Anti-Money Laundering Provision. You represent and warrant to the Managing General Partner and the Dealer-Manager that you have in place and will maintain suitable and adequate “know your customer” policies and procedures and that you shall comply with all applicable laws and regulations regarding anti-money laundering activity and will provide such documentation to the Managing General Partner and the Dealer-Manager on written request.
Anti-Money Laundering Provision. You and each Selling Agent each represent and warrant to the Managing General Partner that each of you have in place and will maintain suitable and adequate “know your customer” policies and procedures and that each of you shall comply with all applicable laws and regulations regarding anti-money laundering activity and will provide such documentation to the Managing General Partner on written request.
Anti-Money Laundering Provision. 14.1. The Dealer Manager represents to the Company that:
(a) it has established and implemented an anti-money laundering compliance program (“AML Program”) in accordance with applicable law, including applicable FINRA Rules, Securities Exchange Act of 1934 Rules and Regulations and the Uniting and Strengthening America by Providing Appropriate Tools Required to Intercept and Obstruct Terrorism Act of 2001, as amended (the “USA PATRIOT Act”), specifically including, but not limited to, Section 352 of the International Money Laundering Abatement and Anti-Terrorist Financing Act of 2001 (the “Money Laundering Abatement Act”), and together with the USA PATRIOT Act, the “AML Rules,” reasonably expected to detect and cause the reporting of suspicious transactions in connection with the offering and sale of the Shares. The Dealer Manager further represents that it is currently in compliance with all AML Rules, specifically including, but not limited to, the Customer Identification Program requirements under Section 326 of the Money Laundering Abatement Act, and it hereby covenants to remain in compliance with those requirements and shall, on request by the Company, provide a certification that, as of the date of the certification;
(b) the Dealer Manager’s AML Program is consistent with the AML Rules; and
(c) the Dealer Manager is currently in compliance with all AML Rules, specifically including, but not limited to, the Customer Identification Program requirements under Section 326 of the Money Laundering Abatement Act.
14.2. Further, in accordance with the USA PATRIOT Act, the Dealer Manager agrees that the Shares may not be offered, sold, transferred or delivered, directly or indirectly, to anyone who is:
(a) a “designated national,” “specially designated national,” “specially designated terrorist,” “specially designated global terrorist,” “foreign terrorist organization,” or “blocked person” within the definitions set forth in the Foreign Assets Control Regulations of the U.S. Treasury Department;
(b) acting on behalf of, or an entity owned or controlled by, any government against whom the U.S. maintains economic sanctions or embargoes under the Regulations of the U.S. Treasury Department;
(c) within the scope of Executive Order 13224 — Blocking Property and Prohibiting Transactions with Persons who Commit, Threaten to Commit, or Support Terrorism, effective September 24, 2001;
(d) subject to additional restrictions imposed by the following statutes or regulat...
Anti-Money Laundering Provision. You represent and warrant to the Company, and in your agreements with Dealers will require that the Dealers represent and warrant to the Company, that each of you have in place and will maintain suitable and adequate “know your customer” policies and procedures and that each of you shall comply with all applicable laws and regulations regarding anti-money laundering activity and shall provide such documentation to the Company on written request.
Anti-Money Laundering Provision. You represent and warrant to the Fund that you have in place and will maintain suitable and adequate "know your customer" policies and procedures and that you shall comply with all applicable laws and regulations regarding anti-money laundering activity and shall provide such documentation to the Fund on written request.
Anti-Money Laundering Provision. You and the Selling Dealers represent and warrant to the General Partner that each of you has in place and will maintain suitable and adequate "know your customer" policies and procedures and that each of you will comply with all applicable laws and regulations regarding anti-money laundering activity and will provide documentation of the foregoing to the General Partner on written request.
Anti-Money Laundering Provision. You and each Selling Agent each represent and warrant to the Managing General Partner that each of you have in place and will maintain suitable and adequate "know your customer" policies and procedures and that each of you shall comply with all applicable laws and regulations regarding anti-money laundering activity and will provide such documentation to the Managing General Partner on written request. Very truly yours, MANAGING GENERAL PARTNER ATLAS RESOURCES, INC., a Pennsylvania corporation __________________________, 2003 By: _________________________________ Date Jack L. Hollander, Senior Vice Xxxxxxxxx - Direct Participation Programs PROGRAM ATLAS AMERICA PUBLIC #12-2003 PROGRAM By: Atlas Resources, Inc., Managing General Partner __________________________, 2003 By: _________________________________ Date Jack L. Hollander, Senior Vice Xxxxxxxxx - Direct Participation Programs DEALER-MANAGER ANTHEM SECURITIES, INC., a Pennsylvania corporation __________________________, 2003 By: _________________________________ Date Justin Atkinson, Vice President Anthem Securitiex, Xxx. Dealer-Manager Agreement EXHIBIT "A-1" ATLAS AMERICA PUBLIC #12-2003 LIMITED PARTNERSHIP ESCROW AGREEMENT THIS AGREEMENT is made to be effective as of ________________, by and among Atlas Resources, Inc., a Pennsylvania corporation (the "Managing General Partner"), Anthem Securities, Inc., a Pennsylvania corporation ("Anthem"), Bryan Funding, Inc., a Pennsylvania corporation ("Bryan Funding"), coxxxxxively Anthem and Bryan Funding are referred tx xx the "Dealer-Manager," Atlas America Xxxxxc #12-2003 Limited Partnership, a Delaware limited partnership to be formed (the "Partnership") and National City Bank of Pennsylvania, Pittsburgh, Pennsylvania, as escrow agent (the "Escrow Agent").
Anti-Money Laundering Provision. The parties hereto will comply with all applicable laws and regulations aimed at preventing, detecting and reporting money laundering and suspicious transactions, including, without limitation, applicable provisions of the Bank Secrecy Act and the USA PATRIOT Act of 2001, as well as regulations administered by the U.S. Department of the Treasury’s Office of Foreign Asset Control. In addition, you agree to take all necessary and appropriate steps, consistent with applicable laws and regulations, to obtain, verify, and retain information with regard to investor and/or account owner identification and source of funds for your customers.
Anti-Money Laundering Provision. Each of the parties to this Agreement will establish and maintain programs, policies and procedures as required by federal, state or local law to detect and prevent money laundering. Each party shall cooperate with the others to the extent required by law to facilitate implementation of each other’s anti-money laundering (AML) program, which may include annual AML compliance certifications, periodic AML due diligence reviews and/or other requests deemed necessary to ensure compliance with the AML regulations.
Anti-Money Laundering Provision. Each of the Parties to this Agreement states that, according to the relevant anti-money laundering regulations:
(a) the source of the money to be invested pursuant to this Agreement is (so far as the relevant party is aware, having undertaken all due and careful enquiry) legal and does not result from any activity contrary to the applicable legislation;
(a) this Agreement does not constitute a dissimulation or direct or indirect transformation of the product of a crime or offence;
(b) more generally, its operations and those of its subsidiaries are carried out in accordance with the requirements governing financial record keeping and monitoring and with money laundering prevention regulations applicable in France and in all jurisdictions in which such Party and its subsidiaries have an activity, with the associated rules and regulations, and with all of the resulting rules, regulations or recommendations, issued, managed or imposed by any governmental authority (collectively, the “Anti-Money Laundering Laws”) and such Party and its subsidiaries are not parties to any court action, suit or proceedings open and continuing before any court or entity, government authority or agency or before any arbitrator concerning Anti-Money Laundering Laws and, to their knowledge, no such court action or proceedings are threatened.
