Broker Services. ODB will provide the following additional services, as required:
a. To the extent that there are Investors in any state in which the Issuer would be required to register as an “Issuer Dealer” prior to making any offers or sales in such state, ODB will act as accommodating broker of record with respect to sales of the Private Securities in those states; and
b. with respect to all Investors participating in the Offering, review investor information, including KYC (Know Your Customer) data, perform AML (Anti-Money Laundering) and other compliance background checks, and provide a recommendation to the Issuer, vis a vis KYC and AML standards, whether or not to accept an investor’s subscription for Private Securities. Notwithstanding the Services as provided under the Agreement, Issuer solely is responsible for maintaining all records of Private Securities and for maintaining accurate and complete records of the aggregate total units of Private Securities sold and redeemed by Issuer through the ODB Private Placements Platform. Pursuant to its obligations, Issuer shall:
1. based upon the Books and Records provided by ODB or an Affiliate of ODB, or contracted third-party vendor, from time to time, maintain an accurate and complete record on its official books and records of the number of units (which may be in aggregate if permitted by Law) of Private Securities held by Investors;
2. maintain an accurate and complete record on its official books and records of the number of units of Private Securities, if any, held by ODB for ODB’s own benefit, or if certificated, deliver to ODB an original, duly issued and outstanding unit certificate in the name of “ODB Capital Corporation.” in an amount equal to the number of units of Private Securities held by ODB;
3. provide ODB, pursuant to such methods as ODB may reasonably require, with the details of, and all monies associated with any dividend, interest, principal or other payment due to Investors and a detailed record of the recipients and amounts to be credited thereto and any tax reporting codes in a manner required by ODB from time to time in order for ODB to credit Investors with such payments on a timely basis and to produce relevant tax documentation therefrom (it is agreed that Issuer shall produce or cause to be produced by third parties on behalf of Issuer, at Issuer’s expense, any Schedule K-1’s or similar documents for delivery by ODB to Investors); and
Broker Services. DPMM will not perform the services of a trading broker, including, without limitation, executions of transactions, payment of brokerage commissions, confirmations of transactions to the Funds, transmittal of monthly brokerage account statements to the Funds, enforcement of any margin requirements, or the custody of funds or securities.
Broker Services the broker services provided by PleXHub to the Broker Customer under these Conditions and/or the Commercial Terms, as more particularly described in the Services Documentation.
Broker Services. Broker shall arrange for the interstate and intrastate transportation of Shipper’s property (“Merchandise”) as a broker and otherwise provide the services set forth in this Agreement (“Services”). To perform the Services, Broker may utilize the services of subcontract motor carriers (“Carrier”) or transport the Merchandise with its own equipment. Broker shall exercise due diligence in the performance of the Services and shall contract only with qualified Carriers. Broker and its Carriers shall, at their sole expense, procure and maintain all permits, registrations, certificates, bonds and licenses required to perform the Services.
Broker Services. Xxxx agrees that Xxxxxx may attempt to procure a back-up/contingent buyer to purchase the Property from Dent if the Sale does not proceed. Xxxxxx understands and agrees that this permission is not exclusive to Broker, and that Xxxxxx is engaging a competitive marketplace.
Broker Services. Order executions, depending on your location, are provided by Apex Clearing Corp. and DriveWealth LLC, both broker dealers registered with the SEC and members of FINRA and SIPC. You will be required by either Broker to enter into a standalone contractual agreement that will govern your interactions with them – We are not a party to any such agreement and have no control over its content. Banking Services. Checking account and debit card banking services are available via the Additional Services and are provided by FDIC insured Vast Bank N.A. (“Bank”). You will be required by the Bank to enter into a standalone contractual agreement that will govern your interactions with the Bank – We are not a party to any such agreement and have no control over its content. Digital Currency Trading. Crypto currency trading services are provided through Vast Bank N.A. which, in turn liaises with Coinbase (“Exchange”) to carry out Your trade orders. You will be required to open a crypto account and enter into a standalone contractual agreement that will govern your interactions with the Bank and the Exchange – We are not a party to any such agreement and have no control over its content.
Broker Services. The Broker is authorised to negotiate with the insurance companies on behalf of the Principal as mentioned in the insurance advisory and management agreement, to place its insurance and to manage same. The Broker undertakes to advise the Principal and to manage all its insurance included in the insurance advisory and management agreement. Its tasks will include risk analysis, the search for appropriate cover, portfolio management and the resulting adjustment proposals, claims management, regular analysis of the Principal’s situation and its relationship with insurance companies, as well as informing the Principal about any significant changes in the legal and regulatory framework covering the insurance activity. The Principal, meanwhile, undertakes to send the Broker all the necessary information and documents concerning the insurance portfolio entrusted and to inform it without delay of all facts that may modify the assessment of the risks to be insured. Failing this, the Broker cannot be held responsible for any gaps in cover. Portfolio analyses and advice from the Broker are deemed to have been received and accepted by the Principal, unless otherwise stated in writing. If necessary, the Broker is authorised to carry out the tasks defined in the insurance advisory and management agreement and its appendices outside Switzerland.
Broker Services. 26 Section 4.26 Disclosure...........................................................................26 ARTICLE V FURTHER REPRESENTATIONS AND WARRANTIES OF THE SHAREHOLDERS................................26 Section 5.1 Ownership of Capital Stock of AGI....................................................26 Section 5.2 Valid and Binding Agreement..........................................................27 Section 5.3 Marital Status.......................................................................27
Broker Services. AGI has at all times since its inception acted solely in the capacity of an insurance broker, and has not incurred any risks or liabilities associated with the underwriting of insurance policies issued in connection with such broker services.
Broker Services. The Subcontractor shall provide exclusive tenant brokerage services to NREL on all existing lease transactions and shall be responsible for providing support to NREL in analyzing, negotiating and closing on any future commercial lease transactions that may arise over the period of this engagement. This shall include the identification and qualification of potential buildings, lease market analysis, conducting due diligence on possible buildings, soliciting offers from landlords and assisting in the negotiation of real estate transactions. These transactions may occur in multiple states or areas which may require real estate licensing. Additionally, the subcontractor shall provide a comprehensive list of permitting requirements and limitations for each transaction and include that information with the qualification of the buildings. The Subcontractor shall submit any state mandatory real estate forms to NREL for review and acceptance, if required on any transaction.
