Anti-Money Laundering and Anti-Terrorist Financing Legislation. In order to comply with Canadian legislation aimed at the prevention of money laundering and terrorism financing, the Manager may require addi- tional information concerning investors from time to time, and the Subscriber agrees to provide all such information.
Anti-Money Laundering and Anti-Terrorist Financing Legislation. In order to comply with Canadian legislation aimed at the prevention of money laundering and terrorism financing, the Manager may require additional information concerning investors from time to time, and the Subscriber agrees to provide all such information. The Subscriber represents to the Fund and the Manager that none of the funds being used to purchase the Units are, to the Subscriber’s knowledge, proceeds obtained or derived directly or indirectly as a result of illegal activities. The funds being used to purchase the Units which will be advanced by the Subscriber to the Fund or the Manager hereunder will not represent proceeds of crime for the purposes of the Proceeds of Crime (Money Laundering) and Terrorist Financing Act (Canada) (the “PCMLTFA”) and the Subscriber acknowledges that Fund and the Manager may in the future be required by law to disclose the Subscriber’s name and other information relating to this Subscription Agreement and the Subscriber’s subscription hereunder, on a confidential basis, pursuant to the PCMLTFA. To the best of its knowledge: (i) none of the funds to be provided by the Subscriber are being tendered on behalf of a person or entity who has not been identified to the Subscriber; and (ii) it shall promptly notify the Fund and the Manager if the Subscriber discovers that any of such representations cease to be true, and will provide the Fund and the Manager with appropriate information in connection therewith. In accordance with the PCMLTFA, a Subscriber purchasing units directly from the Manager (and not through a registered dealer to whom the following has been provided) who is an individual must pay by cheque or attach a void cheque from a financial entity for the account in the name of the individual. For these purposes, a financial entity means a bank, credit union, caisse populaire, a trust and loan company or an agent of the Crown that accepts deposit liabilities. For corporations, limited partnerships or similar entities, other than those entities specifically exempted by the applicable rules, the Subscriber must complete Schedule “C” to this Subscription Agreement and provide proof of the entity’s existence (e.g. certificate of corporate status, or partnership agreement or other constating document), a list showing the name and occupation of each director, a list showing the name, address and occupation of all individuals who own or control directly or indirectly 10% or more of the entity, evidence of signatory’s ...
Anti-Money Laundering and Anti-Terrorist Financing Legislation. In order to comply with the Proceeds of Crime (Money Laundering)
Anti-Money Laundering and Anti-Terrorist Financing Legislation. In order to comply with the Proceeds of Crime (Money Laundering) and Terrorist Financing Act (Canada) and applicable regulations (PCMLTFA), the Manager and/or the registered dealer who distributes Units of the applicable Fund, may require certain information and/or documentation as well as proof of identity, source of funds, intended use of the account, beneficial ownership information, if account is used by third party, and whether any control persons of an entity is an insider, as applicable, from the Subscriber from time to time and the Subscriber hereby agrees to provide all such information. The Subscriber acknowledges that if, as a result of any information or other matter which comes to the attention of the Manager, or if it has reason to believe that a Subscriber is engaged in money laundering, it is required to report such information or other matter to the Financial Transactions and Reports Analysis Centre of Canada (FINTRAC) and such report shall not be treated as a breach of any restriction upon the disclosure of information imposed by Canadian law or otherwise. The Subscriber represents that neither (i) he or she, (ii) any director, officer, beneficial owner, or signing authorities of it (unless the entity is exempted), (iii) a family member of such individual (i.e. their spouse or common-law partner, their child, their mother or father, the mother or father of their spouse or common-law partner, or a child of their mother or father such as a sibling), or (iv) a close associate for personal or business reasons, is a “Politically Exposed Foreign Person”, “Politically Exposed Domestic Person”, or “Head of an International Organization”, as defined under the PCMLTFA. The Subscriber agrees to immediately notify the Manager if the status of any such person or entity changes at any point in time.
Anti-Money Laundering and Anti-Terrorist Financing Legislation. In connection with Canadian legislation aimed at the prevention of money laundering and terrorism financing, the Subscriber has provided to his, her or its dealer all information and documentation required under applicable anti-money laundering and anti-terrorist financing legislation. The Subscriber acknowledges that the Manager may require a copy of some or all of such information and documentation, and/or additional information and documentation from time to time, in order for the Manager to discharge all of its obligations under such legislation. The Subscriber acknowledges that if, as a result of any information or other matter which comes to the Manager’s attention, any director, officer or employee of the Manager, or its professional advisers, knows or suspects that an investor is engaged in money laundering or terrorist financing activities, such person is required to report such information or other matter to the Financial Transactions and Reports Analysis Centre of Canada (FINTRAC) and such report shall not be treated as a breach of any restriction upon the disclosure of information imposed by Canadian law or otherwise.
Anti-Money Laundering and Anti-Terrorist Financing Legislation. In order to comply with legislation applicable to the Manager aimed at the prevention of money laundering and terrorism financing ("Anti-Money Laundering Laws"), the Manager may require additional information concerning investors from time to time, and the Subscriber agrees to provide all such information.
Anti-Money Laundering and Anti-Terrorist Financing Legislation. The Subscriber acknowledges that the Partnership, the General Partner, the Manager, iCapital International Fund, the Underlying Fund and/or the managers, general partners and certain affiliates of iCapital International Fund and the Underlying Fund (each, an “AML Reporting Entity”) are, or may be, subject to certain anti-money laundering laws, regulations and related pronouncements and are otherwise prohibited from engaging in transactions with, or providing services to, certain foreign countries, territories, entities and individuals, including without limitation, specially designated nationals, specially designated narcotics traffickers and other parties subject to U.S. or Canadian government sanctions and embargo programs. In furtherance of the foregoing, the Subscriber represents, warrants and agrees that: (i) none of the monies that the Subscriber will contribute to the Partnership shall be derived from, or related to, any activity that is deemed criminal or prohibited under the OFAC Sanctions (defined below) or under Canadian, U.S., Cayman Islands or other non-Canadian laws or regulations (and are from legitimate sources in connection with the Subscriber’s regular business activities and which do not constitute the proceeds of criminal conduct or criminal property within the meaning given in the Proceeds of Crime Law (2020 Revision) of the Cayman Islands) and no cash, property or item of value that the Subscriber receives from the Partnership will be used in any transaction or manner that is prohibited by any of the foregoing; and (ii) no direct or indirect capital commitment, contribution or payment to any AML Reporting Entity is or will be in violation of any applicable Canadian, U.S. federal or state or non-U.S. laws or regulations, including Canadian or U.S. anti-money laundering, economic sanctions, anti-bribery or anti-boycott laws or regulations, including but not limited to the Uniting and Strengthening America by Providing Appropriate Tools Required to Intercept and Obstruct Terrorism (USA PATRIOT ACT) Act of 2001, the various statutes, regulations and Executive Orders administered and enforced by the U.S. Department of the Treasury Office of Foreign Assets Control (“OFAC Sanctions”) and the Foreign Corrupt Practices Act, Proceeds of Criminal Conduct Law, the U.S. Bank Secrecy Act (the “BSA”) or any regulation issued thereunder, Title 18 of the United States Code, the U.S. Money Laundering Control Act of 1986, the U.S. International Money La...
Anti-Money Laundering and Anti-Terrorist Financing Legislation. In accordance with the Proceeds of Crime (Money Laundering) and Terrorist Financing Act (Canada), the Subscriber purchasing Units directly from the Manager (and not through a registered dealer to whom the following has been provided) must provide certain information and/or documentation as well as proof of identity and source of funds. For corporations, limited partnerships or similar entities, other than those entities specifically exempted by the applicable rules, please complete Schedule “D” and attach all necessary documentation. In order to assist the Manager in discharging its obligations, the Subscriber represents that neither he or she, or any director, officer and beneficial owner of it (unless the entity is specifically exempted), nor any of such persons’ mother or father, child, spouse or common-law partner, spouse’s or common-law partner’s mother or father, or brother, sister, half-brother or half-sister, is a politically exposed foreign person. A “politically exposed foreign person” is an individual who holds or has ever held one of the following offices or positions in or on behalf of a foreign country: • a head of state or government; • a member of the executive council of government or member of a legislature; • a deputy minister (or equivalent); • an ambassador or an ambassador’s attaché or counsellor; • a military general (or higher rank); • a president of a state owned company or bank; • a head of a government agency; • a judge; or • a leader or president of a political party in a legislature. The Subscriber will immediately notify the Manager if the status of any such person in this regard changes. The Subscriber acknowledges that if, as a result of any information or other matter which comes to the Manager’s attention, any director, officer or employee of the Manager, or its professional advisers, knows or suspects that an investor is engaged in money laundering, such person is required to report such information or other matter to the Financial Transactions and Reports Analysis Centre of Canada (FINTRAC) and such report shall not be treated as a breach of any restriction upon the disclosure of information imposed by Canadian law or otherwise.
Anti-Money Laundering and Anti-Terrorist Financing Legislation. In order to comply with Canadian legislation aimed at the prevention of money laundering and terrorism financing, the Manager may require additional information concerning investors from time to time, and the Subscriber agrees to provide all such information. In order to assist the Manager in discharging its obligations, the Subscriber represents that neither he or she, or any director, officer and beneficial owner of it (unless the entity is specifically exempted), nor any of such person’s mother or father, child, spouse or common-law partner, spouse’s or common-law partner’s mother or father, or brother, sister, half-brother or half-sister, is a politically exposed foreign
Anti-Money Laundering and Anti-Terrorist Financing Legislation. In accordance with the Proceeds of Crime (Money Laundering) and Terrorist Financing Act (Canada), the Subscriber must provide certain information and/or documentation as well as proof of identity and source of funds to WML. Corporations, trusts, limited partnerships or similar entities, other than those entities specifically exempted by the applicable rules, must complete Appendix 3 and attach all necessary documentation. Individual Subscribers, and each signatory of a Subscriber that is not an individual and that is not exempted from completing Appendix 3, must complete Appendix 4. If there are individuals or entities (other than the named Subscriber) for whom the Class “A” Shares are being acquired or who will have access to the Subscriber’s account indicated on page S-5, then complete the information in Appendix 6. Individual Subscribers must complete Appendix 5 regarding the Subscriber’s status as a politically exposed person or head of an international organization (or family member or close associate of such a person). The Subscriber will immediately notify WML if the status of any such person in this regard changes. The Subscriber acknowledges that if, as a result of any information or other matter which comes to WML’s attention, any director, officer or employee of WML, or its professional advisers, knows or suspects that an investor is engaged in money laundering, such person is required to report such information or other matter to the Financial Transactions and Reports Analysis Centre of Canada and such report shall not be treated as a breach of any restriction upon the disclosure of information imposed by Canadian law or otherwise. Independent Dispute Resolution Service Disclosure regarding the complaints process and independent dispute resolution service available to the Subscriber if the Subscriber is either an individual or is not a permitted client within the meaning of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, is attached as Appendix 8.
