Material Interest. We will act honestly, fairly and professionally known as conducting business in ‘Client’s best interest’ regulations. Occasionally situations may arise where we or one of our other clients have some form of interest in business transacted for you. If this happens or we become aware that our interests or those of one of our other clients conflict with your interest, we will write to you and obtain your consent before we carry out your instructions, and detail the steps we will take to ensure fair treatment. In accordance with the rules of our regulator, The Financial Conduct Authority, we are prohibited from accepting any payment (commission or other non-monetary benefits) which is likely to conflict with the duty of the firm to its clients.
Material Interest. AM UK or its Affiliates may, when arranging deals or dealing for Customer have various policies and procedures in place to assist in identifying, preventing and managing conflicts of interests with Customer, or between Customer and another client that arise in the course of providing services. The AM UK Conflicts of Interest policy provides the overall framework for the identification of conflicts and addresses business conduct and practices that may give rise to an actual or potential conflict of interest. A summary of the policy can be found on the AM UK website. In addition to the Conflicts of Interest policy, there are various other policies and processes that address conflicts of interest that arise in specific circumstances, including those dealing with employee trading, external interests or gifts and entertainment. In those residual circumstances where organizational or administrative arrangements are unable to prevent, with reasonable confidence, that the risk of the conflict has a negative impact on Customer`s interest, AM UK and its Affiliates will disclose the source and nature of the material interest as soon as reasonably possible as well as the steps taken to mitigate those risks prior to providing services to Customer. AM UK and its Affiliates hereby disclose that, when arranging deals or dealing for Customer, they may have an interest relationship or arrangement that is material including, without limitation:
Material Interest. SVS Securities Plc is active in “Penny Shares” and shares quoted on the AIM and ISDX and (including its parent company and its subsidiaries, their directors, officers or employees) it may hold or have previously held a material interest in companies which are the subject of a recommendation or research note, or any other company mentioned, and may be providing or have provided within the previous 12 months significant advice or investment services in relation to any company or a related company referred to in this document or any other associated document. Whilst we endeavour at all times to ensure that our research is fair, clear and not misleading, and accurately reflects our opinions at the date of publication, we do not hold our research out as being impartial and it should not be viewed as wholly objective since SVS Securities Plc may also be acting or seeking to act as market maker, broker or adviser to; or have taken positions as a principal in the companies featured in the research notes. Investments in these shares are considered by the market professionals to be highly speculative and there is always the risk of partial or complete capital loss. The company will assume, unless it receives written instructions from You to the contrary, that You understand and accept the risk inherent in these investments. You further agree that We may arrange to buy or sell investments on Your behalf whether or not that interest in them may conflict with You or with the interest of other customers of Ours. 10.ConflictsofInterest.WehaveadocumentedpolicyofTreating Customers Fairly and use Our best endeavours to avoid any conflict of interest arising. Where conflicts do arise however, We ensure fair treatment to all Our customers by disclosure, internal rules of confidentiality, declining to act, or otherwise. We will not unfairly place Our interests above those of Our customers. Our conflicts of interest policy is available on request.
Material Interest. When effecting Transactions for you, we, or one of our associated companies may have an interest, relationship or arrangement that is material in relation to the Transaction or the Securities concerned. In particular, either ourselves, our Agents or any of our associated companies may:
Material Interest. An Option may not be exercised if the Option Holder then has, or has had within the preceding twelve months, a Material Interest in a Close Company which is the Company or which is a company which has Control of the Company or which is a member of a Consortium which owns the Company.