However,
before we can take matters any further,
UK law requires us to inform you that
in becoming a customer of E1, and
in your dealings with us:
(a) the protections conferred by or
under the UK Financial Services and
Markets Act 2000 (the ‘Act’) will
not apply as a result of our unsolicited
communication to you;
(b) the protections conferred by or
under the Act may not apply to any
investment activity you conduct through
us as a result of that communication;
and
(c) transactions
between us resulting from that communication
would not fall within the jurisdiction
of any UK dispute resolution or compensation
scheme, including the Financial Ombudsman
Service, nor of any other compensation
scheme, although the National Association
of Securities Dealers Code of Arbitration
Procedure for Customer Disputes will
apply.
In addition, you will need to clearly
signify, after a proper opportunity
to consider the above information,
that you understand the warnings referred
to in (a) and (b) above, and accept
that you will not benefit from the
protections referred to.
We therefore
propose to contact you again no earlier
than two working days from the date
that this notice is issued to ascertain
whether you are interested in progressing
matters and becoming a customer of
E1. However, if you decide beforehand
that you are not interested in our
services, please e-mail the E1 representative
who contacted you and let us know
of your decision. We shall ensure
that your decision is noted and that
you will not be contacted by us again.
Finally, in the event that this notice
has been sent to you in error, we
apologise both for the mistake and
for troubling you. If you would let
us know of our mistake by contacting
us on by return email or fax, we shall
ensure that you are not troubled again.
Information
We Are Requesting From You:
Something we take very seriously,
which can only be described as the
cornerstone of success in this business—is
that it remains mandatory for your
broker to only provide advice and
recommendations which are suitable.
As a result, the forms help us to
paint a more accurate picture of your
financial standing and goals, to better
aid our firm and its liaisons to attempt
to make informed recommendations that
are consistent with your desired risk
level and investment objectives. The
more detailed your response, the better
we are able to serve you in pursuit
of your objectives. |
