Retail Client. Each party represents that it is not a retail client as defined in the Rules of The Financial Conduct Authority.
Retail Client. The above-mentioned criteria relating to the professional client categories (Professional Clients / Qualified Professional Client) not applicable. لهؤلما فترحلما ليمعلا يداعلا ليمعلا The Client would like to be classified as “Retail Client”. .يداع ليمعك هفينصتب ليمعلا ةبغر Communication language will be Arabic or English. Communication channels used will be Mail, telephone, E-Mail, SMS and any other electronic communication modes. Retail Client Qualified Professional Client Professional by Nature Client هتعيبطب فترحم ليمع فترحم ليمع يداع ليمع This form will be considered as written notification by the client to be classified into one of the classification categories in accordance with the requirements and conditions stipulated in Executive Regulations of the Law No. 7 for the year 2010, amended by the Law No. 22 for the year 2015, concerning the establishment of the Capital Market Authority (CMA) and organizing the commercial exchange securities along with its amendments issued thereto further, This form will be considered as an acknowledgment by the client for the implications of his/her classification category. فينصتلا في هتبغر نع ليمعلا لبق نم ًابوتكم ًاراطخإ جذومنلا اذه لثيم نوناقل ةيذيفنتلا ةحئلال ًاقفو ةددحلما تافينصتلا / حئاشرلا دحأ نمض 22 مقر نوناقلا بجوبم لدعلما 2010 ةنسل 7 مقر لالما قاوسأ ةئيه ةيلالما قارولأا طاشن ميظنتو لالما قاوسأ ةئيه ءاشنإ نأشب 2015 ةنسل ماك .ةحئلالا في ةدراولا طباوضلاو طوشرلا Mع ءانب كلذو اهتلايدعتو .هفينصت Mع ةبتترلما راثلآاب هلوبقب ارارقإ رتعي Client Name: :ليمعلا مسا Client Signature: :ليمعلا عيقوت Date: :خيراتلا
Retail Client. Based on Rules and Regulations, investors need to be classified as retail client, professional client or eligible counterparty. This classification is primarily relevant for the extent of the duty of care that DEGIRO has towards its customers. The objective of the regulations is to ensure that every customer receives the duty of care and information that fits. In order to provide all its customers with the same degree of duty of care and information, XXXXXX has chosen to classify, in principle, all its customers, including Client, as retail client.
Retail Client. Unless we notify you in writing to the contrary, we will be treating you as a ‘Retail Client for pensions and investment business’ as is required under FCA regulation. This means you are afforded the highest level of protection under the regulatory system and should have the right to take any complaint to the Financial Ombudsman Service. As a Retail Client, you have the right to request to be treated as an Elective Professional Client either generally or in respect of a particular service, type of transaction or product. Such a request must be made in writing and we will consider any requests received on a case-by-case basis against the criteria set out in the FCA rules. We will confirm the scope of any re- categorisation along with the consumer protections you will lose as a result. You must keep us informed of any change to your circumstances that could affect your classification. We will confirm our advice in writing to you to confirm we have correctly understood your personal circumstances and the information you have provided to us. It is very important that you provide all material information and that it is true and correct to the best of your knowledge. If we have misunderstood any of the information, you must let us know as soon as possible as this may affect our advice and or recommendations. Any advice or recommendation that we offer to you will be made in writing and will only be given after we have assessed your needs, considered your financial objectives, capacity for loss and attitude to any risks that may be involved. We will also take into account any restrictions that you wish to place on the type of products you would be willing to consider. Our written advice may include any products that we recommend to you and will incorporate a full explanation of our reasons for such advice or recommendations with details of any special or financial risks associated with the products recommended. Following discussions with you, we may decide, at our discretion, that we are not able to provide advice or proceed with your instructions on suitability grounds, however we will always explain our decision to you. Any request for instructions or instructions given by you must be made in writing. If instructions are given orally they should also be confirmed in writing. RH may refuse at its discretion to accept certain instructions although such discretion will not be exercised unreasonably. Full details of the products we recommend to you including, for ex...
Retail Client. We are required by law to classify Our Clients as ‘retail client’, ‘professional client’ or ‘eligible counterparty’. This classification is important to ensure that all Our Clients receive the care, information and support that matches their level of experience with investing in Financial Instruments. In order to provide You with the right care, information and support, Vivid NL classifies You, as natural person or legal person, in principle as a ‘retail client’. Based on your usage of Our investment services and/or your investment experience and knowledge, we may decide to grant You access to a wider range of investment services and products. Please be aware that this is fully discretionary, meaning that only We decide whether or not We grant such access to You.
Retail Client. If you are classified as a Retail Client, you have the right to request to be reclassified as an Elective Professional Client (as detailed below).
Retail Client. A client who is not a professional client.
Retail Client. If the classification awarded is that of Retail Client, the brokerage service will be regulated by this Agreement and the BASIC AGREEMENT FOR THE PROVISION OF INVESTMENT SERVICES and the Appendices thereto, which THE CLIENT must have signed and received before or at the same time at which this Agreement is signed. Should there be any discrepancies between the provisions of this Agreement and the BASIC AGREEMENT FOR THE PROVISION OF INVESTMENT SERVICES, the provisions of this Agreement will prevail unless expressly indicated otherwise. With regard to issues not specifically provided for in these terms and conditions, those provided in the aforementioned BASIC AGREEMENT FOR THE PROVISION OF INVESTMENT SERVICES will apply.
Retail Client. 53.3.1 Although each Consenting Beneficiary would be entitled to request that the Company treats it as a “retail client” subject to additional levels of client protection under FSA Rules, each Consenting Beneficiary confirms to the Company that it does not wish to be so treated.
53.3.2 Each Consenting Beneficiary acknowledges and agrees that professional clients are entitled to fewer protections under the FSA Rules than “retail clients”. In particular:
(i) Communications with retail clients and financial promotions In relation to all information addressed to, or disseminated in such a way that it is likely to be received by, a retail client, the Company must ensure that information:
(a) includes the Company’s name;
(b) is accurate and in particular does not emphasise any potential benefits of relevant business or a relevant investment without also giving a fair and prominent indication of any relevant risks;
(c) is sufficient for, and presented in a way that is likely to be understood by, the average member of the group to whom it is directed, or by whom it is likely to be received; and
(d) does not disguise, diminish or obscure important items, statements or warnings. This requirement does not apply in the case of professional clients. When the Company communicates advertisements and other financial promotions to retail clients, the Company is required to ensure that certain form and content requirements are included and that certain internal approval and record-keeping procedures are followed. Most of these rules are inapplicable to financial promotions to professional clients. The Company is, however, in addition required to ensure that all information provided to both retail and professional clients is clear, fair and not misleading.
(ii) Suitability If the Company makes a personal recommendation or manages investments for a professional client, the Company is entitled to assume that, in relation to the products, transactions and services for which the professional client is so classified, the client has the necessary level of experience and knowledge in order to understand the risks involved in the transaction or in the management of his portfolio. In the case of a retail client, this assumption may not be made and the Company would be required to satisfy itself that the retail client does have the necessary level of experience and knowledge.
(iii) Appropriateness When assessing appropriateness for a professional client, the Company may assume that th...
Retail Client. We will classify all clients as a ‘Retail Client’ unless you request to be treated differently, which means if you are an individual you will receive a higher level of protection under the regulatory system as you have the right to take any complaint, we cannot settle to the Financial Services Ombudsman Scheme for the Isle of Man.
