Common use of Anti-Money Laundering and Customer Identification Clause in Contracts

Anti-Money Laundering and Customer Identification. The parties acknowledge that the SEC and the United States Treasury Department have adopted a series of rules and regulations arising out of the USA PATRIOT Act (together with such rules and regulations, the “AML-CIP Regulations”), specifically requiring certain financial institutions, including Unified Financial and Dealer, to establish a written anti-money laundering and customer identification program (an “AML-CIP Program”); (i) Unified Financial and Dealer each represent, warrant and certify that they have established, and covenant that at all times during the existence of this Agreement they will maintain, an AML-CIP Program in compliance with the AML-CIP Regulations. (ii) Dealer covenants that it will perform all activities, including the establishment and verification of customer identities as required by the AML-CIP Regulations and/or its Program, with respect to all customers on whose behalf Dealer maintains a direct account with the Funds. (iii) Unified Financial and Dealer agree that (A) accounts in the Funds held in the name of, or beneficially owned by, Dealer’s customers shall be accounts of the Dealer for all purposes under Dealer’s Program and that (B) Dealer’s customers will be customers of Dealer for all purposes under Dealer’s AML-CIP Program.

Anti-Money Laundering and Customer Identification. The parties acknowledge that the SEC and the United States Treasury Department have adopted a series of rules and regulations arising out of the USA PATRIOT Act (together with such rules and regulations, the “AML-CIP Regulations”), specifically requiring certain financial institutions, including Unified Financial FSC and Dealer, to establish a written anti-money laundering and customer identification program (an “AML-CIP Program”); (i) Unified Financial FSC and Dealer each represent, warrant and certify that they have established, and covenant that at all times during the existence of this Agreement they will maintain, an AML-CIP Program in compliance with the AML-CIP Regulations. (ii) Dealer covenants that it will perform all activities, including the establishment and verification of customer identities as required by the AML-CIP Regulations and/or its Program, with respect to all customers on whose behalf Dealer maintains a direct account with the Funds., (iii) Unified Financial FSC and Dealer agree that (A) accounts in the Funds held in the name of, or beneficially owned by, Dealer’s customers shall be accounts of the Dealer for all purposes under Dealer’s Program and that (B) Dealer’s customers will be customers of Dealer for all purposes under Dealer’s AML-CIP Program.

Anti-Money Laundering and Customer Identification. The parties acknowledge that the SEC and the United States Treasury Department have adopted a series of rules and regulations arising out of the USA PATRIOT Act (together with such rules and regulations, the “"AML-CIP Regulations”"), specifically requiring certain financial institutions, including Unified Financial FSC and Dealer, to establish a written anti-money laundering and customer identification program (an “"AML-CIP Program”"); (i) Unified Financial FSC and Dealer each represent, warrant and certify that they have established, and covenant that at all times during the existence of this Agreement they will maintain, an AML-CIP C11 Program in compliance with the AML-CIP Regulations. (ii) Dealer covenants that it will perform all activities, including the establishment and verification of customer identities as required by the AML-CIP Regulations and/or its Program, with respect to all customers on whose behalf Dealer maintains a direct account with the Funds. (iii) Unified Financial FSC and Dealer agree that (A) accounts in the Funds held in the name of, or beneficially owned by, Dealer’s 's customers shall be accounts of the Dealer for all purposes under Dealer’s 's Program and that (B) Dealer’s 's customers will be customers of Dealer for all purposes under Dealer’s 's AML-CIP Program.

Anti-Money Laundering and Customer Identification. The parties acknowledge that the SEC and the United States Treasury Department have adopted a series of rules and regulations arising out of the USA PATRIOT Act (together with such rules and regulations, the “AML-CIP Regulations”), specifically requiring certain financial institutions, including Unified Financial FSC and Dealer, to establish a written anti-money laundering and customer identification program (an “AML-CIP Program”); (i) Unified Financial FSC and Dealer each represent, warrant and certify that they have established, and covenant that at all times during the existence of this Agreement they will maintain, an AML-CIP Program in compliance with the AML-CIP Regulations. (ii) Dealer covenants that it will perform all activities, including the establishment and verification of customer identities as required by the AML-CIP Regulations and/or its Program, with respect to all customers on whose behalf Dealer maintains a direct account with the Funds. (iii) Unified Financial FSC and Dealer agree that (A) accounts in the Funds held in the name of, or beneficially owned by, Dealer’s customers shall be accounts of the Dealer for all purposes under Dealer’s Program and that (B) Dealer’s customers will be customers of Dealer for all purposes under Dealer’s AML-CIP Program.