Client Classification. 7.1. We shall not have an obligation to treat our clients in different classes depending on their knowledge and expertise.
Client Classification. 6.1. We shall treat you as a Retail Client for the purposes of the Rules and the Applicable Regulations. You have the right to request a different method of categorisation. However, if you request a different categorisation and the Company agrees to such categorisation, you accept that the level of protection that is afforded by your relevant Regulations and other Applicable Regulations may differ. The Company cannot enter into title transfer financial collateral arrangements with Retail Clients. Remuneration practices which could provide an incentive to the Company’s staff to recommend a particular financial instrument to a Retail Client when the Company could offer a different financial instrument which would better meet that Client’s needs are also prohibited. In the case of Professional Clients and Eligible Counterparties, the Company may agree to provide more limited information as provided by Applicable Regulations.
Client Classification. Citi will treat you as a professional client under applicable regulatory client classification rules. As a professional client, you will receive limited protections under applicable regulatory rules. However, you are entitled to request to be treated as a retail client: as a retail client you would be entitled to additional protections under applicable regulations, including but not limited to greater information provided to you. However, if you seek classification as a retail client we may not be able to provide the same services to you. If you have any questions about or wish to discuss your classification, please contact your Relationship Manager.
Client Classification. 4.1. The Company shall treat the Client as Retail Client by default. The Company offers to the client the possibility to request reclassification. Where a Client requests different classification, he needs to meet certain specified quantitative and qualitative criteria.
Client Classification. 7.1. We shall treat you as a Retail Client for the purposes of the CySEC Rules and the Applicable Regulations. You have the right to request a different method of categorization as is explained under the Client Categorization Policy found on the Company’s Website. However, if you request a different categorization and the Company agrees to such categorization, you accept that the level of protection that is afforded by CySEC Regulations and other Applicable Regulations may differ. The Company cannot enter into title transfer financial collateral arrangements with Retail Clients. Renumeration practices which could provide an incentive to the Company’s staff to recommend a particular financial instrument to a Retail Client when the Company could offer a different financial instrument which would better meet that Client’s needs are also prohibited. In the case of Professional Clients and Eligible Counterparties, the Company may agree to provide more limited information as provided by Applicable Regulations.
Client Classification. Each client with whom the firm does business is categorised to identify the level of regulatory protection. We propose to classify you as ‘Retail Client’ for Investment purposes; which gives you the highest level of regulatory protection. Communications We will communicate with you in English both verbally and in writing. Services to be provided For plans that have been arranged you need to ensure these remain relevant to your personal circumstances. For any plan involving investments we recommend that you reconsider the fund choice regularly. We do not undertake to review all plans at specific intervals but you can contact us at any point for advice on your plan. For certain plans we will agree a regular review and this will be stated in your suitability letter at the time the plan is taken out. Future reviews may incur a charge which will be confirmed in advance. On issue of this letter any subsequent advice or recommendation offered to you will be based upon your stated investment objectives, acceptable level of risk and any restrictions you wish to place on the type of investments or policies you are willing to consider. We will provide you with a suitability letter to confirm our recommendation. We will not place any restrictions on our recommendations. Unless advised to the contrary, we will assume that you wish to place no restrictions on the types of investment we may recommend and in which you may subsequently invest. We will also assume that you wish to place no restrictions on the markets in which transactions are to be executed. Richardsons Financial Services does not handle clients’ money. We never handle cash or accept a cheque made out to us unless the cheque is in settlement of charges or disbursements for which we have sent you an invoice. We will also make arrangements for all your investments to be registered in your name unless you first instruct us otherwise in writing. We will forward you all documents showing ownership of your investments as soon as practicable after we receive them. Where a number of documents are due involving a series of transactions, we normally hold each document until the series is complete then forward them to you.
Client Classification. All clients with whom the firm conducts business are firstly classified into one of three areas. These are retail, professional or eligible counter-party categories, which ultimately allows us to identify the level of regulatory protection in each case. We propose to classify you as a Retail Client for investment purposes affording you the maximum protection under current legislation, unless we inform you in writing of an alternative classification.
Client Classification. 6.1. The Company shall in its dealing with the Client apply the rules of professional conduct which govern the Company’s relationship with retail clients. If, however, the Client wishes to be governed by the Company’s regulations governing Professional Clients or as an Eligible Counterparty (as such terms are defined by Laws and Regulations), then the Client must inform the Company in writing, clearly stating such a request. The final decision for changing the Client’s classification will be at the discretion of the Company.
Client Classification. The type of client category will determine the levels of protection afforded to you under the Financial Services and Xxxxxx Xxx 0000. The firm proposes to classify you in accordance with FCA rules as a Retail Client and the regulatory protection available to you will be the highest available. This agreement is personal to you and not assignable. We may accept instructions from, and give information to, third parties or your other advisers on your behalf where you have confirmed in writing we may do so. We cannot accept any responsibility for errors in information supplied by such persons. Where you are a trustee, director or officer of any trust, corporation or LLP requiring advice you warrant to us that you have the full authority to act on behalf of the same and there are no restrictions on the limits of our advice of which we have not been made aware. We will not be responsible for advising on compliance with your trust, trustee, director or officer obligations.
Client Classification. 8.1. According to Applicable Regulations, IFs must classify their Clients in one of the following categories: Retail Client, Professional Client or Eligible Counterparty. It is noted that the Company treats all of its Clients as Retail Clients.
