Anti-Money Laundering Obligations. To ensure compliance with applicable statutory requirements relating to anti-money laundering and anti-terrorism initiatives, we reserve the right to request such evidence as is necessary to verify the identity, address, and source of funds from the Subscriber. Depending on the circumstances of the Subscriber and our anti-money laundering policies and procedures or of any third-party administrator that may perform anti-money laundering (“AML”) and know-your-customer (“KYC”) compliance on behalf of us, if utilized by us, a more detailed verification might be required. Further, neither (i) the Subscriber, (ii) any person controlling or controlled by the Subscriber (if the Subscriber is a privately-held entity), (iii) any person having a beneficial interest in the Subscriber, nor (iv) any person for whom the Subscriber is acting as agent or nominee in connection with the purchase of Securities, is:
(i) a citizen or resident of a geographic area in which the purchase of Securities is prohibited by applicable law, decree, regulation, treaty, or administrative act;
(ii) a citizen or resident of, or located in, a geographic area that is subject to U.S. sanctions or embargoes;
(iii) an individual, or an individual employed by or associated with an entity, identified on the U.S. Department of Commerce’s Denied Persons or Entity List, the U.S. Department of Treasury’s Specially Designated Nationals or Blocked Persons Lists, or the U.S. Department of State’s Debarred Parties List, or an entity in which one or more Specially Designated Nationals own in the aggregate, directly or indirectly, a fifty percent (50%) or greater interest and you will not use the Securities to conduct or facilitate transactions with such persons described above;
(iv) purchasing securities from countries or regions comprehensively sanctioned by the US Office of Foreign Assets Control (“OFAC”) (including countries and regions currently sanctioned such as the Crimea region of Ukraine, Cuba, Iran, North Korea and Syria), or on behalf of governments of these countries or regions, nor will you use the Securities to conduct or facilitate any transactions with persons located in these countries or regions;
(v) from a country, territory, entity or individual named on an OFAC list, or a person prohibited under the programs administered by OFAC (“OFAC Programs”). Please be advised that we may not accept any payment amounts from a prospective Subscriber of Securities if such Subscriber cannot make the r...
Anti-Money Laundering Obligations. Broker hereby agrees and acknowledges that it is obligated to and hereby represents and warrants that it now does and will continue to comply with anti-money laundering laws and regulations, including any future obligations that may be imposed on Broker by laws or regulations, to know its customers, their source and use of funds, and to monitor for and identify suspicious activity.
Anti-Money Laundering Obligations. Pershing hereby agrees and acknowledges that it is obligated to comply with anti-money laundering laws and regulations, including any future obligations that may be imposed on Pershing, and that it is responsible to combat money laundering and terrorist financing. Pershing shall (1) make available to Broker such information as it may from time to time recognize as potentially useful through use of Pershing’s various interdiction monitoring tools to assist Broker in detecting possible money laundering and terrorist financing schemes, and (2) conduct various manual and systematic screenings to assist Broker in order to detect suspicious activity and OFAC and other government list violations. The actual systems and tools used for these purposes may vary from time to time, at Pershing’s discretion.
Anti-Money Laundering Obligations. 14.1 ICML has a duty under anti-money laundering legislation to report to the appropriate authorities if it knows, or has reasonable cause to suspect, that any Members, or anyone connected with the Scheme’s Members, are or have been involved in money laundering activities. Failure on ICML’s part to make a report where it has knowledge or reasonable grounds for suspicion would constitute a criminal offence.
14.2 ICML is obliged by law to report any instances or suspicions of money laundering to the appropriate authorities without the Member’s knowledge or consent. In fact, ICML may commit the criminal offence of tipping off under anti-money laundering legislation if it were to inform the Member or any person that a report had been made. Consequently, ICML may not enter any correspondence or discussions with the Member or any related person regarding such matters.
Anti-Money Laundering Obligations. 4.1. You will at all times during the term of this Agreement:
(a) provide Evouchers with any information we request for the purposes of verifying your identity and checks required in relation to the prevention of money laundering, terrorist financing, fraud, or any other financial crime and permit us to keep a record of such information. This includes completing any reasonable verification procedures and customer identity checks that we may require in relation to the provision of our Products to you; and
(b) authorise Evouchers (or any third party providers we use in connection with the provision of our services) to make any inquiries, whether directly or through third parties, that we consider necessary to verify your identity or to protect you and/or us against fraud or other financial crime, and to take any action we reasonably deem necessary based on the results of such inquiries.
4.2. You acknowledge that your access to our services and any Products you hold may be altered, on an ongoing basis, as a result of the information provided under clause A 4.1.
4.3. You acknowledge that in carrying out inquiries, your information may be disclosed to any authority, identity verification, credit reference and fraud prevention or financial crime agencies and that these agencies may respond to inquiries in full. This is an identity check only and should have no adverse effect on your credit rating.
Anti-Money Laundering Obligations. 12.1 Lending Crowd, the Trustee, and certain persons as Investors who hold or propose to hold Loan Notes in Loans to you as Borrower and as may be guaranteed by you as Guarantor (Affected Investors) may have initial or ongoing customer due diligence and other obligations under the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (NZ) (or equivalent legislation in other countries) and related regulatory directives or guidelines. The Borrower and any Guarantor agree promptly on request by Lending Crowd to provide it with any information and documents that are reasonably required to enable Lending Crowd, the Trustee, or any Affected Investor to comply with those obligations. The Borrower and any Guarantor authorise Lending Crowd and the Trustee to disclose any information or documents it holds about you (including any information or documents the Borrower and any Guarantor provide to Lending Crowd under this clause 12.1) to any Affected Investor for this purpose. No Investor is otherwise entitled to any information which would enable the Investor to identify the Borrower or any Guarantor.
Anti-Money Laundering Obligations. In accordance with our obligations under the Money Laundering, Terrorist Financing and Transfer of Funds (Information on Payer) Regulations 2017 and related legislation, you must provide us with sufficient information to enable us to satisfy ourselves as to your identity. You understand that we are obliged to report any knowledge or suspicion of money laundering.
Anti-Money Laundering Obligations. Introducing Firm hereby agrees and acknowledges that it is obligated to and hereby represents and warrants that it now does and will continue to comply with anti-money laundering laws and regulations, including any future obligations that may be imposed on Introducing Firm by laws or regulations, to know its customers, their source and use of funds, and to monitor for and identify suspicious activity.
Anti-Money Laundering Obligations. Clearing Agent hereby agrees and acknowledges that it is obligated to comply with anti-money laundering laws and regulations, including any future obligations that may be imposed on Clearing Agent, and that it is responsible to combat money laundering and terrorist financing.
Anti-Money Laundering Obligations. Clearing Firm hereby agrees and acknowledges that it is obligated to comply with anti-money laundering laws and regulations, including any future obligations that may be imposed on Clearing Firm, and that it is responsible to combat money laundering and terrorist financing.
