Acting as Principal. The Seller will engage in such Transactions as principal (or, if agreed in writing in advance of any Transaction by the other party hereto, as agent for a disclosed principal).
Acting as Principal. The Subscriber is purchasing the applicable Purchased Units on the applicable Payment Date as principal for its own account, and not for the benefit of any other person (which term as used herein shall be broadly interpreted and shall include a corporation) or, if it is not purchasing as principal, it is deemed to be purchasing such Purchased Units on such Payment Date as principal for accounts fully managed by it pursuant to a statutory exemption or an exemption order from relevant securities regulatory authorities in the applicable jurisdictions permitting suchpurchase.
Acting as Principal. Receiving Party herewith stipulates that it is acting as a principal only, and not as a broker, in the contemplated transaction. Receiving Party acknowledges Seller has retained Agent as its sole broker in connection with the sale of the Interests and will not recognize any other broker as a subagent of Seller. If Receiving Party is to be represented by a Buyer’s Broker in the contemplated transaction, then such Xxxxx’s Broker shall also sign this Agreement, acknowledging and agreeing to be bound by the terms and conditions hereof.
Acting as Principal. In certain instances where we act as your broker or exercise discretion on your behalf, securities purchased for you may be bought from or sold to us, a party associated with us or, in the course of distribution, a Connected Party. Fairness Policy FMGL maintains standards directed to ensuring fairness for clients. The fairness policies of FMGL are set out below. Each director, officer and employee of FMGL will: • Ensure that orders for clients always have priority over orders for the Friedberg Professional Group, • Ensure that he/she deals fairly with all accounts when making investment recommendations, or taking investment action and must not favour some accounts over others, • Use his/her best efforts to mitigate any conflict of interest between himself/herself, FMGL and clients, and inform clients of any material conflict of interest relating to him/her that might impair his/her ability to render unbiased and objective advice with respect to investment opportunities, • In advising clients, exercise diligence, independence (including in the case of securities of Connected Issuers and Related Issuers, where additional conflict controls are in place), and thoroughness in analyzing investments, making investment recommendations and taking investment action, and • Strive towards a high standard of ethical business and personal conduct and professionalism. Privacy Agreement and Consent The Personal Information Protection and Electronic Documents Act (“PIPEDA”) sets out the rules for the collection, management, use and disclosure of personal information. It is supposed to balance an individual’s right to the privacy of personal information with the need of organizations to collect, use, or disclose personal information for legitimate business purposes. Client Privacy Is Xxxxxxxxx’x Priority Friedberg Mercantile Group Ltd. (“FMGL”) is committed to safeguarding the personal information that our customers provide us. This private policy describes how FMGL handles and protects personal information we collect about individuals who apply for or receive FMGL services. The provisions of this policy apply to former customers as well as current customers. What Does Friedberg Mercantile Group Ltd. Do With Your Personal Information When you submit the New Customer Application Forms and/or a Subscription Application for any of FMGL’s investment funds, we collect personal information about you for business purposes, such as processing your application, processing your reque...
Acting as Principal. Each sale of Notes to an Agent as principal shall be made in accordance with the terms of this Agreement and a separate agreement, substantially in the form of Exhibit C hereto, to be entered into on behalf of such Agent(s) by the Purchasing Agent, which will provide for the sale of such Notes to, and the purchase and reoffering thereof by, the Purchasing Agent as principal. Each such separate agreement (which may be an oral agreement and confirmed in writing as described below between the Purchasing Agent and the Company) is herein referred to as a "Terms Agreement". A Terms Agreement may also specify certain provisions relating to the reoffering of such Notes by the Purchasing Agent. The Purchasing Agent's agreement to purchase Notes pursuant to any Terms Agreement shall be deemed to have been made on the basis of the representations, warranties and agreements of the Company herein contained and shall be subject to the terms and conditions herein set forth. Except pursuant to a Terms Agreement, under no circumstances shall you be obligated to purchase any Notes for your own account. Each Terms Agreement, whether oral (and confirmed in writing which may be by facsimile transmission) or in writing, shall describe the Notes to be purchased pursuant thereto by the Purchasing Agent as principal, and may specify, among other things, the principal amount of Notes to be purchased, the interest rate or formula and maturity date or dates of such Notes, the interest payment dates, if any, the price to be paid to the Company for such Notes, the initial public offering price at which the Notes are proposed to be reoffered, and the time and place of delivery of and payment for such Notes (the "Settlement Date"), whether the Notes provide for a survivor's option or for optional redemption by the Company and on what terms and conditions, and any other relevant terms. Terms Agreements may take the form of an exchange of any standard form of written telecommunication between the Purchasing Agent and the Company. In connection with the resale of the Notes purchased, without the consent of the Company, you are not authorized to appoint subagents or to engage the service of any other broker or dealer, nor may you reallow any portion of the discount paid to you by the Company in excess of the designated reallowance portion; provided, however, that the Purchasing Agent may engage the service of any other broker or dealer without the consent of the Company. The Purchasing Agent...
Acting as Principal. Each Borrower will receive such Advances as principal (or, if agreed in writing in advance of any Advance by the other party hereto, as agent for a disclosed principal).
Acting as Principal. Save for the Parent when acting in its capacity as Obligors’ Agent, each Obligor is acting as principal for its own account and not as agent or trustee in any capacity on behalf of any person in relation to the Finance Documents.
Acting as Principal. Each Party hereto represents and warrants that it is entering into this Agreement as principal and not as agent of any person or entity.
Acting as Principal. Save for the Company when acting in its capacity as Obligors’ Agent, each Obligor is acting as principal for its own account and not as agent or trustee in any capacity on behalf of any person in relation to the Finance Documents.
