Trade Execution. Upon receipt of Sub-Advisor's allocations for the underlying positions for the Funds, Advisor will place orders for the execution of all portfolio transactions in accordance with the policies with respect thereto set forth in the Fund's registration statements under the 1940 Act and the Securities Act of 1933 (the "1933 Act"); as such registration statements may be in effect from time to time.
Trade Execution. Promptly after each purchase of securities, the Customer shall deliver to the Bank with respect to each purchase: (i) the name of the issuer and the title of the Securities; (ii) the number of shares or the principal amount purchased and accrued interest, if any; (iii) the date of purchase settlement; (iv) the purchase price per unit; (v) the total amount payable upon such purchase; (vi) the name of the broker through whom or the person to whom the sale was made; and (vii) the Portfolio to which such Securities are allocated. The Bank shall deliver or cause to be delivered the Securities to the broker or other person designated by the Customer upon receipt of the total amount payable to the Custodian upon such sale; provided that, the same conforms to the total amount payable as set forth in Instructions from the Customer. Subject to the foregoing, the Bank may accept payment in such form as shall be satisfactory to it, and may deliver Securities and arrange for payment in accordance with the customs prevailing among dealers in securities. All transactions in regard to Securities will be settled upon actual receipt or in accordance with best market practices. The Bank shall send the Customer a written confirmation of any transfer of Property to or from the Custody Accounts.
Trade Execution. The Leaders Group is not responsible for placing trades or entering orders for securities transactions with respect to Plan assets or for the execution of any such orders. The placing and execution of trades in Plan assets will be the responsibility of the Plan’s recordkeeper or custodian; provided that The Leaders Group may direct the custodian to replace an investment option offered under the Plan.
Trade Execution. The Investment Adviser shall take, on behalf of the Fund, all actions which it considers necessary to implement the investment strategies of the Fund, and in particular, to place all orders for the purchase or sale of securities or other investments for the account of the Fund with brokers and dealers selected by it, and to that end, the Investment Adviser is authorized as the agent of the Trust to give instructions to the Trust’s custodian as to deliveries of securities or other investments and payments of cash for the account of the Fund.
(i) In connection with the selection of brokers or dealers and the placing of purchase and sale orders with respect to investments of the Fund, the Investment Adviser is directed at all times to seek to obtain best execution in accordance with such Board Policies as may be adopted by the Board from time to time. Subject to this requirement and the provisions of the 1940 Act, the Advisers Act, the Securities Exchange Act of 1934, as amended, and other applicable provisions of law, the Investment Adviser may select brokers or dealers that are affiliated with it or the Trust (or with the Sub-Adviser).
(ii) Subject to the oversight of the Board and any applicable Board Policies that may be adopted by the Board from time to time, the Investment Adviser is authorized to consider, in the selection of brokers and dealers to execute portfolio transactions, not only the available prices and rates of brokerage commissions, but also other relevant factors which may include, without limitation: (1) the execution capabilities of such brokers and dealers, (2) research, brokerage and other services provided by such brokers and dealers which the Investment Adviser believes will enhance its general portfolio management capabilities, (3) the size of the transaction, (4) the difficulty of execution, (5) the operational facilities of such brokers and dealers, (6) the risk to such a broker or dealer of positioning a block of securities, and (7) the brokerage service arrangements made available by the broker or dealer. In connection with the foregoing, the Investment Adviser is specifically authorized to pay those brokers and dealers who provide brokerage and research services to it a higher commission than that charged by other brokers and dealers if the Investment Adviser determines in good faith that the amount of such commission is reasonable in relation to the value of such services in terms of either the particular transaction or in ter...
Trade Execution. 6.1. The base currency of your Goal will be:
6.1.1. GBP if you choose to operate your portfolio in GBP;
6.1.2. EUR if you choose to operate your portfolio in EUR; and/or
6.1.3. USD if you choose to operate your portfolio in USD.
6.2. We invest primarily in Exchange Traded Products (“ETPs”) such as Exchange Traded Funds (“ETFs”), Exchange Traded Notes (“ETNs”) Equities and Bonds.
6.3. We will invest in ETPs that have the same base currency as the currency you have selected for your Goal (i.e. GBP, EUR or USD). However, it is important to note that although the instruments’ base currency will match the currency you have selected for your Goal, the underlying securities held by the ETP could be in any region, country or currency.
Trade Execution. On September 20, 1995, the Buyer shall pay to the Seller the aggregate purchase price for the Shares in immediately available funds by wire transfer to a bank account designated by the Seller. Simultaneously with the delivery of immediately available funds as set forth in the preceding sentence, the Seller shall execute all documents necessary to effect the transfer of the Shares to the Buyer which shares shall be free and clear of any and all liens, claims, charges and encumbrances of any kind whatsoever created or suffered by Seller, excepting any such liens or claims which arise under applicable federal or state securities laws.
Trade Execution. Party A and Party B acknowledge, understand and agree that orders executed are completed when Party A and Party B agree on the essential terms of the Transaction, which the parties expect will occur by telephone. After such execution Party A and Party B cannot cancel the Transaction without the consent of the other party and there is a legally binding agreement between Party A and Party B. By placing orders through a party's trading desk, the other party agrees to such immediate execution and accepts the risk of this execution feature, absent manifest error.
Trade Execution. TLG Advisors is not responsible for placing trades or entering orders for securities transactions with respect to Plan assets or for the execution of any such orders. The placing and execution of trades in Plan assets will be the responsibility of the Plan’s recordkeeper or custodian; provided that TLG Advisors may direct the custodian to replace an investment option offered under the Plan.
Trade Execution. The Company believes it offers the most competitive liquidity and trade execution available to the Customer. With that said the Company makes absolutely no representation or guarantee that requotes and/or slippage will NOT occur in the Customer's trading account.
1. The execution of preset Stop orders (i.e. stop loss, buy stop or sell stop) is guaranteed. The price, at which the execution occurs, however is NOT guaranteed. At times, during volatile markets or periods of low liquidity, the customer may receive a price different than what was preset as the Stop order.
2. The execution of preset Limit orders (i.e. take profit, buy limit, sell limit) is NOT guaranteed. During volatility or periods of low liquidity, there may not be enough liquidity in the market to execute certain Limit orders. Please note this may also be the case when trying to execute multiple standard lots if a certain price is only available for a very small amount of time. This is a simple case of supply and demand, meaning, demand for execution outweighs the supply or liquidity at that given time. Smaller sized orders generally, but not always, have a higher probability of becoming executed than larger orders (i.e. over 1.0 lot size) during these times.
3. Further information on trade execution is detailed in section 6.8 of this document.
Trade Execution. The Company, directly or through The Mutual Fund, Ltd., its investment management, or Daiwa International Capital Management, Inc., its investment adviser, may from time to time place orders with the Bank to buy or sell Securities. The Bank may, unless otherwise specified, refer each such order to any broker or sub-agent of its choice, including an affiliate of the Bank, and shall have no liability or responsibility whatsoever for any error, neglect or default of any such broker or sub-agent or for mutilations, interruptions, omissions, errors or delays occurring in the mails, or on the part of any telegraph, cable or wireless company, or any employee of such company, or by reason of any cause beyond its control. In placing such orders, the Company may from time to time place special orders with the Bank which will, as agent, undertake the purchase or sale of the Securities as set out above; provided, that if the order is for the purchase or sale of obligations of the United States Government or its agencies, or state or municipal bonds, the Bank may act as principal. The Company hereby agrees, with respect to all purchases, that funds for settlement will be on deposit by the settlement date. Further, the Company agrees to provide specific instructions regarding the deposit or delivery of all such Securities to the Custody Account.
