Anti-Money Laundering and Customer Identification Program. In connection with (1) the regulations promulgated by the U.S. Department of the Treasury and/or SEC implementing certain sections of Title III of the USA PATRIOT Act of 2001, as may be amended from time to time, and (2) the various rules and regulations promulgated by the Office of Foreign Assets Control of the U.S. Department of the Treasury, as such regulations are applicable to the Funds (collectively, the “AML Regulations”), DST has implemented and shall provide on behalf of the Funds certain anti-money laundering functions as set forth in the Compliance + Program. The Funds hereby are contractually delegating to DST, and DST hereby accepts such contractual delegation, to implement the AML portions of the Compliance + Program on behalf of the Funds in accordance with the terms of this Agreement.
Anti-Money Laundering and Customer Identification Program. The Transfer Agent represents, warrants and covenants to the Trust that:
Anti-Money Laundering and Customer Identification Program. A. Each Fund represent and warrant to each other Fund that it has established, and covenants that during the term of the Agreement it will maintain, a written anti-money laundering and customer identification program ("Program") in compliance with the series of rules and regulations arising out of the USA PATRIOT Act (together with such rules and regulations, the "Applicable Law") adopted by the Securities and Exchange Commission and the United States Treasury Department ("Treasury Department") "), specifically requiring certain financial institutions including the Funds, to establish a Program.
Anti-Money Laundering and Customer Identification Program. To help the government fight the funding of terrorism and money laundering activities, Federal law requires all financial institutions to obtain, verify, and record information that identifies each person who opens an account. • Name, Address, Date of birth • Identification number: o U.S. citizen: social security number or employer identification number. o Non-U.S. citizen: taxpayer identification number; passport number and country of issuances; alien identification card number; or government-issued identification disclosing nationality, residence and a photograph of you. Integrated Investment Research reserves the right to collect other information and identifying documents to aid in verifying your identity, such as, but not limited to, a valid, non-expired form of government issued photo identification (i.e. driver’s license or passport). For verification purposes, Integrated Investment Research may also utilize a third-party information provider and/or service. A corporation, partnership, trust or other legal entity opening an account will need to provide a valid taxpayer identification number (“TIN”), and may need to provide other and/or additional information such as, but not limited to, its principal place of business, local office, government-issued business license, certified articles of incorporation, a partnership agreement, or a trust agreement. Due to the nature of the account type, Integrated Investment Research will not open private banking accounts at this time. The rules set forth by the U.S. Department of Treasury, SEC, Commodities Futures Trading Commission (“CFTC”), FINRA, and the National Futures Association (“NFA”) may also require Integrated Investment Research to collect additional information such as your net worth, annual income, occupation, employment information, investment experience, investment objectives, and risk tolerance. Integrated Investment Research reserves the right to not open an account or carry out transactions for you if your identity cannot be verified. If you have an existing Account, Integrated Investment Research reserves the right to close the Account at any point in time if your identity cannot be verified as part of Integrated Investment Research’ ongoing effort to prevent fraud.
Anti-Money Laundering and Customer Identification Program. To help the government fight the funding of terrorism and money laundering activities, Federal Law requires dough to obtain, verify, and record information that identified each person who opens an account, such as your name, address, date of birth, and identification number. Dough reserves the right to collect other information and identifying documents to aid in verifying your identity, such as, but not limited to, a valid, non- expired form of government-issued photo identification (i.e. driver’s license or passport). You agree to promptly provide any documents or certifications requested by dough that the Firm believes are necessary or advisable to obtain for anti-money laundering compliance purposes, and that the information you provide is complete and accurate. Furthermore, you authorize dough to make inquiries to consumer or credit reporting agencies, to contact financial institutions, banks, and/or other third party sources, as the Firm shall deem appropriate, to verify your identity and the information you provided to dough. The rules set forth by the U.S. Department of Treasury, SEC, Commodities Futures Trading Commission (“CFTC”), FINRA, and the National Futures Association (“NFA”) may also require dough to collect additional information such as your net worth, annual income, occupation, employment information, investment experience, investment objectives, and risk tolerance. dough reserves the right to not open an Account or carry out transactions for you if your identity cannot be verified. If you have an existing Account, dough reserves the right to close the Account at any point in time if your identity cannot be verified as part of dough’ ongoing effort to prevent fraud.
Anti-Money Laundering and Customer Identification Program. Client hereby represents that undersigned maintains an appropriate Anti-Money Laundering program (“AML”) designed to reasonably detect and deter money laundering activity in accordance with applicable rules and regulation to which undersigned is subject and to the extent that undersigned is required to do so. Undersigned also represents that undersigned maintains a customer identification program (“CIP”) in accordance with applicable rules and regulations to which undersigned is subject and to the extent that undersigned is required to do so. The parties agree that undersigned shall be entirely responsible for operating and maintaining adequate AML and CIP procedures and Broker shall have no duty to perform a AML or CIP procedures on behalf of Client except to the extent that Broker is required to do so by virtue of carrying undersigned’s omnibus account. 15.
