Suitability and Appropriateness. If you are in any doubt about the suitability of this Service or investments held on your behalf under it, you should consult an authorised financial adviser. We will not assess the suitability or appropriateness of investments held for you or other services provided to you under these Terms and Conditions nor do you benefit from the FCA Rules on assessing suitability and appropriateness. You agree that you have not asked for or received any advice from us and it is your decision to accept this nominee service is suitable to your requirements. This document sets out the terms and conditions under which we will act as your service provider in providing the Nominee Service in connection with your CREST Depository Interests (CDIs) relating to your shares in the Company. These Terms and Conditions will come into effect once we have accepted your application to hold the CDIs in our nominee service. We reserve the right to refuse an application, and you must be aged 18 or over and resident in the UK or EEA in order to use this service. Our Privacy Notice explains how we use and protect your information within Equiniti FS, and how your enhanced rights apply. To read the latest version of our Privacy Notice and understand more about how Equiniti FS safeguards your data, please visit our Privacy Centre at: or contact us using the contact details in Section 1. Transfer into Nominee FREE Transfer out to another CREST account £10 Transfer out to a depository account in Euroclear £35 Transfer out to a depository account in Iberclear:
Suitability and Appropriateness. 16.1. We will provide you with execution only services under the Account Agreement. We will execute Transactions and Orders based on your request without further involvement from us. We will not provide you with any recommendation or advice in respect of any products or Services offered by us.
16.2. You understand and agree that we will rely on your statement in the Account Application Form as well as on the representations and covenants made by you under Clause 17 to assess the suitability of a LFX/PRECIOUS METALS/CFD product to you. However, when giving Orders to us, you must rely upon your own judgement. We highly recommend that you seek independent advice from a qualified investment adviser if you have any doubt.
Suitability and Appropriateness. No Suitability Assessment
6.1. You acknowledge and accept that Safecap does not provide investment advisory services or discretionary portfolio management services, and therefore that the Applicable Law and Regulations do not require Safecap to assess suitability for its customers of the Services or Financial Instruments 5.5. 5.6. 5.7.
Suitability and Appropriateness. You should not interpret the information in these Terms and Conditions as a recommendation by the Company or us to buy or hold shares in the Company. If you are not sure whether this investment is right for you, you should talk to an authorised financial adviser. We will not assess the suitability or appropriateness of purchases made for you or other services provided to you under these Terms and Conditions nor do you benefit from the FCA Rules on assessing suitability and appropriateness. You agree that you have not asked for or received any advice from us and it is your decision to accept this Plan is suitable to your requirements. This document sets out the terms and conditions under which we will provide the Plan in connection with your shares in the Company. This is an execution only service. We will carry out your instructions to buy shares. Our Privacy Notice explains how we use and protect your information within Equiniti FS, and how your enhanced rights apply from 25th May 2018. To read the latest version of our Privacy Notice and understand more about how Equiniti FS safeguards your data, please visit our Privacy Centre at: or contact us using the contact details in Section 1. 0.75% of the value of the shares purchased, with a minimum fee of £1.75 Stamp Duty Reserve Tax, currently at 0.5% of the value of the shares purchased There is currently no charge for joining or leaving the Plan Annual management fee – max £5 (incl VAT) per annum - for unclaimed payments issued to you but not cashed (see Section 14 for further information)
Suitability and Appropriateness. 1. As EBH provides execution-only services to the Client in relation to complex financial products, the Company is required to assess whether it is appropriate for the Client to deal in complex financial products by requesting certain information, relating to his experience and knowledge of trading such products, that will help EBH assess whether the Client understands the risks associated with deal- ing in them. EBH will ask the Client for this information during the account opening and verification procedure, but EBH may request the Client to provide additional information in future, if the Client decides to deal in a new product type or sector.
2. If EBH considers trading with a particular complex financial product is not appropriate for the Client, based on the information the Client supplied to the Company, EBH will warn the Client of this. If, de- spite the warning, the Client performs additional operations under this Agreement following the date of the warning, it will be assumed that the Client is informed, has accepted the warning and continues to trade anyway.
3. If the Client provides EBH with incomplete information about his trading experience, EBH will warn the Client that EBH cannot correctly determine whether the services and products subject to this Agreement are appropriate for him. If, despite the warning, the Client performs additional operations under this Agreement following the date of the warning, it will be assumed that the Client is informed, has accepted the warning and continues to trade anyway.
4. Even where EBH carried out an appropriateness assessment, the Client may in any event wish to get independent advice from an authorised investment adviser, if he has any doubts about dealing in Complex Products.
Suitability and Appropriateness. 26.1. We will provide you with execution only services under these Terms. We will execute Transactions and Orders based on your request without further involvement from us. We will not provide you with any recommendation or advice in respect of any products or services offered by us. Accordingly, we will not assess the appropriateness of any Instrument, product, or service for you (and we are not required to do so under Applicable Law).
26.2. You understand and agree that we will rely on your statement in the Application for Opening a Margin Trading Account as well as on the representations and covenants made by you under clause 27 below. Accordingly, when giving Orders or Orders to us, you must rely upon your own judgment. We highly recommend that you seek independent advice from a qualified investment adviser if you have any doubt.
26.3. Further, you understand and agree that we will not monitor your trading activities and will not make any assessment on the suitability of products and services offered to you on an on-going basis.
Suitability and Appropriateness. 4.1 Please note that as Renaissance does not provide investment advisory services or portfolio management services, the Rules do not require Renaissance to assess suitability for its customers of the Services or Financial Instruments offered to, or demanded by, the customers.
4.2 You hereby expressly acknowledge that any Financial Instrument which you deal with through the Services provided by us, is not intended to be presented by us as suitable for you, and any comment or statement which may be made by us or any employee or agent of ours regarding such Financial Instrument or any research disseminated by us, should under no circumstances be considered to be investment advice and should not be received or relied upon as such. You hereby expressly acknowledge that we provide the Services on an execution only basis and you represent to us that you understand that in the absence of gross negligence, willful default or fraud on our part, we have no liability to you for any loss or damage suffered by you as a result of any investment made by you through the Services provided by us under this Agreement.
4.3 As we are acting on an execution only basis, when submitting an Order or when asking us to enter into any transaction, you represent that you have been solely responsible for making your own independent appraisal and investigations into the risks of the transaction. You represent that you have sufficient knowledge, market sophistication, professional experience and you have obtained professional advice to make your own evaluation of the merits and risks of any transaction. We give you no warranty as to the suitability of the Financial Instruments traded under this Agreement and neither have nor assume any fiduciary duty in our relations with you.
4.4 Unless we expressly agree otherwise, we will not undertake any assessment of your needs and objectives, and, financial situation, risk tolerance, knowledge, experience and understanding of the risks involved into a transaction. Any recommendation which may be provided to you is not given taking into account your personal circumstances and may not be suitable for you. We will not be obliged to review the transactions you have entered into or about to enter into.
4.5 If you are classified as a Professional Client and to the extent that we are required under the Rules to assess whether a Service or a transaction is appropriate for you, we are entitled under the Rules to assume that you have sufficient knowledge, ma...
Suitability and Appropriateness. 6.1 The Intermediary shall not invite or assist a Client to purchase any Investment unless and until the Intermediary has offered and provided to the Client, all disclosures, warnings and other information required to be provided or offered in accordance with FCA Conduct of Business Rules and any subsequent guidance.
6.2 The Intermediary is fully responsible for assessing the suitability and appropriateness of Investments for Clients, in accordance with the FCA Rules and any subsequent guidance.
Suitability and Appropriateness. 6.1 Cadogan shall complete a Client Information Form and Risk Profile Questionnaire in order to ascertain whether the investment portfolios are suitable for your needs and circumstances, irrespective of any previous risk information we may hold about you or that has been supplied to us.
6.2 Cadogan is entitled to rely on such suitability assessment in providing the discretionary investment services to you and will normally seek to update and, where appropriate, re-evaluate this information annually.
6.3 In agreeing to our service you agree to our requirement of annual updates to the suitability information we hold about you so that we may discharge our duties currently and in line with FCA policy.
Suitability and Appropriateness. 5.1 The Client hereby expressly acknowledges that CFD products in which Clients deal with through the Services provided by the Company, are not intended to be presented by the Company as suitable for the Client, and any comment or statement which may be made by the Company or any employee or agent or representative of the Company, including affiliates, regarding such CFDs or any research disseminated by the Company, should under no circumstances be considered to be an Investment Advice and should not be received or relied upon as such.
5.2 As the Company is acting on execution only basis, when Clients submit their Orders, the Client acknowledges they are solely responsible for making their own independent appraisal and investigations into the risks of the Transaction. The Client represents they have sufficient knowledge, understanding and experience to make their own evaluation of the merits and risks of any transaction, including a risk of losing all of their invested capital. The Company will give its Clients no warranty as to the suitability of the CFDs traded under this Agreement and neither have or assume any fiduciary duty in the Company’s relations with its Clients.
