Client Acknowledgement. 4.1 You acknowledge that:
Client Acknowledgement. Client acknowledges and agrees as follows:
Client Acknowledgement. The Client acknowledges that it is the Client's responsibility to:
Client Acknowledgement. Client acknowledges by applying for a Margin Account, that Client has carefully considered all of the factors set forth in this Margin Agreement, the Margin Risks Disclosure Statement, which is attached hereto, and the Client Relationship Agreement and agrees that the use of margin borrowing is suitable for Client given Client’s financial condition, tolerance for risk and investment objectives. Client acknowledges that borrowing on margin involves a high degree of risk. Client should discuss the use of margin with Client’s Baird Financial Advisor before engaging in margin transactions.
Client Acknowledgement. Client acknowledges receipt of Part 2 of Form ADV; a disclosure statement containing at least the information required by Part 2A Appendix 1 of Form ADV. If the appropriate disclosure statement was not delivered to the client at least 48 hours prior to the client entering into any written advisory contract with this investment adviser, then the client has the right to terminate the contract without penalty within five business days after entering into the contract. For the purposes of this provision, a contract is considered entered into when all parties to the contract have signed the contract, or, in the case of a contract, otherwise signified their acceptance, any other provision of his contract notwithstanding. Client also acknowledges receiving and reviewing the Advisor’s Privacy Policy included on this Agreement and Client agrees to allow Advisor to make such limited disclosures of Client information as are permitted under its Privacy Policy. PRIVACY POLICY Continental Investors Services, Inc. Privacy Policy At Continental Investors Services, Inc. (“Continental”) we are committed to protecting your privacy and the confidentiality of your personal and financial information. The measures we take to keep your personal information private and secure are outlined below. • How We Protect Confidentiality Continental uses procedural, physical, and electronic system safeguards to store and secure information about you in compliance with federal standards. Our systems protect your information from unauthorized access, alteration, and destruction. Access is permitted only to those individuals within our organization who need the information to perform their job responsibilities. • Persons Covered by the Privacy Policy The Continental Privacy Policy applies to anyone who is a current or former Continental brokerage or advisory client. For managed account clients, Xxxxxxx Xxxxxx or RBC (as Custodian) provides you with a copy of their policy when you open an account, and they will send you annual notifications thereafter. If there is a change in policy regarding the sharing of information, you will be notified in advance and given the opportunity to “opt out” of such disclosure.
Client Acknowledgement. I/We acknowledge and confirm that I/we have been provided with a copy of the Terms of Business of Wealth Alliance Ltd and that I/we have read, understand and agree to these terms. Company Name Company Name Name: Name: Signed: Signed:
Client Acknowledgement. 8.1 By accepting to be categorized as a Professional or Eligible Counterparty, I confirm that:
Client Acknowledgement. You, the client, are encouraged to review the information contained in this Disclosure and ask your JMMB representative and other professional adviser any questions you may have. You agree that JMMB may update, and otherwise modify, this Disclosure Statement from time to time and advise you accordingly
Client Acknowledgement. 7.1 This summary policy and process will take effect on the date on which you enter an Agreement for the receipt of investment management services from Deutsche Bank Wealth Management. By continuing to receive investment management services and/or carrying out transactions with Deutsche Bank Wealth Management after that date you consent to the provisions of this summary policy and process.
Client Acknowledgement. Client acknowledges that Prime Brokerage Transactions are subject to applicable laws and regulations and to the requirements of the No-Action Letter with respect to the provision of prime brokerage services, as the same may be amended, modified or supplemented from time to time. Client further acknowledges that GS&Co. will, as required by the No-Action Letter and applicable law, enter into contractual arrangements pertaining to Prime Brokerage Transactions for Client’s Account (“Contractual Arrangements”) with the Executing Brokers identified on the list described above. Client acknowledges and agrees that GS&Co. shall have no suitability obligation to Client in connection with trades placed by Client or for Client by an investment adviser or other agent.
