Anti-Money Laundering Representations. (i) Purchaser does not know or have any reason to suspect that (A) the monies used to fund Purchaser’s investment in the Securities have been or will be derived from or related to any illegal activities, including but not limited to, money laundering activities, or (B) the proceeds from Purchaser’s investment in the Securities will be used to finance any illegal or illegitimate activities. Purchaser (1) has conducted thorough due diligence with respect to all of its beneficial owners, (2) has established the identities of all beneficial owners and the source of each of the beneficial owner’s funds and (3) will retain evidence of any such identities, any such source of funds and any such due diligence. Purchaser understands and agrees that, notwithstanding anything to the contrary contained in any document, if, following Purchaser’s subscription for the Securities, the Company reasonably believes that any aspect of a transaction with Purchaser (whether by virtue of Purchaser holding the Securities or otherwise) will be in contravention of United States federal, state, international or other laws or regulations, including anti-money laundering laws, the Company may be obligated to “freeze the account” of Purchaser, including prohibiting any distributions with respect to the Securities. In addition, in any such event, Purchaser may be forced to withdraw from the Company or may otherwise be subject to the remedies required by law, and, to the fullest extent permitted by applicable law, Purchaser shall have no claim against any person for any form of damages as a result of any of the actions described in this paragraph.
Anti-Money Laundering Representations. The Purchaser hereby acknowledges that the Company seeks to comply with all applicable laws concerning money laundering and related activities. In furtherance of those efforts, the Purchaser hereby represents, warrants and agrees that, to the best of the Purchaser’s knowledge based upon appropriate diligence and investigation:
Anti-Money Laundering Representations. (a) Purchaser does not know or have any reason to suspect that (i) the monies used to fund Purchaser’s purchase of the Purchased Shares have been or will be derived from or related to any illegal activities, including but not limited to, money laundering activities, or (ii) the proceeds from Purchaser’s investment in the Purchased Shares will be used to finance any illegal or illegitimate activities. Purchaser (A) has conducted thorough due diligence with respect to all of its beneficial owners, (B) has established the identities of all beneficial owners and the source of each of the beneficial owner’s funds and (C) will retain evidence of any such identities, any such source of funds and any such due diligence. Purchaser understands and agrees that, notwithstanding anything to the contrary contained in any document, if, following Purchaser’s purchase of the Purchased Shares, the Issuer reasonably believes that any aspect of a transaction with Purchaser (whether by virtue of Purchaser holding the Purchased Shares or otherwise) will be in contravention of United States federal, state, international or other laws or regulations, including anti-money laundering laws, the Issuer may be obligated to “freeze the account” of Purchaser, including prohibiting any distributions with respect to the Purchased Shares. In addition, in any such event, Purchaser may be forced to withdraw from the Issuer or may otherwise be subject to the remedies required by law, and, to the fullest extent permitted by applicable law, Purchaser shall have no claim against any person for any form of damages as a result of any of the actions described in this paragraph.
Anti-Money Laundering Representations. The Subscriber hereby acknowledges that the Partnership seeks to comply with all applicable laws concerning money laundering and related activities. In furtherance of those efforts, the Subscriber hereby represents, warrants and agrees that, to the Subscriber’s knowledge based only upon such due diligence as required by applicable U.S. federal anti-money laundering law:
Anti-Money Laundering Representations. (a) The Subscriber hereby acknowledges that the Company seeks to comply with all applicable laws and regulations concerning anti-money laundering and terrorist financing or other related activities. The Subscriber represents that the amounts it contributes to the Sub-Fund are not and will not be directly or indirectly derived from activities that may contravene federal, state or international laws and regulations, including anti-money laundering laws and regulations, and that acceptance by the Sub-Fund of such funds will not breach any such laws or regulations. Federal regulations and Executive Orders administered by the U.S. Treasury Department’s Office of Foreign Assets Control (“OFAC”) prohibit, among other things, the engagement in transactions with, and the provision of services to, certain foreign countries, territories, entities and individuals (the lists of OFAC prohibited countries, territories, persons and entities can be found at xxxx://xxx.xxxxxxxx.xxx/resource-center/sanctions/Pages/default.aspx). In addition, the programs administered by OFAC (the “OFAC Programs”) prohibit dealing with individuals or entities in certain countries regardless of whether such individuals or entities appear on the OFAC lists.
Anti-Money Laundering Representations. (i) The name of the wiring bank from which the Investor's payment to the Company is being wired (“Investor’s wiring bank”) is: (insert bank name) Check here if the Investor’s wiring bank is NOT located in the United States of America or another FATF Country.∗ Check here if the Investor is NOT a customer of the Investor’s wiring bank (as defined above). If the Investor answered either that the Investor’s wiring bank is NOT located in the United States of America or another FATF Country, or that it is NOT a client of the Investor’s wiring bank, it will be required to provide additional information to the Manager.
Anti-Money Laundering Representations. [CLIENT ACRONYM] represents warrants and agrees that [CLIENT ACRONYM] has, and agrees to maintain, an anti-money laundering ("AML") program that satisfies the requirements of Title III of the USA PATRIOT Act and applicable anti-money laundering regulations (Applicable Law"). [CLIENT ACRONYM] also agrees it will comply with Applicable Law with respect to the [SHARE NAME ACRONYM] Shares, including, but not limited to, the monitoring and reporting of suspicious transactions and the implementation of a customer identification program that complies with Applicable Law. [CLIENT ACRONYM] also agrees to supply R&T and the Funds, upon request, with evidence of the due diligence work that it has carried out for particular introduced customers and such other information and reports as R&T or the Funds may from time to time reasonable request. In addition, with respect to [SHARE NAME ACRONYM] Shares held in the name of [CLIENT ACRONYM] customers (i.e. fully disclosed accounts), [CLIENT ACRONYM] agrees to promptly inform R&T and the Fund if [CLIENT ACRONYM] cannot form a reasonable belief that it knows the true identity of the customer within a reasonable time after the account has been opened for such customer. [CLIENT ACRONYM] also agrees to permit inspection by U.S. federal departments or regulatory agencies with appropriate jurisdiction and to make available to examiners from such departments or regulatory agencies such information and records relating to [CLIENT ACRONYM]'s AML program as they may reasonably request. Please indicate your confirmation and acceptance of this Agreement by signing below and returning one copy of this agreement to Xxxxx & Tang Distributors, Inc., 000 Xxxxx Xxxxxx, Xxx Xxxx, XX 00000. Xxxxx & Xxxx Distributors, Inc. _________________________, 2004 by: ______________________________ Xxxxxxx Xx Xxxxxxx Executive Vice President & Chief Financial Officer _________________________, 2004 [CLIENT NAME] by:______________________________ Name:_____________________________ Title:____________________________ EXHIBIT A [LIST OF FUNDS] EXHIBIT B Services to be Performed Automated Transaction System
Anti-Money Laundering Representations. The Purchaser hereby acknowledges that it has been informed that the Company seeks to comply with all applicable laws concerning money laundering and related activities. In furtherance of those efforts, the Purchaser hereby represents, warrants and agrees that, to the best of the Purchaser’s knowledge: (1) None of the cash or property that the Purchaser has paid, will pay or will contribute to the Company has been or shall be derived from, or related to, any activity that is deemed criminal under United States federal laws; and (2) No contribution or payment by the Purchaser to the Company, to the extent that they are within the Purchaser’s control, shall cause the Company to be in violation of the United States Bank Secrecy Act, the United States Money Laundering Control Act of 1986 or the United States International Money Laundering Abatement and Anti-Terrorist Financing Act of 2001. The Purchaser shall promptly notify the Company if it has knowledge that any of these representations cease to be true and accurate regarding the Purchaser. The Purchaser agrees to provide to the Company any additional information regarding the Purchaser that the Company reasonably deems necessary to ensure compliance with all applicable laws concerning money laundering and similar activities. The Purchaser understands and agrees that if at any time it is discovered that any of the foregoing representations in this Section 2.10 are incorrect, or if otherwise required by applicable law or regulation related to money laundering and similar activities, the Company may undertake appropriate actions to ensure compliance with applicable law or regulation, including, but not limited to segregation and/or redemption of the Purchaser’s investment in the Company for the purchase price paid by such Purchaser. The Purchaser further understands that the Company may release confidential information about the Purchaser and, if applicable, any underlying beneficial owners, to proper authorities if the Company, in its sole discretion and upon advice of counsel, reasonably determines that the Company is required to do so in light of relevant rules and regulations under money-laundering and related laws, provided, however, that the Company shall (i) provide any such Purchaser prior written notice of its disclosure of such Purchaser’s confidential information so that such Purchaser may seek an appropriate protective order, (ii) use its best efforts to obtain an order or other relevant assurance...
Anti-Money Laundering Representations. The Distributor represents, warrants and agrees that (a) the Distributor has, and agrees to maintain, an anti-money laundering ("AML") program that satisfies the requirements of Title III of the USA PATRIOT Act and applicable anti-money laundering regulations ("Applicable Law"); (b) the Distributor will comply with Applicable Law with respect to Fund Shares held by financial intermediaries on behalf of their customers, including, but not limited to, the monitoring and reporting of suspicious transactions and the implementation of a customer identification program that complies with Applicable Law. The Distributor may delegate its AML responsibilities hereunder, including customer identification and monitoring of suspicious transactions with respect to the underlying customers, in whole or part to the financial intermediaries, in accordance with Applicable Law. The Distributor further agrees that it will be responsible for performing screening of any financial intermediaries with which it enters into a selling or other agreement hereunder in accordance with the Fund's AML Policy; provided, however, that the Distributor will not be required to screen financial intermediaries that have already entered into selling or servicing agreements with the principal underwriter of the Fund prior to the effective date of this Agreement. In addition, the Distributor agrees to assist the Fund in complying with the Fund's Compliance Policies and Procedures adopted pursuant to Rule 38a-1 of the 1940 Act and the Fund's AML Policies with respect to the oversight of financial intermediaries that are responsible for performing AML responsibilities on behalf of the Fund, including sending out periodic certifications or such other actions that the Fund may reasonably request. The Distributor also agrees to permit inspection by U.S. federal departments or regulatory agencies with appropriate jurisdiction and to make available to examiners from such departments or regulatory agencies such information and records relating to Distributor's AML program as they may reasonably request.
Anti-Money Laundering Representations. Before making the following representations and warranties, the Purchaser should check the website of the U.S. Treasury Department’s Office of Foreign Assets Control (“OFAC”) at <hxxx://xxx.xxxxx.xxx/xxxxxxx/enforcement/ofac/>.
