Dealing policies Sample Clauses

Dealing policies. We will always deal for you on a best execution basis in accordance with The FSA Financial Services Rulebook in force from time to time. We may provide services to you under this Agreement notwithstanding that FIM, or an associated company or person connected with it, may have a particular interest or relationship which could result in conflicting interests or duties. A copy of our conflicts of interest policy will be made available on request. Details of the qualifications and/or relevant education may be requested in relation to our team of Investment Managers. Please note a short biographies are included on our website; xxxxx://xxxxxxxxxx.xx.xx/ In particular we may, without prior reference to you: • deal in investments in which FIM, or any associated company or person connected with it, have underwritten, managed or arranged an offer or issue for sale during the preceding twelve months; • deal in investments in respect of which FIM, or any associated company or person connected with it, may benefit from a commission, fee, mark-up or mark-down payable otherwise than by you and where FIM, or any associated company or person connected with it, may also be remunerated by the counterparty to any such transaction; • deal in investments of a company on your behalf in respect of which FIM, or any associated company or person connected with it, is a director or holds or deals in securities of that company or is otherwise interested in that company; • combine your transactions with those of other clients and average the prices obtained; • carry out a transaction on your behalf in securities issued by an associated company or person connected with it or a customer of an associated company; • deal on your behalf with an associated company or person connected with it; • act as agent for you in relation to transactions in which FIM is also acting as agent for other clients and/or an associated company or person connected with it; • carry out a transaction on your behalf in units or shares of collective investment schemes, e.g. unit trusts, where FIM or an associated company or person connected with it, acts as manager, operator, banker, distributor adviser or trustee to the scheme concerned; • effect transactions on your behalf involving placings and/or new issues with an associated company or person connected with it who may be acting as principal or receiving an agent’s commission. FIM may or may not profit from the dealing where it or any associated company or pe...
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Dealing policies. We will always deal for you on a best execution basis in accordance with The FSA Financial Services Rulebook in force from time to time. We may provide services to you under this Agreement notwithstanding that FIM, or an associated company or person connected with it, may have a particular interest or relationship which could result in conflicting interests or duties. A copy of our conflicts of interest policy will be made available on request. Details of the qualifications and/or relevant education may be requested in relation to our team of Investment Managers. Please note that short biographies are included on our website; xxxxx://xxxxxxxxxx.xx.xx/ FIM may or may not profit from dealing where it, or any associated company or person connected with it, acts as principal.
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Dealing policies. Where we arrange a transaction on your behalf we will take all reasonable steps to obtain the best possible result for you taking into account price, costs, speed, likelihood of execution and settlement, size, nature and any other issues that we consider to be relevant. Investors should note that mainstream UK life assurance, pension funds and unit trusts/oeics may be purchased Monday to Friday 9.30 a.m. to 5.00 p.m. by either telephone or electronically, subject to cleared funds being in place and any third-party money laundering requirements satisfied. Xxxxxxxxx Xxxxxxx accepts no responsibility for the frustration of the transactions it places if caused by either the actions or unexpected additional requirements of third parties. (In certain overseas jurisdictions, money-laundering requirements may be more onerous and UK conventions on either/both money laundering and dealing may not apply. It may take longer for us to conclude investment transactions in these circumstances, or when our client has chosen a particular investment which has not been recommended by us and in which we have no previous dealing experience). We undertake to deal within 24 hours* if instructions are emailed/faxed to us and we have acknowledged receipt. We accept no responsibility to deal in respect of instructions of which we have not acknowledged receipt – clients should seek confirmation if receipt of their instructions is not acknowledged on the same business day. Instructions sent by post will be dealt with within 24 hours*. *If instructions are received on Friday (UK time) or immediately prior to a UK public holiday, they will normally be acted upon the following UK business day. The pricing of UK oeics/unit trust is from noon one day, to noon the following day. Residence It is your responsibility to inform us if you become non-UK tax resident, resident in a different country for taxation purposes, or are liable to file tax returns in another country. If you become tax resident outside the UK or liable to file tax returns in a country other than the UK in the future, it may not be possible to offer some or all of the UK services provided by Xxxxxxxxx Xxxxxxx. If you are a British expatriate, or a foreign national resident outside the UK, it is your responsibility to keep us informed of your country of tax residence and of your future intentions with regard to tax residence should these change. Business Relationship When conducting investment or other business with Xxxxxxxxx...
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Related to Dealing policies

  • Accounting Policies There has been no material change in accounting policies or practices of the Corporation or its Subsidiaries since December 31, 2019;

  • DRUG POLICY Contractor certifies that it maintains a drug free work place environment to ensure worker safety and workplace integrity. Contractor agrees to provide a copy of its drug free workplace policy at any time upon request by the State.

  • NON-SMOKING POLICY CONTRACTOR shall establish a written non-smoking policy 7 shall specify that the facility is “smoke free” and that designated smoking areas are outside the visiting 8 areas at the facility.

  • SMOKING POLICY Smoking on the Premises is: (check one) ☐ - Permitted ONLY in the following areas: [ENTER SMOKING AREAS] ☐ - Prohibited on the Premises and Common Areas.

  • No Smoking Policy There will be no smoking allowed anywhere in the premises by anyone. It will be Tenant’s responsibility to convey to and enforce this policy by its employees, agents and all other invitees.

  • Consensus Policies (i) At all times during the term of this Agreement and subject to the terms hereof, Registry Operator will fully comply with and implement all Consensus Policies found at xxxx://xxx.xxxxx.xxx/general/consensus- policies.htm, as of the Effective Date and as may in the future be developed and adopted in accordance with ICANN’s Bylaws and as set forth below.

  • SIGNIFICANT ACCOUNTING POLICIES The interim financial statements are prepared by using the same accounting policies and methods of computation as were used for the financial statements for the year ended December 31, 2019, except the changes in accounting policies as follows.

  • Business Practices 1. Parties recognise that certain business practices of service suppliers, other than those falling under Article 14 (Monopolies and Exclusive Service Suppliers), may restrain competition and thereby restrict trade in services.

  • Pricing Policy All of our prices are subject to change. Prices and price guarantees exclude taxes and fees, however designated, including, but not limited to applicable regulatory, PEG and franchise fees, and regulatory recovery fees, cost recovery charges, Subscriber Line Charges, Line Access charges and/or Network Line Fees, carrier access fees and/or other access fees, surcharges, excises, program related fees (such as universal service, telecom relay services for the visually/hearing impaired, rights-of-way access, and programs supporting the 911/E911 system), additional equipment, installation, service call and repair charges, late fees and usage-based and separately billed charges (collectively, the “Separate Fees and Charges”). The applicable Subscriber Line Charge, Network Line Fee and Carrier Service Fee for phone customers will apply and vary depending upon your service location and the phone services to which you subscribe. The Subscriber Line Charge, Network Line Fee and Carrier Service Fee are not government mandated taxes or fees, and are subject to change. Customers who participate in a promotional offer with a discount on monthly service fees will revert back to the standard monthly fee for the service at the end of the promotional period, unless the customer’s service is earlier terminated for any reason. Any promotional, discounted or guaranteed price for service applies only to the price of the particular service or services identified, and excludes the Separate Fees and Charges. Not all of the Separate Fees and Charges apply to all services, or in all service locations. Any applicable money-back guarantee given at the time Customer subscribes to the WOW! service is available only to first- time subscribers for refund of the first regular monthly payment made by Customer for the WOW! service (excluding taxes and other fees, equipment charges, optional service charges, WOW! OnDemand, pay- per-view, and long-distance and other usage based charges). Subject to applicable law, to be eligible for a money-back guarantee refund, Customers must: (i) timely pay for all services, taxes and fees, comply with applicable service agreement(s) and have returned all equipment; and (ii) disconnect and request a refund at the same time within thirty (30) days of service activation. The refund will not apply if service is reestablished by Customer within 180 days of disconnection. WOW!’s money-back guarantee policies are subject to change. Customers who have agreed to a minimum term arrangement (such as a Minimum Term Plan) are subject to additional terms, including early termination fees.

  • Ethical Business Practices The Contractor shall work in partnership with the State to ensure a successful and valuable contract, and ethical practices are required of State employees, Contractors, and all parties representing the Contractor. All work performed under this Contract will be subject to review by the Inspector General of the State of Florida, and any findings suggesting unethical business practices may be cause for termination or cancellation.

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