Common use of DEALING INSTRUCTIONS Clause in Contracts

DEALING INSTRUCTIONS. 7.1 Unless we have agreed to provide you with an advisory service as indicated in the Customer Information Form you will be dealing with us on an execution-only basis in reliance solely on your own judgment. In this regard you should bear in mind that if we merely explain the terms of an investment or its performance characteristics this does not itself amount to advice on the merit of a transaction in the investment or on the legal or tax status or consequence. 7.2 You may give us oral or written instructions. You agree that accepting oral instructions shall at times be subject to our sole discretion that we may, at our sole discretion, refuse to act based on verbal instructions. You agree to indemnify us in respect of any cost, loss or expense incurred as a result of or in connection with any improper or fraudulent fund transfer instruction purported to have been received from you. In order to allow us to act upon such communications, as long as we act in compliance with this authorization or instruction, we shall be indemnified for and held free and harmless from and against any and all responsibility for, and any and all costs, losses or liabilities of any nature (direct or indirect) resulting from any act of omission (or delay) in response to instructions from us to transfer funds or purchase, sell or otherwise dispose of commodities or securities, together with any or all attendant costs and expenses including our reasonable legal fees and expenses collectively referred to as losses. You also acknowledge that the security and control procedures provided by us are designed to verify the source of communication and not to detect errors in transmission and content including discrepancies between names and account numbers and that we, or any intermediary, may execute an instruction by reference to account number only, even if the name on the account is also provided. Nothing contained here in shall require us to violate any applicable laws, rules or regulations on the transfer of funds or data transmission. You also agree that as long as we act in accordance with your instructions, we shall have no further duty to verify the content of any instruction or communication or the identity of the sender, confirmer thereof, if any, and you expressly agree to be bound by any instruction and communications, whether or not authorized, sent in its name or accepted by us. 7.3 We shall be entitled to act upon your oral or written instructions or those of any other person we reasonably believe to be authorized to act on your behalf. We may acknowledge your instructions by such means as we consider appropriate whether orally, in writing, by actual performance or otherwise. We are under no obligation to accept any instructions that are from your officers, directors, managers, partners or shareholders who are not your authorized representatives according to our records. 7.4 You shall promptly (and within any time limit imposed by us) give instructions we may reasonably request from you in respect of any services provided hereunder. If you do not do so, we may in our sole discretion take any steps at your cost which we consider appropriate for our or for your protection. You shall be liable for all errors of transmission and for all consequences of electronic, mechanical and other transmission failures. 7.5 We will not advise you on which investment to make but will execute a transaction based on your decision, on an execution-only basis. 7.6 Subject to clauses 7.1 to 7.5 you may from time to time instruct to us to effect transactions for you provided that you have submitted necessary documentation, (if so required by us at our sole discretion) cleared funds or such other security (which we may require at our sole discretion) in the case of purchase of securities, and also that the instructions are in accordance with this Agreement and in compliance with applicable law and any conditions of the issuers of the securities.

DEALING INSTRUCTIONS. 7.1 Unless we have agreed to provide you with an advisory service as indicated in the Customer Information Form you 5.1 You will be dealing with us on an execution-only basis in reliance solely on your own judgmentjudgement. In this regard you should bear in mind that if we merely explain the terms of an investment or its performance characteristics this does not of itself amount to advice on the merit merits of a transaction in the investment or on the legal legal, accounting or tax status or consequenceconsequences. 7.2 5.2 You may give us oral or written instructions. You agree that accepting oral instructions shall at times be subject to our sole discretion acknowledge that we may, may at our sole discretion, refuse decide to act based on verbal instructionsrequire your Instructions to be submitted via our online system. You agree to indemnify us in respect of any cost, loss or expense incurred as a result of or in connection with any improper or fraudulent fund transfer instruction purported to have been received from you. In order to allow us We cannot be expected to act upon such communications, as long as we act in compliance with this authorization or instruction, we shall be indemnified for instructions until receipt thereof - it is your responsibility to ensure proper receipt of clear and held free and harmless from and against any and all responsibility for, and any and all costs, losses or liabilities of any nature (direct or indirect) resulting from any act of omission (or delay) in response to instructions from us to transfer funds or purchase, sell or otherwise dispose of commodities or securities, together with any or all attendant costs and expenses including our reasonable legal fees and expenses collectively referred to as losses. You also acknowledge that the security and control procedures provided by us are designed to verify the source of communication and not to detect errors in transmission and content including discrepancies between names and account numbers and that we, or any intermediary, may execute an instruction by reference to account number only, even if the name on the account is also provided. Nothing contained here in shall require us to violate any applicable laws, rules or regulations on the transfer of funds or data transmission. You also agree that as long as we act in accordance with your unambiguous instructions, we shall have no further duty to verify the content of any instruction or communication or the identity of the sender, confirmer thereof, if any, and you expressly agree to be bound by any instruction and communications, whether or not authorized, sent in its name or accepted by us. 7.3 We shall be entitled to act upon your oral or written instructions or those of any other person we reasonably believe to be authorized to act on your behalf. We may acknowledge your instructions by such means as we consider appropriate whether orally, in writing, by actual performance or otherwise. We are under no obligation to accept any instructions that are from your officers, directors, managers, partners or shareholders who are not your authorized representatives according to our records. 7.4 5.3 You shall promptly (and in any event within any reasonable time limit imposed by us) give any instructions we may reasonably request from you in respect of any services provided hereundertransactions or other matters in relation to which we have accepted your instructions to act. If you do not do so, we may in our sole sole, but reasonable, discretion take any steps at your cost which we consider appropriate for our or for your protection. You shall be liable for all errors of transmission Doo Clearing Limited is registered in England and for all consequences of electronicWales with registration number 10684079 and is authorised and regulated by the Financial Conduct Authority with license number 833414 ▇▇▇▇▇▇▇@▇▇▇▇▇▇▇▇▇▇▇.▇▇.▇▇ | ▇▇▇▇▇▇▇ ▇▇▇▇▇, mechanical and other transmission failures.▇▇ ▇▇▇▇▇▇▇ ▇▇▇▇, ▇▇▇▇▇▇ ▇▇▇▇ ▇▇▇, ▇▇ | +▇▇ ▇▇ ▇▇▇▇ ▇▇▇▇ 7.5 6.1 We will not advise you on which investment to make but will may execute a transaction based on your decision, on an execution-only basis. 7.6 Subject to clauses 7.1 to 7.5 you may from time to time instruct to us to effect transactions for you provided that you have submitted necessary documentation, (if so required by us at our sole discretion) cleared funds dealing instructions upon or such other security (which we may require at our sole discretion) in the case of purchase of securities, and also that the instructions are in accordance with this Agreement the rules of any market or exchange and through any clearing house selected by us. We may enter into transactions for or with you which are not on or in accordance with the rules of any exchange for example, off-exchange transactions in foreign currencies, or in other non-readily realisable investments. 6.2 Assets and profits arising on closing a position, settlement or liquidation will be credited to your Account and losses will be debited from your Account. Any debit balance arising as a result of any close-out, settlement or liquidation will be payable by you forthwith whether or not demanded by us. 6.3 We shall be entitled to carry out all transactions in accordance with the rules, regulations, customs or practices of the relevant market, exchange and / or clearing house and all applicable laws whether imposed on you or us. We may take all such steps as may be required or permitted by such laws, rules, regulations, customs and / or market practice. We will be entitled to take or not take any reasonable action we consider fit in order to ensure compliance with applicable law the same and all such actions so taken will be binding upon you. 6.4 You agree that any conditions transactions we effect for you will be subject to the rules, regulations, customs and practices of each relevant market, exchange, or clearing house on, through or with which we deal. 6.5 In order to give effect to your dealing instructions, we may at our discretion instruct an intermediate broker selected by us (which may be an Associate of ours). We accept full liability for any default by an intermediate broker which is our Associate, and undertake to use reasonable care and skill in the appointment and supervision of any intermediate broker and to make available to you and take, at your cost and expense, such action on your behalf as you may reasonably request in relation to any rights we have against such intermediate broker. Subject to this we accept no liability for any default of any intermediate broker nor do we accept any liability in relation to the default of any market, exchange or clearing house. 6.6 In executing transactions for or with you we will always deal with you as principal. While we will take reasonable steps to obtain the best price available you agree and acknowledge that save as required by the FCA Rules we are under no obligation to provide you with best execution in accordance with the FCA Rules and you hereby waive any such requirements. 6.7 We may at our discretion aggregate your orders with our own orders or those of other clients of ours or our Associates. We will allocate the proceeds of such orders among the participating accounts in a manner which we believe to be fair and equitable. If the combined order is not executed at the same price, we may average the prices paid or received and debit or credit your Account with the average net price. Details of average price will be furnished on request. Such allocation must take place within five business days of execution. In aggregating your orders in this way, we must reasonably believe this will be to your advantage, for instance to obtain better execution or reduced foreign exchange or other dealing costs by being part of a larger transaction. However, on occasion, aggregation and allocation may result in you obtaining a less favourable price. 6.8 Where we are unable or consider it undesirable or inappropriate to execute your order at once or in a single transaction, we may execute it over such period as we deem appropriate, and we may report to you an average price for a series of transactions so executed instead of the issuers actual price of each transaction. 6.9 We may undertake a program trade or trades comprising a single transaction or series of transactions on your behalf. In doing so we will always act as principal. 6.10 We reserve the right to refuse any trades placed by you that we judge to be clearly outside the prevailing market price such that they may be deemed non-market price transactions, whether due to manifest human error or stale, incorrect or broken price feeds. Where we have opened or closed a trade before becoming aware of the securitiesprice disparity, we may at our absolute discretion either treat that trade as void or accept that trade at the prevailing market price. 6.11 We are not a market maker and may show prices at which our liquidity providers are prepared to deal with our clients and such prices may or may not replicate the prices quoted and traded by other companies and or their customers. As a client of ours you hereby accept that the prices quoted by other companies may not be relied upon by you in respect of your account with us and that we reserve the right to decline any quote or refuse to be bound to any contract, including those arising from any manipulation of the quoting mechanism or our services generally, notwithstanding our undertaking to provide a clear and fair service to you at all times. Doo Clearing Limited is registered in England and Wales with registration number 10684079 and is authorised and regulated by the Financial Conduct Authority with license number 833414 ▇▇▇▇▇▇▇@▇▇▇▇▇▇▇▇▇▇▇.▇▇.▇▇ | ▇▇▇▇▇▇▇ ▇▇▇▇▇, ▇▇ ▇▇▇▇▇▇▇ ▇▇▇▇, ▇▇▇▇▇▇ ▇▇▇▇ ▇▇▇, ▇▇ | +▇▇ ▇▇ ▇▇▇▇ ▇▇▇▇