Appropriateness Sample Clauses

Appropriateness. Subject always to any applicable obligations in the Regulations, the Client is responsible for making an independent appraisal and investigation into the risks of a particular transaction. The Company gives no warranty as to the appropriateness of the Financial Instruments and investment services and assumes no fiduciary duty in its relations with the Client. Where applicable to the categorisation of the Client and only in relation to Financial Instruments and services subject to the Regulations, the Company will assess the appropriateness of proposed Financial Instruments, investment services and activities for the Client. The Company will warn the Client if it concludes that a particular investment service or Financial Instrument is not appropriate for the Client, subject to the Client providing sufficient information to allow the Company to conduct the assessment of appropriateness. Warning that Service/Financial Instruments may not be appropriate: In the event that the Company deals with the Client on an execution-only basis for the buying or selling of complex products, the Company is required to make an assessment as to whether the product or service being provided or offered is appropriate for the Client. In this case, the elements to be assessed will be the Client’s knowledge and experience in the investment sector relating to that particular category of financial instrument offered or required, so as to secure that the Client is aware of any risks. Where the Client is a Professional Client, the Company is entitled to assume that he/she has the necessary experience and knowledge to enable him/her to understand the risks involved in relation to those particular investment services or transactions, or types of transaction or product, for which he/she has been classified as a Professional Client. If the Client does not consider that he/she has the necessary knowledge and experience, he/she must make the Company aware of this prior to the provision of such product or service and provide the Company with any available information as to the level of his/her knowledge and experience. The Company accepts no liability in these circumstances. Warning in relation to execution only services in non-complex products: If the Company provides the Client with execution-only Services in relation to non-complex Financial Instruments (such as shares admitted to trading on a regulated market or in an equivalent third country market, money market instruments, bonds and ...
Appropriateness. In order that we can assess whether a service or Transaction is appropriate for you, you are required to provide information regarding your knowledge and experience in the investment field relevant to the specific type of product or service offered. In order that we can carry out this assessment, you must ensure that all information you provide is accurate. Unless you inform us that the information you have previously provided is out of date or inaccurate, we will be entitled to rely on it.
Appropriateness. In making any determination of appropriateness pursuant to Section 3.3 above, CTC shall not be required to consider or evaluate any prevailing country risk associated with investment in a particular country. Country risk includes, but is not limited to (A) nationalization, expropriation or other governmental actions, (B) market conditions which affect the orderly execution of securities transactions or affect the value of securities, (C) currency devaluations and other currency fluctuations, and (D) systemic risks of holding assets in a particular country such as
Appropriateness. If You are classified as a Retail Client We shall have to assess whether the proposed services are appropriate for You and we will document appropriateness and suitability accordingly in compliance with the FCA Rules. To do so We shall have to ask You to provide Us with sufficient information regarding Your knowledge and experience of investment to ensure that You properly understand the risks involved in the services offered or demanded. You will be responsible for ensuring that all information provided to Us for the purpose of assessing whether a product or service is appropriate for You is kept up to date.
Appropriateness a) As an ODP, Khwezi is required to assess the appropriateness of providing Clients with Over the Counter Derivative transactions.
Appropriateness. In accordance with our governing regulation, part of the information requested from Clients is used to assess the Client’s appropriateness to the services and financial instruments offered by the Company. The Client’s knowledge and experience, as provided by the client, enables the Company to make a decision on the appropriateness of the Client. If the Client is identified as not having the correct level of knowledge/experience, the Company will inform the Client accordingly. In case any of the above information is optional (i.e. not absolutely necessary) you will be notified accordingly at the time of providing your personal information.