SUITABILITY AND APPROPRIATENESS TEST Sample Clauses

SUITABILITY AND APPROPRIATENESS TEST. It is understood that when providing the Client with reception and transmission and execution Services, the Company is not required to assess the suitability of the Financial Instrument in which the Client wishes to transact, nor the service(s) provided or offered to him. As a result, the Client will not benefit from the protection of the Applicable Regulations as regards the assessment of suitability. The Company is obliged under Applicable Regulations to obtain information about the Client’s knowledge and experience in the investment field so that it can assess whether the service or product envisaged is appropriate for the Client. If the Client elects not to provide such information to the Client, or if the Client provides insufficient information, the Company will not be able to determine whether the service or product envisaged is appropriate for the Client. The Company shall assume that information about his knowledge and experience provided from the Client to the Company is accurate and complete and the Company will have no responsibility to the Client if such information is incomplete or misleading or changes or becomes inaccurate and the Company will be deemed to have performed its obligations under Applicable Regulations, unless the Client has informed the Company of such changes.
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SUITABILITY AND APPROPRIATENESS TEST. 5.1. During the account opening process, the Company is obliged to assess whether it is appropriate for the Client to deal in a Complex Product, by obtaining information relating to Client’s experience and knowledge of trading such products. Based on the information provided by the client, and in accordance with the applicable rules, the Company will assess whether:
Sample 1
SUITABILITY AND APPROPRIATENESS TEST. 8.1 ASSESSMENT OF APPROPRIATENESS It is understood that when providing the Client with reception and transmission and execution Services, the Company shall collect and assess information regarding a client's or potential client's knowledge and experience in the investment field including the following, to the extent appropriate to the nature of the client, the nature and extent of the service to be provided and the anticipated type of product or transaction, including their complexity and the risks involved:
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SUITABILITY AND APPROPRIATENESS TEST. 8.1. It is understood that when providing the Client with reception, transmission, and execution Services, the Company is not required to assess the suitability of the Financial Instrument in which the Client wishes to transact, nor the service(s) provided or offered to him. As a result, the Client will not benefit from the protection of the Applicable Regulations as regards the assessment of suitability.
Sample 1
SUITABILITY AND APPROPRIATENESS TEST. 7.1 Prior to providing any non-recommended Service to you in certain circumstances involving complex financial instruments, including (but not limited to) certain types of Contracts for Difference (CFDs), non-public securities and illiquid securities, we will be required to ascertain whether a particular Service or transaction is appropriate for you, (the "Suitability and Appropriateness Test"). On the basis that you are a Retail Client, we will be required to consider your experience and knowledge and ability to understand the risks involved in relation to those particular Services, transactions or types of Financial Instruments for which we have classified you as a Retail Client. We may require you to disclose further information to us, including but not limited to information relating to your knowledge of a particular Financial Instrument, market and dealing history, level of education and profession in order to discharge our obligation to apply the Appropriateness Test. In the event that we are unable to assess a Service as appropriate for you, including where this is due to a lack of information from you, we will warn you of this in writing. Eligible Counterparties.
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SUITABILITY AND APPROPRIATENESS TEST. 5.1 For the purpose of the assessment of suitability and appropriateness in trading complex products, the Company may rely on the information that has been supplied by the Client during the account opening process to assess whether:
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