For Retail Clients Sample Clauses

For Retail Clients. Unless you receive confirmation in writing to the contrary, in all our dealings on investment matters you will be treated as a Retail Client. This means that you are afforded the highest level of protection under the regulatory system and should have the right to take any complaint to the Financial Ombudsman Service (FOS). Xxxxxxx Xxxxxxxx Independent Financial Advisers Limited. Registered address Xxxxxxx Xxxxxxxx Xxxxx, Xxxxxxxxxxx Xxxxx, Xxxx Xxxxxx, Xxxxxx in Xxxxx, X00 0XX. Registered in England. Reg No 05069224 Client Agreement Document January 2018 Where we have categorised you other than as a ‘retail client’, you may request re-categorisation under a client category which benefits from a higher degree of protection. However, we reserve the right to agree to such a re-categorisation on a case-by-case basis, and where we agree to do so it does not necessarily mean that you will have a right of access to the Financial Ombudsman Service. Further information in respect of the Financial Ombudsman Service is available on their website at the address below: xxxx://xxx.xxxxxxxxx-xxxxxxxxx.xxx.xx/ MODE OF COMMUNICATION We will enter into communication with you through whatever means are convenient to you and us, including face-to-face, telephone, e-mail and other acceptable electronic communication methods. Our communications will ordinarily be in English, both in respect of oral and written communications. We are required by our regulators (the FCA) to keep records of any telephone conversations or other electronic communications with our clients in relation to the arranging of transactions in investments that are categorised as financial instruments. The term ‘electronic communication’ covers many categories of communications and includes (amongst others) video conferencing, fax email, Bloomberg mail, SMS, business to business devices, chat, instant messaging and mobile devices applications. A copy of our recording policy is available upon request. INVESTMENT OBJECTIVES & RESTRICTIONS Following the issue of this document, any subsequent advice or recommendation offered to you will be based on your stated investment objectives, agreed level of risk you are prepared / able to take and any restrictions you wish to place on the type of investments or policies you are willing to consider. Details of your stated investment objectives will be identified during our discussions with you and confirmed within the suitability report that we will issue to you to confirm...
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For Retail Clients. The Client has the right to request in writing to be categorised as a Professional Client but in such case, he will be afforded fewer regulatory protections. The Company will assess specified quantitative and qualitative criteria in accordance with the provisions of the Law and the change of categorization will depend on its absolute discretion.
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For Retail Clients the Company has the right, at its own discretion, to start closing Clients positions at margin level of 10%. The Company will automatically close Client’s positions at market price.
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