1. YOUR RESPONSIBILITY TO SAY NO
It is your trading account and you are in control. If you are unsure of any advice provided by your investment advisor, then you must NOT proceed with the transaction. If you do accept and agree to any recommendations made, then you automatically accept the risks of that trade. It is imperative that you are happy with the investments being recommended to you, including their level of risk, the transaction size and the frequency with which trades are being conducted on your account. If you decide that you are unhappy with any of the above or your personal circumstances change, please notify your Investment Advisor immediately and ask to speak to the compliance officer.
2. YOUR RESPONSIBILITY TO CHECK YOUR TRADES
For all trades executed you will receive a contract note. You can also view the details of all your transactions via your online portfolio. It is your responsibility to ensure that these details are correct. If you do identify an error,then you must notify your investment advisor immediately. At any time, we will be able to send you, on request, an up to date account valuation or statement of your account at no charge, but we would advise that you check your account at least once a day to review trades executed, valuation of open positions, margin usage and general portfolio composition. It is your responsibility to monitor and address any issues that you might find immediately.
3. SUITABILITY
Whilst we will always endeavourto ensure that the recommendations made to you are suitable, our advice is only as good as the information that you have provided to us. In order to ensure the correct level of advice, it is important that you alwaysnotify us if either your 1) risk appetite 2) investment objectives or 3) financial circumstances change. It is also important to notify us if your health deteriorates. If you are unsure you should seek professional financial or medical advice before proceeding.