SUITABILITY ASSESSMENT Sample Clauses

SUITABILITY ASSESSMENT. 4.1 SoFi HK makes available to you the Robo Advisory Service and assess the suitability of recommendation based on the information you have provided such as your age, risk appetite, knowledge and experience of investing, financial situation and investment objectives etc. You undertake as an ongoing obligation to provide SoFi HK with updates of such information as well as other information that he provided in your Account Application and to inform SoFi HK as according to clause 29.6 under the Customer Agreement if there is any change.
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SUITABILITY ASSESSMENT. In the case that the CUSTOMER has been classified as a Retail Customer, CAIXABANK will gather all information necessary from the CUSTOMER to assess their suitability ("Suitability Test") in relation to the scope of the Fund Portfolios Discretionary Management service governed by this Contract. The CUSTOMER will also inform of any event or circumstance that may alter or affect its assessment and/or classification as a Retail Customer and which must be taken into account by CAIXABANK for this purpose. The Parties agree to accept, for the purposes of complying with this requirement, the Suitability Test that the CUSTOMER has signed at any time with CAIXABANK for the Fund Portfolios Discretionary Management service governed by this Contract. The CUSTOMER and, whe re applicable, each one of the holders that form the CUSTOMER) will be responsible for the information provided to assess their suitability and must maintain this information up-to-date and inform CAIXABANK of any change that may represent a modification to the suitability assessment carried out. In the case of multiple holders, the suitability assessment will be carried out by the joint holder designated by all the holders by way of common agreement. In the case the holder is a legal person, they will be considered under the criteria of natural person representat ive with sufficient powers to carry out the assessment. In any event, the assessment of knowledge and experience will be performed by the joint h older designated to take the test and the financial capacity and investment objectives will be that of all joint holders considered as a whole. To this end, the joint holders are obliged to inform the joint holder designated to carry out the Suitability Test of their financial capacity and i nvestment objectives for the purposes of a correct suitability assessment. In any event, the suitability test must be updated every 18 months (counted from the last amendment date of the Suitability Test). If the update of the Suitability Test of the change request by the CUSTOMER should give rise to a change in the investor profile indicated in the investment criteria, the signing of a new contract will be required in which the CUSTOMER will be assigned a new portfolio more suitable to the result of the new Suitability Test. CAIXABANK will provide the Discretionary Management service laid out in this Contract under conditions of suitability, in other words, within the limits deriving from the result of the sui...
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SUITABILITY ASSESSMENT. 4.1 SUITABILITY ASSESSMENT PROCESS Through conversations and a review of the information I provide on the Application, my Representative will gain an understanding of my financial situation and life circumstances. The information I provide is broadly referred to as “Know Your Client” (“KYC”) information and will be used by my Representative to determine whether a given investment is suitable for me. I will be provided with a copy of my KYC information at the time of account opening and each time there is a material change to my KYC information. The KYC information and other factors that guide my CFIS Representative as to an investment’s suitability include what my Representative understands to be my current: • Financial situation - What financial assets (e.g. deposits, investments etc.) and liabilities (e.g. debt, mortgage etc.) I have and the sources and amount of my income. My Representative will consider the size of any transaction compared to the overall value of my net financial assets (assets minus liabilities). • Investment knowledge - Whether I consider myself, or you understand me, to be a novice at investing, have some knowledge or feel I understand more complex financial products. • Investment objectives - What I tell my CFIS Representative are my specific financial goals. This will help my CFIS Representative determine how to balance the desire to earn income and/or increase my capital through growth in the market value of my holdings/Account. • Risk profile -The lower of my risk tolerance (i.e. my willingness to accept risk) and my risk capacity (i.e. my ability to endure potential financial loss in pursuing my investment goals). For example, an investor with a high risk profile has both the willingness and ability to risk losing money to get potentially better results. • Time horizon - When I expect to withdraw a significant amount of my Account. For example, to buy a house or pay for education. In retirement, this may also include consideration of tax requirements to withdraw minimum amounts. In addition, other pieces of financial or personal information will have to be collected, including name, address, telephone number, email address and certain information concerning family, employment and financial status. This information will be used to confirm my identity and determine my investor profile. Your understanding of my profile is critical. Some of the above factors are relatively easily answered by providing a number or simply answering “...
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Related to SUITABILITY ASSESSMENT

  • Conformity Assessment 1. The Parties recognize that a broad range of mechanisms exists to facilitate the acceptance of conformity assessment procedures and results thereby, including:

  • Security Assessment If Accenture reasonably determines, or in good faith believes, that Supplier’s security practices or procedures do not meet Supplier’s obligations under the Agreement, then Accenture will notify Supplier of the deficiencies. Supplier will without unreasonable delay: (i) correct such deficiencies at its own expense; (ii) permit Accenture, or its duly authorized representatives, to assess Supplier’s security-related activities that are relevant to the Agreement; and (iii) timely complete a security questionnaire from Accenture on a periodic basis upon Accenture’s request. Security issues identified by Accenture will be assigned risk ratings and an agreed-to timeframe to remediate. Supplier will remediate all the security issues identified within the agreed to timeframes. Upon Supplier’s failure to remediate any high or medium rated security issues within the stated timeframes, Accenture may terminate the Agreement in accordance with Section 8 above.

  • PROPERTY ASSESSMENT The Buyer and Seller hereby acknowledge that the Province of Ontario has implemented current value assessment and properties may be re-assessed on an annual basis. The Buyer and Seller agree that no claim will be made against the Buyer or Seller, or any Brokerage, Broker or Salesperson, for any changes in property tax as a result of a re-assessment of the property, save and except any property taxes that accrued prior to the completion of this transaction.

  • Constructability Review Prepare detailed interdisciplinary constructability review within Fourteen (14) days of receipt of the plans from the District that:

  • Evaluation Cycle: Formative Assessment A) A specific purpose for evaluation is to promote student learning, growth and achievement by providing Educators with feedback for improvement. Evaluators are expected to make frequent unannounced visits to classrooms. Evaluators are expected to give targeted constructive feedback to Educators based on their observations of practice, examination of artifacts, and analysis of multiple measures of student learning, growth and achievement in relation to the Standards and Indicators of Effective Teaching Practice.

  • Risk Assessment An assessment of any risks inherent in the work requirements and actions to mitigate these risks.

  • Needs Assessment 1. The Contractor shall conduct a cultural and linguistic group-needs assessment of the eligible client population in the Contractor’s service area to assess the language needs of the population and determine what reasonable steps are necessary to ensure meaningful access to services and activities to eligible individuals. [22 CCR 98310, 98314] The group-needs assessment shall take into account the following four (4) factors:

  • Diagnostic Assessment 6.3.1 Boards shall provide a list of pre-approved assessment tools consistent with their Board improvement plan for student achievement and which is compliant with Ministry of Education PPM (PPM 155: Diagnostic Assessment in Support of Student Learning, date of issue January 7, 2013).

  • Impact Assessment If Service Provider desires to make any change, upgrade, replacement or addition that may have an adverse impact or require changes as described in Section 9.6(c) or increase the risk of Service Provider not being able to provide the Services in accordance with this Agreement or violate or be inconsistent with DIR Standards or Strategic Plans, then Service Provider shall prepare a written risk assessment and mitigation plan (1) describing in detail the nature and extent of such adverse impact or risk, (2) describing any benefits, savings or risks to DIR or the DIR Customers associated with such change, and (3) proposing strategies to mitigate any adverse risks or impacts associated with such change and, after consultation and agreement with DIR, implement the plan.

  • Conformity Assessment Procedures 1. Each Party shall give positive consideration to accepting the results of conformity assessment procedures of other Parties, even where those procedures differ from its own, provided it is satisfied that those procedures offer an assurance of conformity with applicable technical regulations or standards equivalent to its own procedures.

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