an Order to transact in an AQUA Product is not traded on a Securities Exchange and comprises an application by you to the relevant product issuer. You acknowledge and agree that: (i) Openmarkets does not control and cannot procure the issue or redemption of AQUA Products or the processing of requests for issue or redemption of, or switch between, AQUA Products; (ii) Openmarkets has no liability to you or the Intermediary with respect to any action or failure to take action by an issuer or other Settlement Participant in connection with a request for issue, redemption or switch of AQUA Products including (without limitation) an issuer’s failure to issue or redeem AQUA Products or make available redemption monies or to deliver AQUA Products.

Orders and Instructions. 4.1 You agree that: a. if you wish to place any Order or provide any instructions in respect of your Trading Account, you must do so with the Intermediary (such communications to be given in the form and manner agreed with the Intermediary from time to time), and you authorise the Intermediary, as your agent (and not as the agent of OpenmarketsOpenMarkets), to communicate your Order and other instructions or information to OpenmarketsOpenMarkets; b. any Order is subject to terms agreed between Openmarkets OpenMarkets and the Intermediary in relation to the execution and processing of Orders; c. Openmarkets OpenMarkets may provide communications to you through the Intermediary and not directly to you. 4.2 You represent and warrant to Openmarkets OpenMarkets that you have authorised the Intermediary to communicate and provide instructions to Openmarkets OpenMarkets on your Trading Account on your behalf and have access to all and any information relating to the Trading Account or services provided by OpenmarketsOpenMarkets. Openmarkets OpenMarkets will not act on any Orders or other instructions or information communicated directly to it by you (and not the Intermediary). You may only terminate the Intermediary’s authority to act on your behalf by terminating this agreement. 4.3 As a Participant of one or more Securities Exchange, subject to your instructions, Openmarkets OpenMarkets is required to handle and execute Orders in accordance with the Competition Market Integrity Rules. A copy of the Openmarkets OpenMarkets Best Execution Policy as at the date of these Terms and Conditions is set out in Schedule 4. Openmarkets OpenMarkets may from time to time amend its Best Execution Policy and make such amendments available on its website or through the Intermediary, or otherwise notify you of the amended Best Execution Policy. 4.4 Openmarkets OpenMarkets may at any time, in its absolute discretion, refuse to accept any Order from, or execute Orders for you. For example, Openmarkets OpenMarkets may refuse to accept your Order if it would require Openmarkets OpenMarkets to act otherwise than in accordance with its Best Execution Policy. 4.5 Subject to any instructions from you, Openmarkets OpenMarkets will generally execute Orders in the sequence in which they are received. However, you acknowledge and agree that: a. your Order may be automatically crossed against other orders before reaching the Market; b. Openmarkets OpenMarkets may not be aware of principal orders that are being (or may be) executed, and that direct market access arrangements and program trading may make it impossible to prevent principal orders from being executed at the same time as (or before) your Order. Accordingly, you agree that Openmarkets OpenMarkets may execute principal orders where your Order on the same terms is outstanding and that these Terms and Conditions constitute disclosure as required by the Market Integrity Rules. Unless you notify Openmarkets OpenMarkets to the contrary, you will be taken to have consented to Openmarkets OpenMarkets (and/or any of its related bodies corporate) trading as Principal with you and agree to pay such commission (if any) on such transactions, each time you place an order with Openmarkets OpenMarkets through the Intermediary; c. you will be charged the normal rate of commission by the Intermediary for Orders which are crossed with OpenmarketsOpenMarkets’ principal orders unless, if you are a retail client (as defined in the Corporations Act), we are not permitted to do so under the Corporations Act or the Market Integrity Rules; and d. an Order once accepted by Openmarkets OpenMarkets may not be transacted and an Order to transact an AQUA Product through the ASX Managed Fund Settlement Service is subject to acceptance by the issuer of the product and an application for issue or redemption of a product may be rejected; and e. an Order to transact in an AQUA Product is not traded on a Securities Exchange and comprises an application by you to the relevant product issuer. You acknowledge and agree that: (i) Openmarkets OpenMarkets does not control and cannot procure the issue or redemption of AQUA Products or the processing of requests for issue or redemption of, or switch between, AQUA Products; (ii) Openmarkets OpenMarkets has no liability to you or the Intermediary with respect to any action or failure to take action by an issuer or other Settlement Participant in connection with a request for issue, redemption or switch of AQUA Products including (without limitation) an issuer’s failure to issue or redeem AQUA Products or make available redemption monies or to deliver AQUA Products.

Orders and Instructions. 4.1 You agree that: a. if you wish to place any Order or provide any instructions in respect of your Trading Account, you must do so with the Intermediary (such communications to be given in the form and manner agreed with the Intermediary from time to time), and you authorise the Intermediary, as your agent (and not as the agent of Openmarkets), to communicate your Order and other instructions or information to Openmarkets; b. any Order is subject to terms agreed between Openmarkets and the Intermediary in relation to the execution and processing of Orders; c. Openmarkets may provide communications to you through the Intermediary and not directly to you. 4.2 You represent and warrant to Openmarkets that you have authorised the Intermediary to communicate and provide instructions to Openmarkets on your Trading Account on your behalf and have access to all and any information relating to the Trading Account or services provided by Openmarkets. Openmarkets will not act on any Orders or other instructions or information communicated directly to it by you (and not the Intermediary). You may only terminate the Intermediary’s authority to act on your behalf by terminating this agreement. 4.3 As a Participant of one or more Securities Exchange, subject to your instructions, Openmarkets Open Markets is required to handle and execute Orders in accordance with the Competition Market Integrity Rules. A copy of the Openmarkets Best Execution Policy as at the date of these Terms and Conditions is set out in Schedule 4. Openmarkets may from time to time amend its Best Execution Policy and make such amendments available on its website or through the Intermediary, or otherwise notify you of the amended Best Execution Policy. 4.4 Openmarkets may at any time, in its absolute discretion, refuse to accept any Order from, or execute Orders for you. For example, Openmarkets may refuse to accept your Order if it would require Openmarkets to act otherwise than in accordance with its Best Execution Policy. 4.5 Subject to any instructions from you, Openmarkets will generally execute Orders in the sequence in which they are received. However, you acknowledge and agree that: a. your Order may be automatically crossed against other orders before reaching the Market; b. Openmarkets may not be aware of principal orders that are being (or may be) executed, and that direct market access arrangements and program trading may make it impossible to prevent principal orders from being executed at the same time as (or before) your Order. Accordingly, you agree that Openmarkets may execute principal orders where your Order on the same terms is outstanding and that these Terms and Conditions constitute disclosure as required by the Market Integrity Rules. Unless you notify Openmarkets to the contrary, you will be taken to have consented to Openmarkets (and/or any of its related bodies corporate) trading as Principal with you and agree to pay such commission (if any) on such transactions, each time you place an order with Openmarkets through the Intermediary; c. you will be charged the normal rate of commission by the Intermediary for Orders which are crossed with Openmarkets’ principal orders unless, if you are a retail client (as defined in the Corporations Act), we are not permitted to do so under the Corporations Act or the Market Integrity Rules; and d. an Order once accepted by Openmarkets may not be transacted and an Order to transact an AQUA Product through the ASX Managed Fund Settlement Service is subject to acceptance by the issuer of the product and an application for issue or redemption of a product may be rejected; and e. an Order to transact in an AQUA Product is not traded on a Securities Exchange and comprises an application by you to the relevant product issuer. You acknowledge and agree that: (i) Openmarkets does not control and cannot procure the issue or redemption of AQUA Products or the processing of requests for issue or redemption of, or switch between, AQUA Products; (ii) Openmarkets has no liability to you or the Intermediary with respect to any action or failure to take action by an issuer or other Settlement Participant in connection with a request for issue, redemption or switch of AQUA Products including (without limitation) an issuer’s failure to issue or redeem AQUA Products or make available redemption monies or to deliver AQUA Products.

Orders and Instructions. 4.1 You agree that: a. if you wish to place any Order or provide any instructions in respect of your Trading Account, you must do so with the Intermediary (such communications to be given in the form and manner agreed with the Intermediary from time to time), and you authorise the Intermediary, as your agent (and not as the agent of Openmarkets), to communicate your Order and other instructions or information to Openmarkets; b. any Order is subject to terms agreed between Openmarkets and the Intermediary in relation to the execution and processing of Orders; c. Openmarkets may provide communications to you through the Intermediary and not directly to you. 4.2 You represent and warrant to Openmarkets that you have authorised the Intermediary to communicate and provide instructions to Openmarkets on your Trading Account on your behalf and have access to all and any information relating to the Trading Account or services provided by Openmarkets. Openmarkets will not act on any Orders or other instructions or information communicated directly to it by you (and not the Intermediary). You may only terminate the Intermediary’s authority to act on your behalf by terminating this agreement. 4.3 As a Participant of one or more Securities Exchange, subject to your instructions, Openmarkets OpenMarkets is required to handle and execute Orders in accordance with the Competition Market Integrity Rules. A copy of the Openmarkets OpenMarkets Best Execution Policy as at the date of these Terms and Conditions is set out in Schedule 4. Openmarkets OpenMarkets may from time to time amend its Best Execution Policy and make such amendments available on its website or through the Intermediarywebsite, or otherwise notify you of the amended Best Execution Policy. 4.4 Openmarkets 4.2 OpenMarkets may at any time, in its absolute discretion, refuse to accept any Order from, or execute Orders for you. For example, Openmarkets OpenMarkets may refuse to accept your Order if it would require Openmarkets OpenMarkets to act otherwise than in accordance with its Best Execution Policy. 4.5 4.3 Subject to any instructions from you, Openmarkets OpenMarkets will generally execute Orders in the sequence in which they are received. However, you acknowledge and agree that: a. your Order may be automatically crossed against other orders before reaching the Market; b. Openmarkets OpenMarkets may not be aware of principal orders that are being (or may be) executed, and that direct market access arrangements and program trading may make it impossible to prevent principal orders from being executed at the same time as (or before) your Order. Accordingly, you agree that Openmarkets OpenMarkets may execute principal orders where your Order on the same terms is outstanding and that these Terms and Conditions constitute disclosure as required by the Market Integrity Rules. Unless you notify Openmarkets OpenMarkets to the contrary, you will be taken to have consented to Openmarkets OpenMarkets (and/or any of its related bodies corporate) trading as Principal with you and agree to pay such commission (if any) on such transactions, each time you place an order with Openmarkets through the Intermediary.; c. you will be charged the normal rate of commission by the Intermediary for Orders which are crossed with OpenmarketsOpenMarkets’ principal orders unless, if you are a retail client (as defined in the Corporations Act), we are not permitted to do so under the Corporations Act or the Market Integrity Rules; and d. an Order once accepted by Openmarkets OpenMarkets may not be transacted and an Order to transact an AQUA Product through the ASX Managed Fund Settlement Service is subject to acceptance by the issuer of the product and an application for issue or redemption of a product may be rejected; and e. an Order to transact in an AQUA Product is not traded on a Securities Exchange and comprises an application by you to the relevant product issuer. You acknowledge and agree that: (i) Openmarkets OpenMarkets does not control and cannot procure the issue or redemption of AQUA Products or the processing of requests for issue or redemption of, or switch between, AQUA Products; (ii) Openmarkets OpenMarkets has no liability to you or the Intermediary with respect to any action or failure to take action by an issuer or other Settlement Participant in connection with a request for issue, redemption or switch of AQUA Products including (without limitation) an issuer’s failure to issue or redeem AQUA Products or make available redemption monies or to deliver AQUA Products.

Orders and Instructions. 4.1 You agree that: a. , if you wish to place any Order or provide any instructions in respect of your Trading AccountOrder, you must do so with the Intermediary (such communications to be given in the form and manner agreed with the your Intermediary from time to time), and you authorise the Intermediary, as your agent (and not as the agent of OpenmarketsXxxxxxxx), to communicate your Order and other instructions or information to Openmarkets; b. any Order is subject to terms agreed between Openmarkets and the Intermediary in relation to the execution and processing of Orders; c. Openmarkets may provide communications to you through the Intermediary and not directly to you. 4.2 You represent and warrant to Openmarkets that you have authorised the Intermediary to communicate and provide instructions to Openmarkets on your Trading Account on your behalf and have access to all and any information relating to the Trading Account or services provided by OpenmarketsPershing. Openmarkets Pershing will not act on any Orders or other instructions or information communicated directly to it by you (and not the Intermediary). You may only terminate the Intermediary’s 's authority to act on your behalf by terminating this agreement. 4.3 As a Participant of one or more Securities Exchange, subject to your instructions, Openmarkets is required to handle and execute Orders in accordance with the Competition Market Integrity Rules. A copy of the Openmarkets Best Execution Policy as at the date of these Terms and Conditions is set out in Schedule 4. Openmarkets may from time to time amend its Best Execution Policy and make such amendments available on its website or through the Intermediary, or otherwise notify you of the amended Best Execution Policy. 4.4 Openmarkets Pershing may at any time, in its absolute discretion, refuse to accept any Order from, or execute Orders for you. For example, Openmarkets may refuse to accept your Order if it would require Openmarkets to act otherwise than in accordance with its Best Execution Policy. 4.5 Subject to any instructions from youthe Intermediary on your behalf, Openmarkets Xxxxxxxx will generally execute arrange for Orders to be executed in the sequence in which they are received. However, you acknowledge and agree that: a. your Your Order may be automatically crossed against other orders before reaching the MarketForeign Market on which the Order was intended to reach; b. Openmarkets x. Xxxxxxxx may not be aware of principal orders that are being (or may be) executed, and that direct market access arrangements and program trading may make it impossible to prevent principal orders from being executed at the same time as (or before) your Order. Accordingly, you agree that Openmarkets Pershing and/or the relevant International Broker may execute principal orders where your Order on the same terms is outstanding and that these Terms and Conditions constitute disclosure as required by the Market Integrity Rules. outstanding; c. Unless you notify Openmarkets Pershing to the contrary, you will be taken to have consented to Openmarkets Pershing and/or the International Broker (and/or any of its their respective related bodies corporate) trading as Principal with you and agree to pay such commission (if any) on such transactions, each time you place an order with Openmarkets Pershing through the your Intermediary;; and c. d. you will be charged the normal rate of commission by the Intermediary for Orders which are crossed with Openmarkets’ principal orders unless, if you are a retail client (as defined in the Corporations Act), we are not permitted to do so under the Corporations Act Pershing’s or the Market Integrity Rules; and d. an Order once accepted by Openmarkets may not be transacted and an Order to transact an AQUA Product through the ASX Managed Fund Settlement Service is subject to acceptance by the issuer of the product and an application for issue or redemption of a product may be rejected; and e. an Order to transact in an AQUA Product is not traded on a Securities Exchange and comprises an application by you to the relevant product issuer. You acknowledge and agree that: (i) Openmarkets does not control and cannot procure the issue or redemption of AQUA Products or the processing of requests for issue or redemption of, or switch between, AQUA Products; (ii) Openmarkets has no liability to you or the Intermediary with respect to any action or failure to take action by an issuer or other Settlement Participant in connection with a request for issue, redemption or switch of AQUA Products including (without limitation) an issuer’s failure to issue or redeem AQUA Products or make available redemption monies or to deliver AQUA ProductsInternational Broker's principal orders.