Provision of Information to Client. 22.1 Where the Company holds Financial Instruments or funds on behalf of the Client, it shall send to the Client at least annually, a statement in a durable medium of those Financial Instruments or funds unless such a statement has been provided in any other periodic statement.
22.2 Where the Company carries out an order on behalf of the Client and the confirmation is received by the Company from a third party, it shall send to the Client, in a Durable Medium, a notice which confirms execution of the order and includes the essential information concerning its execution, no later than the first business day following receipt of the confirmation from the third party. The Company shall not send a notice when a confirmation is promptly dispatched to the Client by third parties executing the order and contains all relevant information.
22.3 The notice confirming execution of the order, which shall be sent by the Company to the Client, shall include, as the case may be, the Company’s identification, the full name of the natural person or the name of the legal person or other designation of the Client, the trading day and time, the type of the order, the execution venue, the identification of the Financial Instrument, reference to the type of order (buy or sell), the quantity, the unit price, total consideration and the total sum of the commissions and expenses charged.
22.4 The Client may request from the Company to send him information about the status of his order. In addition, the Client may request from the Company to send him the breakdown of commissions or expenses, in relation to the order executed.
22.5 In the case of an order of the Client relating to units or shares in a collective investment undertaking which is executed periodically, the Company shall send the above notice confirming execution of the order in accordance with paragraph 22.2 above.
22.6 The Client may object in writing any part of the notice referred to in paragraph 22.3 above, within five (5) business days from the date he receives the notification. Failure of the Client to act as above shall prevent the Client from raising any objection or dispute on the specific transaction. An objection of the Client does not result in the cancellation of the transaction.
22.7 The Company may receive delayed, modified or erroneous reports from the third party / custodian. By signing this Agreement, the Client declares that he understands, agrees and accepts that such notice confirming execution of ...
Provision of Information to Client. 15.1 The IF provides the Client with the information which is required according to the classification of the Client and which is described in the Main Agreement.
Provision of Information to Client. 19.1 The IF provides the Client with the general information set out below:
(1) the name and address of the IF, and the contact details necessary to enable clients to communicate effectively with the IF;
(2) the languages in which the client may communicate with the IF, and receive documents from the IF;
(3) the methods of communication to be used between the IF and the Client including, where relevant, those for the sending and reception of orders;
(4) the nature, frequency and timing of the reports on the performance of the service to be provided by the IF to the Client in accordance with section 36(1)(g) of the Law;
(5) if the IF holds client financial instruments or funds, a summary description of the steps which it takes to ensure their protection, including summary details of any relevant investor compensation or deposit guarantee scheme which applies to the IF by virtue of its activities in the Republic of Cyprus;
(6) a description, which may be provided in summary form, of the conflicts of interest policy maintained by the IF in accordance with paragraph 23 of the Directive for the authorisation and operating conditions of the IF. At any time that the Client requests it, the IF shall provide further details of its conflicts of interest policy.
(7) The IF, when providing the investment service of portfolio management, establishes and provides the Client with an appropriate method of evaluation and comparison such as a meaningful benchmark, based on the investment objectives of the Client and the types of financial instruments included in the client portfolio, so as to enable the Client for whom the service is provided to assess the IF's performance;
(8) An IF shall, when it proposes to provide portfolio management services to a retail client or potential retail client, provide the Client, in addition to the information required under paragraph (1) with such of the following information as is applicable:
(a) information on the method and frequency of valuation of the financial instruments in the client portfolio;
(b) details of any delegation of the discretionary management of all or part of the financial instruments or funds in the client portfolio;
(c) a specification of any benchmark against which the performance of the client portfolio will be compared;
(d) the types of financial instrument that may be included in the client portfolio and types of transactions that may be carried out in such instruments, including any potential relevant limits;
(...
Provision of Information to Client. 19.1 Where the IF has carried out an order, other than for portfolio management, on behalf of the Client, the IF promptly provides the Client, in a Durable Medium, with the essential information concerning the execution of that order.
19.2 Where, for the purposes of the Directive, information is required to be provided in a Durable Medium and the provision of that information in that medium is appropriate to the context in which the business between the IF and the Client is carried on, the Client chooses in respect of section 4(1) of the Directive that the provision of the information be done by electronic communication to the address of the Client as specified above.
19.3 In addition the provisions of clause 19.1 the IF supplies the Client, on request, with information about the status of his order.
19.4 In cases where the client elects to receive information about executed transactions on a transaction-by-transaction basis, the IF provides promptly to the Client, on the execution of a transaction, the essential information concerning that transaction in a Durable Medium.
19.5 Where the IF holds client financial instruments or client funds it sends at least once a year, to the Client for whom it holds financial instruments or funds, a statement in a Durable Medium of those financial instruments or funds unless such a statement has been provided in any other periodic statement.
19.6 Any objections by the Client regarding any item included in the information sent to him as per clauses 19.1 and 19.2 above, should be submitted to the IF in writing within fifteen (15) days from the date he is informed. Otherwise, the Client shall be deemed to have accepted all items included in the above information.
19.7 The Client may submit to the IF in writing his objection as to the execution or non-execution or the manner of execution of the transaction carried out for his account within two (2) business days from the date of confirmation. Failure of the Client to act as above shall prevent the Client from raising any objection, contestation or dispute with respect to the transaction executed for his account.
Provision of Information to Client. 18.1 Prochoice hereby provides the Client with the general Information set out in Appendix E
18.2 Where, for the purposes of the Commission Delegated Regulation and Directive DI144-2007-02, information is required to be provided in a Durable Medium and the provision of that information in that medium is appropriate to the context in which the business between the IF and the Client is carried on, the Client chooses in respect of Article 3(1) of the Commission Delegated Regulation and paragraph 4(1) of Directive DI144-2007-02 that the provision of the information be done by electronic communication to the address of the Client as specified above.
18.3 (1) Where Prochoice has carried out an order, other than for portfolio management, on behalf of the Client, Prochoice:
a) promptly provides the Client, in a Durable Medium, with the essential information concerning the execution of that order.
b) sends the Client a notice in a Durable Medium confirming execution of the order as soon as possible and no later than the first business day following execution or, if Xxxxxxxxx receives the confirmation from a third party, no later than the first business day following receipt of the confirmation from the third party. Prochoice shall not send the notice where the confirmation would contain the same information as a confirmation that is to be promptly dispatched to the Client by another person. Again, Xxxxxxxxx shall not send the above notice where orders executed on behalf of the Clients relate to bonds funding mortgage loan agreements with the Clients, in which case the report on the transaction shall be made at the same time as the terms of the mortgage loan are communicated, but no later than one month after the execution of the relevant order.
Provision of Information to Client. 19.1 Mega Equity Securities & Financial Services Public Ltd provides the Client with the general information set out below:
(1) (the name and address of the Mega Equity Securities & Financial Services Public Ltd, and the contact details necessary to enable clients to communicate effectively with Mega Equity Securities & Financial Services Public Ltd, 00-00 Xxxxx Xxxxxxx Xxxxxx, 0000 Xxxxxxx, Xxxxxx );
(2) (the languages in which the client may communicate with Mega Equity Securities & Financial Services Public Ltd are in English and Greek, and receive documents from Mega Equity Securities & Financial Services Public Ltd );
(3) (the methods of communication to be used between Mega Equity Securities & Financial Services Public Ltd and the Client including, where relevant, those for the sending and reception of orders);
(4) (the nature, frequency and timing of the reports on the performance of the service to be provided by Mega Equity Securities & Financial Services Public Ltd to the Client in accordance with section 36(1)(g) of the Law);
(5) (if Mega Equity Securities & Financial Services Public Ltd holds client financial instruments or funds, a summary description of the steps which it takes to ensure their protection, including summary details of any relevant investor compensation or deposit guarantee scheme which applies to Mega Equity Securities & Financial Services Public Ltd by virtue of its activities in the Republic of Cyprus);
(6) (a description, which may be provided in summary form, of the conflicts of interest policy maintained by Mega Equity Securities & Financial Services Public Ltd in accordance with paragraph 23 of the Directive for the authorisation and operating conditions of Mega Equity Securities & Financial Services Public Ltd ). At any time that the Client requests it, Mega Equity Securities & Financial Services Public Ltd shall provide further details of its conflicts of interest policy.
(7) (Mega Equity Securities & Financial Services Public Ltd, when providing the investment service of portfolio management, establishes and provides the Client with an appropriate method of evaluation and comparison such as a meaningful benchmark, based on the investment objectives of the Client and the types of financial instruments included in the client portfolio, so as to enable the Client for whom the service is provided to assess Mega Equity Securities & Financial Services Public Ltd performance);
(8) An Investment Firm shall, when it proposes to...
