Dealing Services Clause Samples

The 'Dealing Services' clause defines the scope and terms under which one party provides trading or transaction execution services to another. It typically outlines the types of financial instruments covered, the procedures for placing and executing orders, and any associated responsibilities or limitations. This clause ensures both parties understand the operational framework for executing trades, thereby reducing misunderstandings and clarifying the obligations and boundaries of the service provider.
Dealing Services. This Part II of these General Terms shall apply to any and all investment Services granted or to be granted by the Bank to the Customer (the “Dealing Services”).
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Dealing Services. (a) The Bank will execute orders for Transactions in Investments on the Customer’s behalf, at the Customer’s risk and upon the Customer’s specific Instructions, provided such Investments are of a type and are traded on markets in which the Bank is prepared at its discretion to transact. (b) The Bank may, on the Customer’s Instructions, effect Transactions on any market or with such counterparty, negotiate and execute counterparty and account opening documentation on the Customer’s behalf and take all routine or day-to-day decisions and otherwise act as the Bank considers appropriate in implementing the Customer’s Instructions. The Bank may take such steps as are necessary to enable it to comply with the rules, regulations and proper market practices of any relevant market or exchange or clearing house. In the case of over-the-counter derivatives transactions, the Bank may effect Transactions on behalf of the Customer with any counterparty or counterparties of the Bank’s choice and on such terms as the Bank may determine at its discretion. (c) The Bank will (unless it notifies the Customer otherwise) act as the Customer’s agent in entering into Transactions effected by the Bank on behalf of the Customer and the Customer will therefore be bound by such Transactions entered into by the Bank. Notwithstanding this, the Customer agrees that neither the relationship between the Customer and the Bank as described in the Agreement nor any other Service that the Bank provides to the Customer shall give rise to any fiduciary or equitable duties on the Bank’s part. Save as expressly provided by applicable law, no fiduciary or equitable duties arise on the part of the Bank which would prevent or hinder the Bank or any of its Affiliates from doing business with or for the Customer, acting as both market-maker or broker, whether as principal or agent, with the Bank and/or any of the Bank’s Affiliates and other investors and generally acting as provided in the Agreement, as the case may be. As a result, when the Bank deals for the Client, or manages any assets of the Customer and/or provides Services to the Customer, the Bank or any of the Bank’s Affiliates may have an interest, relationship, or arrangement that is material in relation to the Transaction or Investment concerned. (d) Any Instruction for any Transaction shall only be accepted if it is for execution on the day of Instruction if it is received before such cut-off time as the Bank may from time to time prescri...
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Dealing Services. (a) You will designate each order to sell as a “long” order or a “short” order. A “short” sale means the sale of a security not owned by you. CFI may, at its sole discretion and without prior notice to you, cover any short sale in your Account. You understand that “cover” means the purchase, at the current market price, of securities that were previously sold short. When you designate a sale as “long”, you are promising to CFI that you own the security and promise that, if the security is not in CFI’s possession when you place the sale order, you will deliver the security to CFI by the settlement date. If you fail to deliver the security to CFI by the settlement date, CFI may purchase the security, at the current market price, for your Account and you will be responsible and agree to compensate CFI for any loss, commission and/or fees.
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Dealing Services. 5.1 Without limiting the generality of Clause 4.1, the Broker may require the Client to put the Broker in funds or to deliver relevant Securities to the Broker before the Broker carries out a Transaction pursuant to the Instructions. The Broker reserves the right to impose position limits on any Account. Unless otherwise agreed, the Client agrees that when the Broker has executed a purchase or sale transaction on the Client’s behalf, the Client shall by the due settlement date make payment to the Broker against delivery of or credit to the Client’s account for the purchased Securities, or make good delivery of sold Securities to the Broker against payment, as the case may be. In respect of any Transaction, if the Client fails to pay the Broker (for a purchase) or deliver relevant Securities to the Broker (for a sale) when the payment has become due, the Broker shall be authorised, in respect of a purchase transaction, to sell or transfer the Securities purchased or, in respect of a sales transaction, to borrow and/or buy Securities in order to make delivery in respect of a sale Transaction, in each case, upon such terms and conditions and at such price as the Broker may in its absolute discretion consider appropriate. 5.2 Without prejudice to the rights of the Broker under Clause 5.1, the Client shall be responsible to the Broker for any loss, costs, fees and expenses in connection with the Client’s failure to meet the Client’s obligations due by settlement dates as described therein. 5.3 The Client confirms and agrees that the Client shall contract as a principal in relation to all Transactions and that no other person has or will have any interests in the Transactions. The Client acknowledges and agrees that in relation to any Transaction, the counterparty to such Transaction may be the Broker or its associates or another client of the Broker and that the Broker may combine orders from the Client with other orders before execution, in any case without disclosure by the Broker to the Client. The Client further acknowledges and agrees that the Broker may receive from any broker, agent or any other person rebates in respect of commission arising from any Transaction or any related services provided to the Client and that the Broker shall be entitled to keep any such rebates and the Client shall have no right to benefit from them. 5.4 Title to any Securities purchased by the Client shall not pass until full payment of the amount due to the Broker in respect ...
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Dealing Services. 11.2.1. The Company shall provide execution-only Share Dealing Services. This Agreement sets out the basis on which the Company will receive, and handle instructions given from the Client to enter into Transactions for and on the Client’s behalf and hold Financial Instruments and money for and on the Client’s behalf. 11.2.2. The Client acknowledges that he/she shall provide the Company with instructions to enter into Transactions acting as a principal and not as an agent for any undisclosed third persons. This means that unless the Company has otherwise agreed in writing, it will treat the Client as its counterparty for all purposes and the Client will be responsible for performing its obligations under each Transaction performed through the Company’s Platform. 11.2.3. The Share Dealing Service will be carried out by the Company on the understanding that the Company is not providing the Client any investment, legal, regulatory and or any other form of advice. It is the Client’s responsibility to seek independent advice in relation to any Transaction he/she proposes to enter under this Agreement. 11.2.4. The Client, pursuant to the provisions of the Agreement, will enter into Transactions for Buying or Selling. The Company will provide the Client with the Buy and Sell price for Financial Instruments in the Underlying Market. If an order is accepted the company will confirm to the client if the transaction has been partially or fully executed. The Company does not provide any guarantees that the Client Orders will be fully or partially executed in the Underlying Market. Where a delay occurs because the Company is unable to interact with the relevant Underlying Market for any reason, the Company will attempt to execute the Order as soon as reasonably practicable. 11.2.5. The Client acknowledges and accepts that the market price of any Financial Instrument may change between the time the Company receives and accepts an Order and when it attempts to execute it. Under these circumstances, the third party who provided the quoted prices to the Company is not obliged to honour the indicative price the Client have received and, if that is the case, the Company may reject the Client’s Order. Such movements in price may be in favour or against the Client. 11.2.6. The Client acknowledges that if he/she places an Order (whether during normal market hours or when the market is closed), then he/she agrees to pay or receive the prevailing market price at the time the Clien...
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Dealing Services regular review of scheme particulars (PPM) where relevant.
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Related to Dealing Services

  • Billing Services 6 SECTION 3.01.

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