Examples of Xxxxx and Co in a sentence
The services provided by Xxxxx and Co and the allocation of responsibilities between CESL and Xxxxx and Co, are set out in the Clearing Agreement which is summarised below, provided however, that this is intended to be a general disclosure, not a definitive enumeration of the allocation each and every responsibility between Xxxxx and Co and CESL.
Xxxxx and Co will handle CESL’s requests for instructions relating any corporate actions involving investments or interests held by Client on the books of Xxxxx and Co. Xxxxx and Co will provide written advice to CESL of pending corporate actions at CESL’s designated locations, and collect corporate action requests from CESL and then submit them to the soliciting party in accordance with the instructions received.
This Appendix serves as notice, pursuant to FINRA Rule 4311(d), of the allocation of responsibilities between CESL and Xxxxx and Co, as Xxxxx and Co is a U.S. registered broker-dealer and FINRA member.
Until receipt of your written notice to the contrary, Xxxxx and Co may accept instructions for your Account from CESL without inquiry or investigation by Xxxxx and Co including, without limitation, instructions with respect to the disbursement of funds and the transfer of securities.
Xxxxx and Co will provide the following services: • Maintaining books and records, including stock records and journals,on CESL’s behalf.
As between you and Xxxxx and Co, you shall be responsible for any action taken by Xxxxx and Co in your Account based upon instructions Xxxxx and Co received from either you or CESL.
Xxxxx Execution Services Limited Client Brokerage Agreement Appendix Services to be Provided by Xxxxx and Company and Allocation of Responsibilities Between CESL and Xxxxx and Company As set out in this Agreement, Xxxxx and Co will provide certain clearing, settlement and other services on behalf of CESL in order to ensure that Clients’ Transactions are executed and cleared in accordance with the Agreement.
CESL has informed Xxxxx and Co that Xxxxx and Co is authorized to open or close brokerage accounts, place and withdraw orders and take such other steps as are reasonable to carry out your directions.
Xxxxx and Co may charge additional fees and charges in accordance with instructions from CESL.
European Court of Justice Case C- 24/67 Xxxxx, Xxxxx and Co. v Xxxxxx, Xxxxx, Beintema-Interpharm and Centrafarm [1968) ECR 00055 (CELEX 61967J0024) Case C-15/74 Centrafarm BV et Xxxxxxx xx Xxxxxxx v Sterling Drug Inc.