FSA Rules Sample Clauses
FSA Rules. References to any FSA rules or any other legislation under this Agreement are a reference to such rules or legislation as extended, applied, amended or re-enacted and includes any subordinate legislation and in particular any amendment or re-enactment arising from the implementation of the Markets in Financial Instruments Directive (“MiFID”).
FSA Rules. (a) The Advisor is authorized and regulated by the FSA in the United Kingdom.
(b) The Advisor has in operation a written procedure in accordance with the FSA Rules for the effective consideration and proper handling of complaints from customers. Any complaints should be referred to the Compliance Officer of the Advisor.
(c) The parties agree that series J is a Professional Client within the Rules and is not an eligible complainant as defined in “Dispute Resolution: Complaints Sourcebook” of the FSA Rules. Accordingly, Series J has no right of complaint to the Financial Ombudsman Service in respect of any dispute arising out the Advisor’s performance of its obligations under this Agreement.