Customer Knowledge Assessment definition

Customer Knowledge Assessment means a review of a client’s knowledge and experience in any unlisted Specified Investment Product;
Sample 1Sample 2Sample 3
Customer Knowledge Assessment means a review of a client’s knowledge and experience in a Specified Investment Product which is neither listed for quotation nor quoted on a securities market or a futures market;
Sample 1Sample 2Sample 3
Customer Knowledge Assessment shall have the meaning ascribed to it in Paragraph 7.1 of Schedule B. “Delegates” shall have the meaning ascribed to it in Clause 21.1.
Sample 1Sample 2

Examples of Customer Knowledge Assessment in a sentence

  • Limited) is required to conduct a Customer Knowledge Assessment (“CKA”) before making any recommendation.

  • This questionnaire, also known as the Customer Knowledge Assessment, helps to assess if you have any relevant knowledge or investment experience to understand the risks and features of unlisted “Specified Investment Products”, which includes investment-linked policies (“ILPs”) or similar products.

  • Customer Knowledge Assessment (CKA) To safeguard the interest of clients, Financial Advisers are required to assess clients on their financial knowledge and experience to determine if the clients understand the risks and features of unlisted Specified Investment Products (SIPs) before allowing them to purchase these policies independently.

  • The Customer Account Review, Customer Knowledge Assessment and Needs Analysis may be recorded in such documents as we may require from time to time.

  • Ltd.) is required to conduct a Customer Knowledge Assessment (“CKA”) before making any recommendation.

  • Depending on whether a Retail Client wishes to deal in listed or unlisted SIPs, he will first need to pass respectively a Customer Account Review (“CAR”) and/or a Customer Knowledge Assessment (“CKA”) before he may be permitted to begin or continue trading in the relevant SIP.

  • The Client acknowledges that the application to open an Account may be subject to uSMART SG having established that the Client has the requisite knowledge and competence under Applicable Law (including but not limited to the relevant Customer Account Review (CAR) and Customer Knowledge Assessment (CKA) requirements under the SFA, which uSMART SG may repeat from time to time) (“Customer Assessments”).

  • No. 195400150N) www.insurance.hsbc.com.sgCustomer Care Hotline: (65) 6225 6111 Email: e-surance@hsbc.com.sg Mailing Address: Robinson Road Post Office P.O. BOX 1538 Singapore 903038 Customer Knowledge Assessment FormPlease complete this form and submit it together with the relevant policy amendment form(s).Full Name of policyowner as shown in NRIC/Passport including alias Policy no.

  • Retail Singapore InvestorsDepending on whether a Retail Singapore Investor wishes to deal in listed or unlisted SIPs, he will first need to pass respectively a Client Account Review (“CAR”) and/or a Customer Knowledge Assessment (“CKA”) before he may be permitted to begin or continue trading in the relevant SIP.

  • Do you possess any other professional finance-related qualifications?For example: Chartered Financial Analyst Examination conducted by CFA Institute, USA; or Association of Chartered Certified Accountants (ACCA) Outcome of Customer Knowledge Assessment (CKA)You are assessed to have the relevant experience and/or knowledge to purchase an Investment-Linked Policy /Unit Trusts.


More Definitions of Customer Knowledge Assessment

Customer Knowledge Assessment means a review of a Customer’s knowledge and experience in a Specified Investment Product other than a Listed Specified Investment Product;
Sample 1
Customer Knowledge Assessment means a review of a Customer’s knowledge and experience in a Specified Investment Product other than a Listed Specified Investment Productwhich is neither listed for quotation nor quoted on a securities market or a futures market;
Sample 1
Customer Knowledge Assessment means a review of a Customer’s knowledge and experience in a Specified Investment Product which is neither listed nor quoted on a securities market or a futures market;
Sample 1

Related to Customer Knowledge Assessment

  • Environmental Complaint shall have the meaning set forth in Section 4.19(d) hereof.

  • conformity assessment means the process demonstrating whether the requirements of this Regulation relating to a device have been fulfilled;

  • conformity assessment body means a body that performs conformity assessment activities including calibration, testing, certification and inspection;

  • Environmental Site Assessment means a Phase I environmental report meeting the requirements of the American Society for Testing and Materials, and, if in accordance with customary industry standards a reasonable lender would require it, a Phase II environmental report, each prepared by a licensed third party professional experienced in environmental matters.

  • Environmental Report The environmental audit report or reports with respect to each Mortgaged Property delivered to the related Mortgage Loan Seller in connection with the origination or acquisition of the related Mortgage Loan.

  • Site Assessment means a Site Assessment as defined in Paragraph 10(c).

  • Knowledge of Seller or Seller’s Knowledge or any other similar knowledge qualification, means the actual or constructive knowledge of any director or officer of Seller, after due inquiry.

  • Environmental Assessment means an assessment of the presence, storage or release of any hazardous or toxic substance, pollutant or contaminant with respect to the collateral securing a Shared-Loss Loan that has been fully or partially charged off.

  • Seller’s Knowledge or any similar phrase means the actual knowledge of Xxxx Xxxxx, Xxxxxxx Xxxx, Xxxxxx Xxxxx, Xxxx Xxxxxx, Xxxxx Xxxxxx, Xxxxxxx Xxxxxx, Xxxxxxx X. Xxxxxxx and Xxxxxx X. Xxxxxxxx.

  • Needs assessment means a study or statistical analysis that examines the need for ground ambulance service within a service area or proposed service area that takes into account the current or proposed service area’s medical, fire, and police services.

  • Phase I Environmental Assessment A “Phase I assessment” as described in, and meeting the criteria of, the ASTM, plus a radon and asbestos inspection.

  • Phase I Environmental Report means a report by an Independent Person who regularly conducts environmental site assessments in accordance with then current standards imposed by institutional commercial mortgage lenders and who has a reasonable amount of experience conducting such assessments.

  • Environmental Impact Assessment means a systematic examination conducted to determine whether or not a programme, activity or project will have any adverse impacts on the environment;

  • to Seller’s knowledge or “Seller’s Knowledge” means the present actual (as opposed to constructive or imputed) knowledge solely of Xxxx Xxxxxxx, Vice President, Leasing, and Xxxxxxxx Xxxxxxx, Senior Director of Property Management and regional property manager for this Property, without any independent investigation or inquiry whatsoever.

  • Risk assessment means a programme to determine any risk associated with any hazard at a construction site , in order to identify the steps needed to be taken to remove, reduce or control such hazard;

  • Knowledge of Seller means, as to a particular matter, the current actual knowledge of the following people: Xxxxxxx Xxx; Xxxxxxx Soon-Shiong; Xxxx Xxxx; Xxx Xxxxx; Xxxxx Xxxxxxx; Xxxxx Xxxxxxxxx; Xxxxxxx Xxxx; and Xxxx Leader.

  • Environmental and Social Management Plan or “ESMP” means a site-specific environmental and social management plan to be prepared in accordance with the parameters laid down in the ESMF and acceptable to the Association, setting forth a set of mitigation, monitoring, and institutional measures to be taken during the implementation and operation of the Project activities to eliminate adverse environmental and social impacts, offset them, or reduce them to acceptable levels, and including the actions needed to implement these measures.

  • Environmental and Social Standards or “ESSs” means, collectively: (i) “Environmental and Social Standard 1: Assessment and Management of Environmental and Social Risks and Impacts”; (ii) “Environmental and Social Standard 2: Labor and Working Conditions”; (iii) “Environmental and Social Standard 3: Resource Efficiency and Pollution Prevention and Management”;

  • Impact Assessment has the meaning given to it in Clause 22.1.3 (Variation Procedure);

  • Environmental Information means any information in written, visual, aural, electronic or any other material form on:

  • Parent’s Knowledge means the actual knowledge of those individuals identified in Section 1.1(b) of the Parent Disclosure Schedule.

  • Own risk and solvency assessment means a confidential internal assessment, appropriate to the nature, scale, and complexity of an insurer or insurance group, conducted by that insurer or insurance group of the material and relevant risks associated with the insurer or insurance group's current business plan, and the sufficiency of capital resources to support those risks.

  • Seller’s Actual Knowledge means the current, actual, personal knowledge of Xxxx Xxxxxxx as President of Seller, without any duty of investigation or inquiry and without imputation of any other person’s knowledge. The fact that reference is made to the personal knowledge of the above identified individual shall not render such individual personally liable for any breach of any of the foregoing representations and warranties; rather, Purchaser’s sole recourse in the event of any such breach shall be against Seller, and Purchaser hereby waives any claim or cause of action against the above identified individual arising from Seller’s Representations. Seller and Purchaser shall notify the other in writing immediately if any Seller’s Representation becomes untrue or misleading in light of information obtained by Seller or Purchaser after the Effective Date. In the event that Purchaser elects to close and Purchaser has actual knowledge (meaning the current, actual, personal knowledge of Xxxxxxx Xxxxxxx, without any duty of investigation or inquiry and without imputation of any other person’s knowledge) that any of Seller’s Representations are untrue or misleading, or of a breach of any of Seller’ Representations prior to a Closing, without the duty of further inquiry, Purchaser shall be deemed to have waived any right of recovery with respect to the matter actually known by Purchaser, and Seller shall not have any liability in connection therewith. Seller’s Representations shall be deemed to be made again, as and at the date of each Closing, and shall survive each respective Closing (with respect only to the Lots acquired at such Closing) for a period of twelve (12) months, except that any claim for which legal action is filed within such time period shall survive until resolution of such action, and except to the extent of any matter that is waived by Purchaser pursuant to the previous paragraph (and any such matter waived pursuant to the previous paragraph shall not survive Closing). Seller makes no promises, representations or warranties regarding the construction, installation or operation of any amenities within the Development, including without limitation, clubhouses, swimming pools and/or sports courts. To the extent that any development plans, site plans, rendering, drawings, marketing information or other materials related to the Development include, depict or imply the inclusion of any amenities in the Development, they are included only to illustrate possible amenities for the Development that may or may not be built and Purchaser shall not rely upon any such materials regarding the construction, installation or operation of any amenities within the Development. Nothing herein shall relieve Seller of the obligation to the County or other applicable Authority to construct such amenities that are ultimately required by the Entitlements, or the obligation to Purchaser to construct the same if required by the Entitlements for Purchaser to be able to secure building permits or certificates of occupancy; provided, however, that such obligation shall not confer upon Purchaser any right to object to Seller’s decision to change or modify the amenities pursuant to in the Entitlements and subject to approval by the applicable Authorities.

  • Environmental Reports means each and every “Phase I Environmental Site Assessment” (and, if applicable, “Phase II Environment Site Assessment”) as referred to in the ASTM Standards on Environmental Site Assessments for Commercial Real Estate, E 1527-2000 and an asbestos survey, with respect to each Mortgaged Property, prepared by one or more Environmental Auditors and delivered to Lender and any amendments or supplements thereto delivered to Lender.

  • Buyer’s Knowledge means the actual knowledge of Xxxxx Xxxxxx.

  • Phase I assessment as described in, and meeting the criteria of, (i) Chapter 5 of the FNMA Multifamily Guide or any successor provisions covering the same subject matter in the case of a Specially Serviced Mortgage Loan as to which the related Mortgaged Property is multifamily property or (ii) the American Society for Testing and Materials in the case of Specially Serviced Mortgage Loan as to which the related Mortgaged Property is not multifamily property.