Warning to Clients Sample Clauses

Warning to Clients. Under MiFID, where the Company considers, on the basis of the information received from the Client, that the product and/or service in relation to the Investment and/or Ancillary Services in relation to Financial Instruments is not appropriate for the Client, the Company will warn the client accordingly. This warning may be provided in a standardised format, disclaimer and/or on-line or electronic notification. Should the Client elect not to provide the information to enable the Company to assess appropriateness, or should he provides insufficient information regarding his knowledge and experience, the Company will warn the client that such a decision will not allow the Company to determine whether the service and/or product envisaged is appropriate for the client. This warning may also be provided in a standardised format, disclaimer and/or on-line or electronic notification. Should the Client request from the Company to proceed with a transaction, in spite of being given a warning by the Company, it will be on the discretion of the Company to consider further whether to proceed in the circumstances, taking always into account and into consideration the particular risks for the Client as well as the nature of the service and/or the type of product and/or transaction. Where the Client is a Professional Client and/or an Eligible Counterparty, the Company is entitled to assume that the Client has the necessary experience and knowledge to enable the Client to understand the risks involved in relation to those particular investment services or transactions, or types of transaction and/or product, for which the Client has been classified as a Professional Client and/or an Eligible Counterparty. If the Client does not consider having the necessary knowledge and experience, the Client must inform the Company prior to the provision of such product and/or service and provide the Company with any available information as to the level of his knowledge and experience. Should the Client fail to do so, the Company accepts no liability in such circumstances. The Client explicitly and irrevocably consents and accepts that there are risks associated with trading and/or possession of given financial instruments, the potential leverage effect for these instruments, the risk of loss of all invested means, and/or potential loss of the amount in excess of originally invested means, the amount of commissions and/or other mandatory fees, foreign exchange risk related to carried o...
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Related to Warning to Clients

  • Returning to Work (a) Returning to work early

  • Reporting to Work Employees shall be at their work sites, report-in location or headquarters location by their shift starting time. A Park Officer’s report-in location shall be one assigned park. Any employee who must begin work at some location other than his/her actual work location or headquarter county or any Park Officer who must begin work at some other location other than his/her assigned park shall be compensated according to current Department/Agency practices. Within the Department of Natural Resources Division of Watercraft, remote office locations may be authorized by Watercraft management. The Division reserves the right to designate the remote office location and will provide the equipment needed to perform authorized duties from this location. Employees in the Department of Commerce, classified as Liquor Compliance Officers, will have their residence as a starting work site. The report-in location of employees assigned to the Enforcement Unit at the Department of Public Safety, shall be twenty (20) miles from their home or the location at which they join their partner whichever is less. Employees who are on authorized travel expenses, greater than forty- five (45) miles from their home, have the option to commute. Employees who wish to commute rather than claim travel expenses may request to commute by use of a Request for Waiver of Travel Expenses form. Employees making such requests shall waive their right to the twenty

  • Covenants Relating to Rule 144 For so long as the Company is subject to the reporting requirements of Section 13 or 15 of the Securities Act, the Company covenants that it will file the reports required to be filed by it under the Securities Act and Section 13(a) or 15(d) of the Exchange Act and the rules and regulations adopted by the Commission thereunder. If the Company ceases to be so required to file such reports, the Company covenants that it will upon the request of any Holder of Registrable Securities (a) make publicly available such information as is necessary to permit sales pursuant to Rule 144 under the Securities Act, (b) deliver such information to a prospective purchaser as is necessary to permit sales pursuant to Rule 144A under the Securities Act and it will take such further action as any Holder of Registrable Securities may reasonably request, and (c) take such further action that is reasonable in the circumstances, in each case, to the extent required, from time to time, to enable such Holder to sell its Registrable Securities without registration under the Securities Act within the limitation of the exemptions provided by (i) Rule 144 under the Securities Act, as such Rule may be amended from time to time, (ii) Rule 144A under the Securities Act, as such rule may be amended from time to time, or (iii) any similar rules or regulations hereafter adopted by the Commission. Upon the request of any Holder of Registrable Securities, the Company will deliver to such Holder a written statement as to whether it has complied with such requirements and of the Securities Act and the Exchange Act (at any time after it has become subject to the reporting requirements of the Exchange Act), a copy of the most recent annual and quarterly report(s) of the Company, and such other reports, documents or stockholder communications of the Company, and take such further actions consistent with this Section 8(a), as a Holder may reasonably request in availing itself of any rule or regulation of the Commission allowing a Holder to sell any such Registrable Securities without registration.

  • Customer Complaints Each party hereby agrees to promptly provide to the other party copies of any written or otherwise documented complaints from customers of Dealer received by such party relating in any way to the Offering (including, but not limited to, the manner in which the Shares are offered by the Dealer Manager or Dealer), the Shares or the Company.

  • Notification of Breach / Compliance Reports The Adviser shall notify the Trust immediately upon detection of (i) any material failure to manage any Fund in accordance with its investment objectives and policies or any applicable law; or (ii) any material breach of any of the Funds’ or the Adviser’s policies, guidelines or procedures. In addition, the Adviser shall provide a quarterly report regarding each Fund’s compliance with its investment objectives and policies, applicable law, including, but not limited to the 1940 Act and Subchapter M of the Code, as applicable, and the Fund’s policies, guidelines or procedures as applicable to the Adviser’s obligations under this Agreement. The Adviser agrees to correct any such failure promptly and to take any action that the Board may reasonably request in connection with any such breach. Upon request, the Adviser shall also provide the officers of the Trust with supporting certifications in connection with such certifications of Fund financial statements and disclosure controls pursuant to the Xxxxxxxx-Xxxxx Act. The Adviser will promptly notify the Trust in the event (i) the Adviser is served or otherwise receives notice of any action, suit, proceeding, inquiry or investigation, at law or in equity, before or by any court, public board, or body, involving the affairs of the Trust (excluding class action suits in which a Fund is a member of the plaintiff class by reason of the Fund’s ownership of shares in the defendant) or the compliance by the Adviser with the federal or state securities laws or (ii) an actual change in control of the Adviser resulting in an “assignment” (as defined in the 0000 Xxx) has occurred or is otherwise proposed to occur.

  • The Service Provider (a) shall take out and maintain, and shall cause any Subcontractors to take out and maintain, at its (or the Sub contractors', as the case may be)own cost but on terms and conditions approved by the Procuring Entity, insurance against the risks, and for the coverage, as shall be specified in the SCC; and

  • Covenants Relating to Conduct of Business During the period from the date of this Agreement and continuing until the Closing Date, the Shareholders and the Corporation, jointly and severally, covenant and agree that (except as expressly contemplated or permitted by this Agreement, or to the extent that the Company shall otherwise consent in writing):

  • COMMUNICATIONS RELATING TO FOREIGN SECURITIES The Custodian shall transmit promptly to the Fund written information with respect to materials received by the Custodian via the Foreign Sub-Custodians from issuers of the foreign securities being held for the account of the Portfolios (including, without limitation, pendency of calls and maturities of foreign securities and expirations of rights in connection therewith). With respect to tender or exchange offers, the Custodian shall transmit promptly to the Fund written information with respect to materials so received by the Custodian from issuers of the foreign securities whose tender or exchange is sought or from the party (or its agents) making the tender or exchange offer. The Custodian shall not be liable for any untimely exercise of any tender, exchange or other right or power in connection with foreign securities or other property of the Portfolios at any time held by it unless (i) the Custodian or the respective Foreign Sub-Custodian is in actual possession of such foreign securities or property and (ii) the Custodian receives Proper Instructions with regard to the exercise of any such right or power, and both (i) and (ii) occur at least three business days prior to the date on which the Custodian is to take action to exercise such right or power.

  • Linking to the Website and Social Media Features You may link to our homepage, provided you do so in a way that is fair and legal and does not damage our reputation or take advantage of it, but you must not establish a link in such a way as to suggest any form of association, approval, or endorsement on our part. This Website may provide certain social media features that enable you to: • Link from your own or certain third-party websites to certain content on this Website. • Send emails or other communications with certain content, or links to certain content, on this Website. • Cause limited portions of content on this Website to be displayed or appear to be displayed on your own or certain third-party websites. You may use these features solely as they are provided by us, and solely with respect to the content they are displayed with, and otherwise in accordance with any additional terms and conditions we provide with respect to such features. Subject to the foregoing, you must not: • Establish a link from any website that is not owned by you. • Cause the Website or portions of it to be displayed on, or appear to be displayed by, any other site, for example, framing, deep linking, or in-line linking. • Link to any part of the Website other than the homepage. • Otherwise take any action with respect to the materials on this Website that is inconsistent with any other provision of these Terms of Use. The website from which you are linking, or on which you make certain content available, must comply in all respects with the Content Standards set out in these Terms of Use. You agree to cooperate with us in causing any unauthorized framing or linking immediately to stop. We reserve the right to withdraw linking permission without notice. We may disable all or any social media features and any links at any time without notice in our discretion.

  • RESPONDING TO REQUESTS FOR INFORMATION To the extent authorized by the Participating Consumer(s) and to the extent such individual permission is required by law, the Competitive Supplier shall, during normal business hours (as set forth above), respond promptly and without charge therefore to reasonable requests of the Town for information or explanation regarding the matters covered by this ESA and the supply of electricity to Participating Consumers. Competitive Supplier agrees to designate a service representative or representatives (the “Service Contacts”) who shall be available for these purposes, and shall identify the office address and telephone number of such representative(s). Whenever necessary to comply with this Article 5.3, the Service Contacts shall call upon other employees or agents of the Competitive Supplier to obtain such information or explanation as may be reasonably requested. Nothing in this Article 5.3 shall be interpreted as limiting the obligation of the Competitive Supplier to respond to complaints or inquiries from Participating Consumers, or to comply with any regulation of the Department or AG regarding customer service.

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