Authorized Selling. Firm represents and warrants to RiverSource that:
Authorized Selling. Firm represents and warrants that it has: o Established AML polices and procedures, including but not limited to investigating, identifying, and reporting suspicious activity; o Designated a compliance officer with oversight responsibility for the AML program; o Implemented an ongoing AML training program, including appropriate updates, for Authorized Selling Firm's employees, Producers, and Agents with respect to insurance and annuity Products offered by the Company; and o Implemented periodic independent testing of its AML program in compliance with applicable regulations.
Authorized Selling. Firm agrees that if it detects suspicious activity with respect to its sale or servicing of an insurance or annuity Product offered by Company it will provide such information to Company in accordance with 31 CFR 103.16(b)(3) by sending the appropriate documentation to: Attn.: Director of Anti-Money Laundering, 0000 Xxxxxxxxxx Xxxxxxxxx Xxxxxx, Xxxxxxxxxxx, XX 00000.
Authorized Selling. Firm represents and warrants that Clearing Broker is the designated receiver of premium payments on variable annuity products sold by Selling Agency.
Authorized Selling. Firm warrants and represents that it has implemented AML programs reasonably calculated to comply with the USA PATRIOT Act, Bank Secrecy Act, NASD Rule 3011, and the rules and regulations promulgated concerning AML.
Authorized Selling. Firm represents and warrants that Broker-Dealer has executed an agreement with the Clearing Broker for the clearing of premiums which satisfies all requirements of the National Association for Securities Dealers, Inc.
Authorized Selling. Firm represents and warrants that it will ensure that activities of the Clearing Broker in connection with the Products will be limited to those specified in this Amendment, and that all such activities will be performed in accordance with applicable state and federal laws and regulations. Selling Agency and/or Broker-Dealer must obtain Company's prior written agreement if the activities of Clearing Broker are modified in any way.
Authorized Selling. Commencing, December 2, 2004 (the "Effective Date") and continuing for a period of twelve months calendar months after the Effective Date (the "Effective Date"), Broker is authorized and directed, from time to time during the Effective Period, to sell up to a maximum of 25,000 shares of Stock, at Broker's discretion, on the American Stock Exchange ("AMEX") at a price per share at or above $0.15 below market price or $7.60, whichever is higher, such prices being before deducting any commission, commission equivalent, xxxx-up or differential, or other expenses of sale.
Authorized Selling. Firm will comply with all Company Rules and with all applicable federal and state laws and regulations, and cause its Producers to do the same. Authorized Selling Firm will be provided with the Company Rules which may be changed by Company at its sole discretion, and Authorized Selling Firm shall have twenty days following being provided with changes to the Company Rules to comply with changes to the Company Rules;
Authorized Selling. Firm will safeguard, maintain and account for all policies, forms, manuals, equipment, supplies, advertising and sales literature furnished to Authorized Selling Firm and Producers by RiverSource, and will destroy or return the same to RiverSource promptly upon request;
