CLIENT CATEGORISATION UNDER ▇▇▇▇▇ ▇▇ Sample Clauses

CLIENT CATEGORISATION UNDER ▇▇▇▇▇ ▇▇. 28.1. As per MiFID II the Company’s clients shall be categorized/classified in three (3) categories intended to reflect both client’s level of knowledge and experience in the financial markets and their ability to understand and take on the risks arising from their investment decisions, in order to adopt protective measures to the particularities of each category of investor. In compliance with such requirements imposed under ▇▇▇▇▇ ▇▇, we categorize/classify our clients in the following three (3) categories: a) Eligible Counterpart(y)ies (“ECP(s)”): a category that includes: (a) per se eligible counterparties (i.e., entities automatically treated as eligible counterparties), such as investment firms, credit institutions, insurance companies, undertakings for the collective investment of transferable securities (“UCITS”), pension funds and national governments, as well as, (b) entities that may be treated as eligible counterparties with their consent, such as large undertakings (that meet specified size tests) and clients who may be treated as ECPs in accordance with the prescribed opt-up criteria; recognition by the MiFID II Member State in which they are established is required for the latter entities to be treated as ‘ECP’; for this type of customer ▇▇▇▇▇ ▇▇ provides for a basic level of protection since these are entities that by their very nature must operate directly and frequently in the financial markets;
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CLIENT CATEGORISATION UNDER ▇▇▇▇▇ ▇▇. 28.1. As per MiFID II the Company’s clients shall be categorized/classified in three (3) categories intended to reflect both client’s level of knowledge and experience in the financial markets and their ability to understand and take on the risks arising from their investment decisions, in order to adopt protective measures to the particularities of each category of investor. In compliance with such requirements imposed under ▇▇▇▇▇ ▇▇, we categorize/classify our clients in the followingthree
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Related to CLIENT CATEGORISATION UNDER ▇▇▇▇▇ ▇▇

  • Client Categorisation 4.1. The client understands and accepts that each category of Clients has its individual level of regulative protection acknowledging that Retail Clients have the highest level of protection whereas Professional Clients and Eligible Counterparties are considered to be more experienced, informed, skilled and able to estimate their risk, therefore are provided with a lower level of protection. 4.2. The Company will treat the Client as a Retail Client, Professional Client or Eligible Counterparty, depending on how the Client completes the Application Form and according to the method of categorisation as this method is explained under the title “Client Categorisation” (Appendix II), and by accepting this Agreement the Client accepts application of such method. 4.3. The Client accepts that when categorising the Client and dealing with him, the Company will rely on the accuracy, completeness and correctness of the information provided by the Client in his Application Form and the Client has the responsibility to immediately notify the Company in writing if such information changes. 4.4. The Company has the right to review the Client’s Categorisation and change his Categorisation if this is deemed necessary (subject to Applicable Laws).

  • Minimum Customer Support Requirements for TIPS Sales Vendor shall provide timely and commercially reasonable support for TIPS Sales or as agreed to in the applicable Supplemental Agreement.

  • Minimum Vendor License Requirements Vendor shall maintain, in current status, all federal, state, and local licenses, bonds and permits required for the operation of the business conducted by Vendor. Vendor shall remain fully informed of and in compliance with all ordinances and regulations pertaining to the lawful provision of goods or services under the TIPS Agreement. TIPS and TIPS Members reserve the right to stop work and/or cancel a TIPS Sale or terminate this or any TIPS Sale Supplemental Agreement involving Vendor if Vendor’s license(s) required to perform under this Agreement or under the specific TIPS Sale have expired, lapsed, are suspended or terminated subject to a 30‐day cure period unless prohibited by applicable statue or regulation.

  • Scope of Licence 2. 1. You may only use the Licensed Content in the manner and to the extent permitted by these Ts&Cs and any applicable laws. 2. 2. A separate licence may be required for any additional use of the Licensed Material, e.g. where a licence has been purchased for print only use, separate 2. 3. Similarly, rights for additional components such as custom editions and derivatives require additional permission and may be subject to an additional fee. Please apply to 2. 4. Where permission has been granted free of charge for material in print, permission may also be granted for any electronic version of that work, provided that the material is incidental to your work as a whole and that the electronic version is essentially equivalent to, or substitutes for, the print version. 2. 5. An alternative scope of licence may apply to signatories of the STM Permissions Guidelines, as amended from time to time.

  • Grievance Definitions A grievance shall be defined as any difference arising out of an interpretation, application, administration or alleged violation of this Collective Agreement. A grievance shall be categorized as follows: (a) an individual grievance is a dispute affecting one (1) Employee. Such grievance shall be initiated at Step 1 of the grievance procedure as outlined in Clause 8.05 except in cases of suspension which will commence at Step 2 or dismissal which will commence at Step 3; or (b) a group grievance is a dispute affecting two (2) or more Employees. Such grievance shall be initiated at Step 2 and processed there from in the same manner as an individual grievance as outlined in Clause 8.05. A group grievance shall list all Employees affected by the grievance and the results of such grievance shall apply, proportionately if applicable, to all Employees listed on the original grievance; or (c) a policy grievance is a dispute between the Parties which, due to its nature, is not properly the subject of an individual or group grievance. Such grievance shall be initiated, in writing, within twenty (20) days of the date the aggrieved Party first became aware of or reasonably should have become aware of the event leading to the grievance. If the policy grievance is a Union grievance, it shall commence at Step 2. If the policy grievance is an Employer grievance, it shall be directed to the Union President and the President shall render a written reply within five (5) days of receipt. Upon receipt of response or failure to reply, the Employer may advance the grievance to arbitration. Notwithstanding Clause 8.01(a), (b) and (c) and Clause 8.05 the Parties may mutually agree to advance the grievance to a subsequent step in the grievance process. In the event any management officers as named in the grievance steps are one and the same, the subsequent steps will be deemed to have been complied with.