Retail, Experienced Retail and Professional Clients Sample Clauses

Retail, Experienced Retail and Professional Clients. Where the Company treats a Client as a Retail Client or an Experienced Retail Client, the Client is entitled to more protections under the Law, than if the Client was treated as a Professional Client. In summary, the protections Retail Clients and Experienced Retail Clients are entitled to, are as follows (the list may not be exhaustive):
Sample 1Sample 2Sample 3See All (4)
AutoNDA by SimpleDocs
Retail, Experienced Retail and Professional Clients. Where the Company treats a Client as a Retail Client or an Experienced Retail Client, the Client is entitled to more protections under the Law, than if the Client was treated as a Professional Client. In summary, the protections Retail Clients and Experienced Retail Clients are entitled to, are as follows (the list may not be exhaustive): A Retail Client and an Experienced Retail Client will be given more information disclosures with regards to the Company, its services, its financial instruments and their performance, the nature and risks of financial instruments, its costs, commissions, fees and charges and the safeguarding of Client financial instruments and Client Funds, including summary details of any relevant investor compensation or deposit guarantee scheme, as applicable. Where the Company is providing the services of Reception and Transmission of Orders and/or Execution of Client orders, the Company shall ask a Retail Client and an Experienced Retail Client to provide information regarding his knowledge and experience in the investment field relevant to the specific type of product or service offered or demanded, so as to enable the Company to assess whether the investment service or product envisaged is appropriate for the Client. In case the Company considers, on the basis of the information received, that the product or service is not appropriate to a Retail or to an Experienced Retail Client, it shall warn the Client accordingly. On the other hand, the Company shall be entitled to assume that a Professional Client has the necessary experience and knowledge in order to understand the risks involved in relation to those particular investment services or transactions, or types of transaction or product, for which the Client is classified as Professional Client. Consequently, and unlike the situation with a Retail Client and an Experienced Retail Client, the Company should not generally need to obtain additional information from the Client for the purposes of the assessment of appropriateness for those products and services for which they have been classified as a Professional Client. When executing Client orders, the Company must take all sufficient steps to achieve what is called “best execution” of the Clients’ orders, that is to obtain the best possible result for its Clients. Where the Company executes an order of a Retail Client and an Experienced Retail Client, the best possible result shall be determined in terms of the total consideratio...
Sample 1Sample 2Sample 3

Related to Retail, Experienced Retail and Professional Clients

  • Training and Professional Development C. Maintain written program procedures covering these six (6) core activities. All procedures shall be consistent with the requirements of this Contract.

  • Continuing Professional Development The Official Agency shall provide appropriate training for staff performing official controls, enabling them to undertake their duties competently and to carry out official controls in a consistent manner, as per legislative requirements. The Official Agency shall identify training needs for staff performing official controls and ensure that staff carrying out official controls are kept up to date in their area of competence and develop specialised expertise, in partnership with the Authority and other Local Authorities. While the provision of training is the primary responsibility of the Official Agency, the Authority may provide training interventions where the Official Agency has highlighted areas where training is required. The Authority will endeavour to facilitate networking and collaboration with other Official Agencies to assist in improving knowledge in such areas. The Authority will provide e-learning resources and training for official control staff so as to promote a consistent understanding and application of new legislation, guidance or procedures, as appropriate. The Official Agency shall support participants in using e-learning resources, disseminating knowledge or skills acquired and encourage the application of learning gained through the Authority’s training in official control activities. The Official Agency shall ensure that contractors used in the performance of the Service Contract provide evidence of Continuous Professional Development and Compliance with this section. Where staff from the Official Agency need to travel outside the Official Agency functional area to attend training courses/meetings, this shall be facilitated by the Official Agency. The Official Agency in partnership with the Authority shall develop and implement training programmes for all staff engaged in the performance of the Service Contract. Where staff have participated in Better Training for Safer Food (BTSF) the training content shall be disseminated to relevant staff/contractors in the Official Agency and other local authorities in partnership with the Authority.

  • Professional Service Consultant agrees that all services and work performed under this agreement will be accomplished in a professional manner, in accordance with the accepted standards of Contractor’s profession.

  • Professional Development Fund A budget item equal to one-half (½) of one (1) percent of employees' salaries shall be set aside annually to be used to:

  • Professional Development Funds 23.1.1 Two Professional Development Funds, a Professional Development Support Fund and an Education Leave Fund, shall be established to support professional development activities as defined in 23.2. On April 1st of each year, the College will allocate an amount equal to no less than 0.9% of total faculty salary (exclusive of severance payments) to the Professional Development Support Fund, and an amount equal to no less than 0.6% of total faculty salary to the Educational Leave Fund. Any unused balances in these funds shall carry over to the next budget year.

  • Professional Development Leave A. Policy. Professional development leave shall be made available to employees who meet the requirements set forth below. Such leaves are granted to increase an employee's value to the University through enhanced opportunities for professional renewal, educational travel, study, formal education, research, writing, or other experience of professional value, not as a reward for service.

  • PROFESSIONAL DEVELOPMENT AND EDUCATIONAL IMPROVEMENT A. The Board agrees to implement the following:

  • PROFESSIONAL COMPENSATION A. The basic salaries of teachers covered by this Agreement are set forth in Appendix A which is attached to and incorporated in this Agreement. Such salary schedule shall remain in effect during the designated periods.

  • LABOUR MANAGEMENT BARGAINING RELATIONS 9.1 No employee or group of employees shall undertake to represent the Association at meetings with the Employer without the authority of the President or the General Secretary acting on behalf of the Association.

  • Professional Development; Adverse Consequences of School Exclusion; Student Behavior The Board President or Superintendent, or their designees, will make reasonable efforts to provide ongoing professional development to Board members about the adverse consequences of school exclusion and justice-system involvement, effective classroom management strategies, culturally responsive discipline, appropriate and available supportive services for the promotion of student attendance and engagement, and developmentally appropriate disciplinary methods that promote positive and healthy school climates, i.e., Senate Bill 100 training topics. Board Self-Evaluation The Board will conduct periodic self-evaluations with the goal of continuous improvement. New Board Member Orientation The orientation process for newly elected or appointed Board members includes:

Time is Money Join Law Insider Premium to draft better contracts faster.