RTO Services

Order Handling

Welcome to our Reception and Transmission of Client Orders (“RTO”) service. As a financial firm, we are committed to efficiently and securely handling your orders for one or more financial instruments. This page provides an overview of the process and procedures involved in this service to ensure transparency and clarity.

Reception and Transmission of Client Orders for Financial Instruments

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Procedure for Reception and Transmission of Client Orders

1. Client order Submissions

Clients can submit their orders through various channels, including:

  • Online trading platforms
  • Phone calls to our designated order desk
  • In-person meetings with our financial advisors

2. Order Verification:

  • Upon receiving an order, your advisor or your RTO officer verifies the order details, ensuring accuracy and completeness
  • Clients are encouraged to provide clear and specific instructions, including the financial instrument(s), quantity, price, and any special conditions.

3. Instrument Selection:

Clients can choose from a wide range of financial instruments, including but not limited to:

  • Equities (stocks)
  • Bonds
  • Commodities
  • Foreign exchange (Forex)
  • Derivatives (options, futures, etc.)
  • Exchange-traded funds (ETFs)
  • Alternative investment funds

4. Market insights:

Your advisor or RTO officer may provide clients with relevant information to support their order decisions.

5. Order Execution:

Orders are transmitted to the relevant market or trading venue for execution.

  • Orders may be executed immediately at the current market price (market orders) or at a specified price (limit orders), depending on client instructions.

6. Confirmation and reporting:

Clients receive electronic order confirmations detailing the execution price, quantity, and other relevant information.

  • Periodic statements summarizing all executed orders and account balances are also provided.

7. Order Status Monitoring:

Clients can monitor the status of their orders through our online platforms or by contacting your J. Knobel advisor or our RTO desk.

8. Post-Execution Support:

Clients can monitor the status of their orders through our online platforms or by contacting your J. Knobel advisor or our RTO desk.

9. Regulatory Compliance:

We adhere to all relevant regulatory requirements and standards, ensuring the protection of client interests and data.

Questions or Assistance?

If you have any questions, require assistance, or wish to place an order for a financial instrument, please contact your J. Knobel dedicated investment advisor or our RTO desk. We are here to provide you with the guidance and support you need to make informed investment decisions.

Thank you for choosing our Reception and Transmission of Client Orders service. We look forward to serving your financial needs.

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