Anti-Money Laundering Compliance Programs. Dealer represents to the Company and the Dealer Manager that Dealer has established and implemented anti-money laundering compliance programs in accordance with applicable law, including applicable FINRA rules, SEC rules and the USA PATRIOT Act of 2001, reasonably designed to detect and cause the reporting of suspicious transactions in connection with the sale of Shares of the Company.
Appears in 24 contracts
Samples: Selected Dealer Agreement (Cim Income Nav, Inc.), Selected Dealer Agreement (Cim Income Nav, Inc.), Selected Dealer Agreement (Cim Income Nav, Inc.)
Anti-Money Laundering Compliance Programs. Dealer represents to the Company and the Dealer Manager that Dealer has established and implemented anti-money laundering compliance programs in accordance with applicable law, including applicable FINRA NASD rules, SEC rules and the USA PATRIOT Act of 2001, reasonably designed expected to detect and cause the reporting of suspicious transactions in connection with the sale of Shares of the Company.
Appears in 22 contracts
Samples: Dealer Manager Agreement (Cole Credit Property Trust Inc), Selected Investment Advisor Agreement (Behringer Harvard Reit I Inc), Selected Dealer Agreement (Cole Credit Property Trust II Inc)
Anti-Money Laundering Compliance Programs. Dealer represents to the Company and the Dealer Manager that Dealer has established and implemented anti-money laundering compliance programs in accordance with applicable law, including applicable FINRA rules, SEC rules and the USA PATRIOT Act of 2001, reasonably designed expected to detect and cause the reporting of suspicious transactions in connection with the sale of Shares of the Company.
Appears in 7 contracts
Samples: Dealer Manager Agreement (Cole Credit Property Trust III, Inc.), Dealer Manager Agreement (Cole Credit Property Trust III, Inc.), Dealer Manager Agreement (Cole Credit Property Trust III, Inc.)
Anti-Money Laundering Compliance Programs. The Dealer represents to the Company and the Dealer Manager Partnership that Dealer it has established and implemented anti-money laundering compliance programs in accordance with applicable law, including applicable FINRA NASD rules, SEC rules and the USA PATRIOT Act of 2001, reasonably designed expected to detect and cause the reporting of suspicious transactions in connection with the sale of Shares Units of the CompanyPartnership.
Appears in 6 contracts
Samples: Selected Dealer Agreement (United Development Funding III, LP), United Development Funding III, LP, United Development Funding III, LP
Anti-Money Laundering Compliance Programs. The Dealer represents to the Company and the Dealer Manager that the Dealer has established and implemented anti-money laundering compliance programs in accordance with applicable law, including applicable FINRA rules, SEC rules and the USA PATRIOT Act of 2001, reasonably designed to detect and cause the reporting of suspicious transactions in connection with the sale of Shares of the CompanyShares.
Appears in 5 contracts
Samples: Dealer Manager Agreement (Cole Office & Industrial REIT (CCIT II), Inc.), Dealer Manager Agreement (Cole Credit Property Trust V, Inc.), Dealer Manager Agreement (Cole Credit Property Trust V, Inc.)
Anti-Money Laundering Compliance Programs. Dealer represents to the Company Partnership and the Dealer Manager that Dealer has established and implemented anti-money laundering compliance programs in accordance with applicable law, including applicable FINRA NASD rules, SEC rules and the USA PATRIOT Act of 2001, reasonably designed expected to detect and cause the reporting of suspicious transactions in connection with the sale of Shares Units of the CompanyPartnership.
Appears in 4 contracts
Samples: Dealer Manager Distribution Agreement (Behringer Harvard Mid Term Value Enhancement Fund I Lp), Dealer Manager Distribution Agreement (Behringer Harvard Short Term Opportunity Fund I Lp), Dealer Manager Distribution Agreement (Behringer Harvard Short Term Opportunity Fund I Lp)
Anti-Money Laundering Compliance Programs. Dealer represents to the Company and the Dealer Manager that Dealer has established and implemented anti-money laundering compliance programs in accordance with applicable law, including applicable FINRA rules, SEC NASD rules and the USA PATRIOT Act of 2001, reasonably designed expected to detect and cause the reporting of suspicious transactions in connection with the sale of Shares of the Company.
Appears in 3 contracts
Samples: Behringer Harvard Real Estate Investment Trust I Inc, Behringer Harvard Reit I I Inc, Behringer Harvard Reit I Inc
Anti-Money Laundering Compliance Programs. Dealer represents to the Company Issuer and the Dealer Manager that Dealer has established and implemented anti-money laundering compliance programs in accordance with applicable law, including applicable FINRA NASD rules, SEC rules and the USA PATRIOT Act of 2001, reasonably designed expected to detect and cause the reporting of suspicious transactions in connection with the sale of Class A Common Shares of the CompanyIssuer.
Appears in 3 contracts
Samples: Selected Dealer Agreement (New School Properties, Inc.), Selected Dealer Agreement (New School Properties, Inc.), Selected Dealer Agreement (New School Properties, Inc.)
Anti-Money Laundering Compliance Programs. The Dealer represents to the Company and the Dealer Manager Trust that Dealer it has established and implemented anti-money laundering compliance programs in accordance with applicable law, including applicable FINRA rules, SEC rules and the USA PATRIOT Act of 2001, reasonably designed expected to detect and cause the reporting of suspicious transactions in connection with the sale of Shares of the CompanyTrust.
Appears in 2 contracts
Samples: Form of Selected Dealer Agreement (United Development Funding IV), Form of Selected Dealer Agreement (United Development Funding IV)
Anti-Money Laundering Compliance Programs. Dealer represents to the Company Partnership and the Dealer Manager that Dealer has established and implemented anti-money laundering compliance programs in accordance with applicable law, including applicable FINRA rules, SEC NASD rules and the USA PATRIOT Act of 2001, reasonably designed expected to detect and cause the reporting of suspicious transactions in connection with the sale of Shares Units of the CompanyPartnership.
Appears in 2 contracts
Samples: Dealer Manager Distribution Agreement (Behringer Harvard Short Term Opportunity Fund I Lp), Dealer Manager Distribution Agreement (Behringer Harvard Mid Term Value Enhancement Fund I Lp)
Anti-Money Laundering Compliance Programs. Dealer represents to the Company Issuer and the Dealer Manager that Dealer has established and implemented anti-money laundering compliance programs in accordance with applicable law, including applicable FINRA NASD rules, SEC rules and the USA PATRIOT Act of 2001, reasonably designed expected to detect and cause the reporting of suspicious transactions in connection with the sale of Common Shares of the CompanyIssuer.
Appears in 2 contracts
Samples: Selected Dealer Agreement (Medical Hospitality Group, Inc.), Selected Dealer Agreement (Medical Hospitality Group, Inc.)
Anti-Money Laundering Compliance Programs. Dealer represents to the Company Issuer and the Dealer Manager that Dealer has established and implemented anti-money laundering compliance programs in accordance with applicable law, including applicable NASD rules, FINRA rules, SEC rules and the USA PATRIOT Act of 2001, reasonably designed expected to detect and cause the reporting of suspicious transactions in connection with the sale of Common Shares of the CompanyIssuer.
Appears in 1 contract
Samples: Selected Dealer Agreement (Medical Hospitality Group, Inc.)
