INTRODUCING BROKER’S SERVICES Clause Samples

INTRODUCING BROKER’S SERVICES. ‌ (1) Trade Capital Markets is an “Introducing Broker” of Interactive Brokers, which is in turn acting as a Financial Intermediary of the Client. (2) We present the services and platforms of the Financial Intermediary to our Clients. In addition, we shall: i. Provide training to the Client with regard to the provision of financial instruments and the trading platforms of the Financial Intermediary; ii. Offer technical assistance to the Client in relation to the Financial Intermediary’s trading platforms; iii. Offer training on technical and operational analysis on the stock exchange; iv. Provide information and support to the Client with regard to the Securities Accounts opened with the Financial Intermediary, including but not limited to: issuance of reports, technical assistance in relation to the platforms, the costs and charges, the deposits and the withdrawals, etc. For these services, the Company receives inducements from the Financial Intermediary; and v. Provide clients with marketing material, technical or market analysis and webinars. Any statement, recommendation or opinion provided to any Client is not designed with respect to the individual Client’s personal profile, financial situation or trading experience, and therefore should not be construed as investment advice, recommendation, opinion and/or as a solicitation for any Transactions in financial instruments. (3) For trading Stocks, Options, Futures, Exchange Trades Funds, Warrants, Structured Products, Fixed Income products and Mutual Funds, Interactive Brokers will provide you with a mechanism to submit your orders yourself electronically directly to the Financial Intermediary. (4) When trading Stocks, Options, Futures, Exchange Trades Funds, Warrants, Structured Products, Fixed Income products and Mutual Funds, Clients will be subjectto the Terms & Conditions of the Financial Intermediary available on its webpage (▇▇▇.▇▇▇▇▇▇▇▇▇▇▇▇▇▇▇▇▇▇.▇▇▇). If the Client wishes to obtain additional details, he/she can consult the web page of Interactive Brokers. (5) The Client agrees to monitor the Financial Intermediary’s website at ▇▇▇.▇▇▇▇▇▇▇▇▇▇▇▇▇▇▇▇▇▇.▇▇.▇▇ for information regarding its services. The Client consents to receive key information documents (“KIDs”) for products covered by the Packaged Retail and Insurance-based Investment Products Regulation (“PRIIPs”) by means of the website.
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