Common use of Investment Recommendations Clause in Contracts

Investment Recommendations. CESL Sales and Trading staff may from time to time communicate Investment Recommendations as defined by the Market Abuse Regulation EU 594/2014. Such opinions and judgements offered are those of the author or individual sender (“Author”) acting as an agent of CESL and may differ from the opinions expressed by CESL or its Affiliates, including, including research publications. Views expressed by Sales and Trading personnel may not be objective or independent of the interests of the Authors or other CESL Sales and/or Trading desks, who are active participants in the markets, investments or strategies referred to in this communication. An investment recommendation is not a personal recommendation and does not take into account whether any product or transaction is suitable for any particular investor. CESL and its Affiliated Companies maintain information barriers to restrict the information flows that may give rise to a conflict of interest. These information barriers prevent information that is held by CESL and its Affiliated Companies from conflicting with the best interest of a client. Xxxxx Execution Services Limited Client Brokerage Agreement Schedule 3 Data Protection Notice to Data Subjects In providing the Services to the Client, your personal data such as contact details, email address, phone numbers, passport, residency history, employment history, NI number, DBS check, (this is not an exhaustive list ), may be disclosed to CESL to enable them to communicate with you to perform the “Services”. CESL has a registered address at 0 Xxxxxxx Xxxxxx, London, EC2A 2DQ and will be the data controller of your data for these purposes.

Investment Recommendations. CESL Sales and Trading staff may from time to time communicate Investment Recommendations as defined by the Market Abuse Regulation EU 594/2014. Such opinions and judgements offered are those of the author or individual sender (“Author”) acting as an agent of CESL and may differ from the opinions expressed by CESL or its Affiliates, including, including research publications. Views expressed by Sales and Trading personnel may not be objective or independent of the interests of the Authors or other CESL Sales and/or Trading desks, who are active participants in the markets, investments or strategies referred to in this communication. An investment recommendation is not a personal recommendation and does not take into account whether any product or transaction is suitable for any particular investor. CESL and its Affiliated Companies maintain information barriers to restrict the information flows that may give rise to a conflict of interest. These information barriers prevent information that is held by CESL and its Affiliated Companies from conflicting with the best interest of a client. Xxxxx Cowen Execution Services Limited Client Brokerage Agreement Schedule 3 Data Protection Notice to Data Subjects In providing the Services to the Client, your personal data such as contact details, email address, phone numbers, passport, residency history, employment history, NI number, DBS check, (this is not an exhaustive list ), may be disclosed to CESL to enable them to communicate with you to perform the “Services”. CESL has a registered address at 0 Xxxxxxx Xxxxxx, London, EC2A 2DQ and will be the data controller of your data for these purposes.