Dealing Service to be provided Sample Clauses

Dealing Service to be provided. Advisory accounts An Advisory Service means that we will provide you with advice on investment services and products but the decision to invest or not to invest will be made by you. Under this service we may also execute investment transactions on your behalf where you have made an investment decision without taking any advice from us. (see paragraph 1 Part B) You shall remain designated as receiving advisory services in accordance with the advisory account opening document signed by you unless you seek, in writing, to change the designation of your account. Any such requested change shall not be effective until you have completed or provided such additional information as is requested by Xxxxxx and we have acknowledged the amendment of the change in status of your account in writing. Xxxxxx does not permit clients to take short equity positions other than via derivatives. Where specific terms apply to an investment you must consider these before investing. You acknowledge that some complex instruments may not be readily realisable and it may be difficult for investors to sell or realise the product and/or obtain reliable information about its value or the extent of the risks to which it is exposed. You acknowledge that execution of orders in respect of instruments which are not market traded and/or are not settled through normal market settlement systems for example, units in a mutual fund or unit trust, will be on a strictly best efforts basis only. Xxxxxx will not be responsible for any losses which may arise from time elapsed between the issue of the order in respect of the security in question, and its execution. Company Announcements: You should be aware in dealing in the securities of an entity in a period post the announcement of that entity’s results, or of other information material to its business, that such announcements are often followed by analysts’ briefings and conference calls. Information relevant to the price of the securities in question may emerge in such forum and may have an influence on the market price of the security. In choosing to deal in the period between the announcement by the entity and the subsequent analysts’ briefings, conference calls, etc, you acknowledge the risk of a possible adverse price movement. This acknowledgement is without prejudice to our other duties to you.
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Dealing Service to be provided. Execution only accounts Under these Terms, Xxxxxx will carry out your instructions on an execution only basis. An execution only transaction is a transaction executed by Xxxxxx upon your specific instructions where Xxxxxx does not give advice on the merits of that transaction and you will remain solely responsible for any investment decision. You shall remain designated as receiving execution only services in accordance with the execution only account opening document signed by you unless you seek, in writing, to change the designation of your account. Any such requested change shall not be effective until you have completed or provided such additional information as is requested by Xxxxxx and we have acknowledged the amendment of the change in status of your account in writing. We will deal in the below listed financial instruments and investment instruments (together “financial instruments”) on an execution only basis. Non-complex instruments Where you initiate or propose an execution only transaction to deal in a non-complex instrument, Xxxxxx will not assess the suitability or appropriateness of the instrument for you and therefore you will not benefit from the protection of conduct of business as regards suitability or appropriateness. Xxxxxx will not advise you on the merits of the transaction and you will be solely responsible for all investment decisions. Non-complex instruments include;
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Related to Dealing Service to be provided

  • Data to Be Provided In order for the Operator to perform the Services described in the Service Agreement, LEA shall provide the categories of data described in the Schedule of Data, attached as Exhibit B.

  • Student Data to Be Provided In order to perform the Services described in this Article and Exhibit “A”, LEA shall provide the categories of data described in the Schedule of Data, attached hereto as Exhibit “B”.

  • SERVICES TO BE PROVIDED 2.1 The services which we may provide to you are general investment and dealing services in financial and commodity options, futures and contracts for differences traded on an Exchange, together with related research, advice, clearing and settlement facilities and any other services agreed between us.

  • Information to be Provided The Fund shall provide to Service Provider a copy of the current prospectus and SAI. The Fund shall provide Service Provider with written copies of any amendments to, or changes in such documents promptly after such amendments or changes become available.

  • STATEMENT OF SERVICES TO BE PROVIDED The Parties agree to cooperate to provide necessary and authorized services and resources in accordance with the terms of this Contract. Specific services provided are described in Attachment A – Statement of Work.

  • Group Meals to be Provided A. During the Program, the Contractor shall provide specified Group Meals, as requested by the Judicial Council, to be charged to the Master Account. Table 1, below, is provided to reflect anticipated Group Meals only and does not constitute a firm commitment. Prior to the Program, the Judicial Council will provide one (1) or more BEO’s to the Contractor setting forth the final detail on these items. Table 1: Date Anticipated Group Meals Maximum Per Attendee Estimated Attendance Estimated Cost Date3 Breakfast $25.00 118 AM Coffee Service $8.00 118 Lunch $40.00 118 Date4 Breakfast $25.00 118 AM Coffee Service $8.00 118 Total Estimated Charges: $@@@.@@

  • Services Provided Subcontractor agrees to complete the following: _ (“Services”).

  • Meeting and Function Rooms to be Provided A. The Contractor shall provide to the Judicial Council the meeting and function rooms on the Dates and at the times set forth in Table 1, below, including necessary and appropriate set up. Prior to the Program, the Judicial Council will provide one

  • HOME ASSISTANCE TO BE PROVIDED The right of either the Owner or Tenant to receive TBRA Program assistance under this Contract is, at all times, subject to each party’s compliance with this Contract’s terms and requirements.

  • Services to be Performed Subject always to the supervision of Manager and the Trust’s Board of Trustees (the “Board”), Sub-Adviser will furnish an investment program in respect of, make investment decisions for, and place all orders for the purchase and sale of securities for the portion of each Fund’s investment portfolio allocated by Manager to Sub-Adviser. In the performance of its duties, Sub-Adviser will satisfy its fiduciary duties to the Trust, will monitor each Fund’s investments, and will comply with the provisions of the Trust’s Declaration of Trust and By-laws, each as amended from time to time (the “Trust Documents”), and the stated investment objectives, policies and restrictions of each Fund. Manager will provide Sub-Adviser with current copies of the Trust Documents, each Fund’s prospectus and Statement of Additional Information and any amendments thereto, and any objectives, policies or restrictions not appearing therein as they may be relevant to Sub-Adviser’s performance under this Agreement. Sub-Adviser and Manager will each make its officers and employees available to the other from time to time at reasonable times to review investment policies of each Fund and to consult with each other regarding the investment affairs of each Fund. Sub-Adviser will report to Manager and the Board with respect to the implementation of its investment program for each Fund. Sub-Adviser is authorized to select the brokers or dealers that will execute the purchases and sales of portfolio securities for each Fund, and is directed to use its best efforts to obtain best execution, which includes most favorable net results and execution of each Fund’s orders, taking into account all appropriate factors, including price, dealer spread or commission, size and difficulty of the transaction and research or other services provided. It is understood that Sub-Adviser will not be deemed to have acted unlawfully, or to have breached a fiduciary duty to the Trust or the Funds, or be in breach of any obligation owing to the Trust or the Funds under this Agreement, or otherwise, solely by reason of its having caused a Fund to pay a member of a securities exchange, a broker or a dealer a commission for effecting a securities transaction for a Fund in excess of the amount of commission another member of an exchange, broker or dealer would have charged if Sub-Adviser determined in good faith that the commission paid was reasonable in relation to the brokerage or research services provided by such member, broker or dealer, viewed in terms of that particular transaction or Sub-Adviser’s overall responsibilities with respect to its accounts, including the Funds, as to which it exercises investment discretion. In addition, if in the judgment of Sub-Adviser, a Fund would be benefited by supplemental services, Sub-Adviser is authorized to pay spreads or commissions to brokers or dealers furnishing such services in excess of spreads or commissions which another broker or dealer may charge for the same transaction, provided that Sub-Adviser determines in good faith that the commission or spread paid is reasonable in relation to the services provided. Sub-Adviser will properly communicate to the officers and trustees of the Trust such information relating to transactions for each Fund as they may reasonably request. In no instance will portfolio securities be purchased from or sold to Manager, Sub-Adviser or any affiliated person of the Trust, Manager or Sub-Adviser, except as may be permitted under the 1940 Act, and under no circumstances will Sub-Adviser select brokers or dealers for Fund transactions on the basis of Fund share sales by such brokers or dealers. Sub-Adviser further agrees that it:

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