Capacity and Status. If an individual, the Customer is of legal age under the laws of the state where the Customer resides and authorized to enter into this Customer Agreement. If an entity, the Customer is duly formed, validly existing and in good standing in its state of organization, has full power and authority to enter and perform this Customer Agreement, and the persons signing the account application are fully authorized to act on the Customer’s behalf. No person, except the Customer (or any person named in a separate agreement or joint account), has any interest in the Account opened pursuant to this Customer Agreement. The Customer acknowledges that unless the Broker receives written objection from the Customer, the Broker may provide the Customer’s name, address, and securities positions to requesting companies in which the Customer holds securities. Except as otherwise disclosed to the Broker in writing, neither the Customer nor any member of the Customer’s immediate family is an employee of any exchange, any corporation of which any exchange owns a majority of the capital stock, a member of any exchange or self-regulatory organization, a member of any firm or member corporation registered on any exchange, a bank, trust company, insurance company or any corporation, firm or individual engaged in the business of dealing either as a broker-dealer or as principal in securities. The Customer understands and agrees to the Customer’s obligation to promptly notify the Broker in writing if the Customer or the Customer’s immediate family becomes registered or employed in any of the above-described capacities. Except as otherwise disclosed to the Broker in writing, the Customer is not a Professional (as defined below) and further agrees to promptly notify the Broker in writing if the Customer is now or if in the future becomes a Professional or an officer, director or 10% stockholder of any publicly traded company.
Capacity and Status. If an individual, I am of legal age under the laws of the state where I reside and authorized to enter into this Agreement. If an entity, I am duly formed, validly existing and in good standing in My state of organization, have full power and authority to enter and perform this Agreement, and the persons signing the account application are fully authorized to act on My behalf. No person, except Myself, has any interest in the Account opened pursuant to this Agreement. I acknowledge that unless Robinhood receives written objection from Me, Robinhood may provide My name, address, and securities positions to requesting companies in which I hold securities. Except as otherwise disclosed to Robinhood in writing, neither I nor any member of My immediate family is an employee of any exchange, any corporation of which any exchange owns a majority of the capital stock, a member of any exchange or self-regulatory organization, a member of any firm or member corporation registered on any exchange, a bank, trust company, insurance company or any corporation, firm or individual engaged in the business of dealing either as a broker-dealer or as principal in securities. I understand and agree that I am obligated to promptly notify Robinhood in writing if I or a member of My immediate family becomes registered or employed in any of the above-described capacities. Except as otherwise disclosed to Robinhood in writing, I am not a Professional (as defined below). I further agree to promptly notify Robinhood in writing if I am now or if I become a Professional or an officer, director or 10% stockholder of any publicly traded company.
Capacity and Status a) If an individual, I am of legal age under the laws of the jurisdiction where I reside and authorized to enter into this Agreement. If an entity, I am duly formed, validly existing and in good standing in My jurisdiction of organization, have full power and authority to enter and perform this Agreement, and the persons signing the Agreement are fully authorized to act on My behalf. No person, except Myself (or any person named in a separate agreement or joint account), has any interest in the Account opened pursuant to this Agreement. I acknowledge that unless You receive a written objection from Me, You may provide My name, address, and securities positions to requesting companies in which I hold securities. Except as otherwise disclosed to You in writing, neither I nor any member of My immediate family is an employee of any exchange, any corporation of which any exchange owns a majority of the capital stock, a member of any exchange or self-regulatory organization, a member of any firm or member corporation registered on any exchange, a bank, trust company, insurance company or any corporation, firm or individual engaged in the business of dealing either as a broker-dealer or as principal in securities. I understand and agree that I am obligated to promptly notify You in writing if I or a member of My immediate family becomes registered or employed in any of the above-described capacities. I further agree to promptly notify You in writing if I am now or if I become: (i) registered or qualified with the Financial Industry Regulatory Authority, Inc. (“FINRA”), the SEC, the Commodities Futures Trading Commission, any state securities agency, any securities exchange or association, or any commodities or futures contract market or association; (ii) an “investment adviser” as that term is defined in Section 201(11) of the Investment Advisers Act of 1940 (whether or not registered or qualified under that act); (iii) employed by a bank or other organization exempt from registration under federal and state securities laws to perform functions that would require Me to be so registered or qualified if I were to perform such functions for an organization not so exempt; or (iv) an officer, director or 10% stockholder of any publicly traded company.
b) Non-Domestic Customer Alpaca makes its services available to persons and businesses in countries where it is not otherwise prohibited. Alpaca does not solicit any non-domestic persons or businesses. If I am a non-dome...
Capacity and Status. Each party represents to each other party that each of the following statements is true and accurate as at the date of this agreement:
(a) it is validly existing under the laws of its place of incorporation;
(b) it has the power to enter into and perform its obligations under this agreement and to carry out the transactions contemplated by this agreement;
(c) it has taken all necessary action to authorise its entry into and performance of this agreement and to carry out the transactions contemplated by this agreement; and
(d) its obligations under this agreement are valid and binding and enforceable against it in accordance with their terms.
Capacity and Status. Each party warrants to each other party, and it is a condition of this document, that each of the following statements is true and accurate both as at the date of this document (or, if the party holds any Shares and joins this document under a Deed of Accession, as at the date of the relevant Deed of Accession) and each day during the term of this document: (a) if it is a corporate entity, it is validly existing under the laws of its place of incorporation; (b) it has full power to enter into and perform its obligations under this document and to carry out the transactions contemplated by this document; (c) it has taken all necessary action to authorise its entry into and performance of this document and to carry out the transactions contemplated by this document; and (d) its obligations under this document are valid and binding and enforceable against it in accordance with their terms.
Capacity and Status. If an individual, the Customer is of legal age under the laws of the state where the Customer resides and authorized to enter into this Customer Agreement. If an entity, the Customer is duly formed, validly existing and in good standing in its state of organization, has full power and authority to enter and perform this Customer Agreement, and the persons signing the account application are fully authorized to act on the Customer’s behalf. No person, except the Customer (or any person named in a separate agreement or joint account), has any interest in the Account opened pursuant to this Customer Agreement. Except as otherwise disclosed to the Broker in writing, neither the Customer nor any member of the Customer’s immediate family is an employee of any exchange, any corporation of which any exchange owns a majority of the capital stock, a member of any exchange or self-regulatory organization, a member of any firm or member corporation registered on any exchange, a bank, trust company, insurance company or any corporation, firm or individual engaged in the business of dealing either as a broker-dealer or as principal in securities. The Customer understands and agrees to the Customer’s obligation to promptly notify the Broker in writing if the Customer or the Customer’s immediate family becomes registered or employed in any of the above-described capacities. Except as otherwise disclosed to the Broker in writing, the Customer is not a Professional (as defined below) and further agrees to promptly notify the Broker in writing if the Customer is now or if in the future becomes a Professional or an officer, director or 10% stockholder of any publicly traded company.
Capacity and Status. 3.1 We will act as principal in relation to any services undertaken for you under this Agreement.
3.2 If you are acting as agent or trustee when dealing with us, you shall inform us in writing and if we agree to your acting as such:
(a) we will continue to treat you alone (rather than any such person) as our client for the purposes of the FCA Rules; and
(b) you acknowledge and accept that you and your Principal will be jointly and severally liable, each as if a Principal, to us in respect of all of your obligations and liabilities pursuant to this Agreement. Where you act for a disclosed Principal you will not be liable under this Agreement for your Principal's liabilities, save for where you owe us obligations as an agent, including in relation to those representations and warranties that you undertake on your own behalf.
3.3 Based on the information available to us and as required by the FCA Rules, we shall categorise you as either Retail Client, Professional Client or Eligible Counterparty as set out in Annex 1 to this Agreement and notify you of this in a client categorisation covering notice to this Agreement (the Client Categorisation Notice).
3.4 If you are authorised under the Financial Services and Markets Act 2000 and are acting on behalf of any other person when dealing with us, you agree that you will comply at all times with all relevant FCA Rules and you will be responsible for and will have undertaken all necessary identification and verification checks for the purposes of complying with statutory and FCA money laundering requirements in respect of each Principal for whom you act.
Capacity and Status.
2.1 Each member of the Group is duly incorporated and validly existing and in good standing under the laws of the place of its incorporation.
2.2 The Company is validly incorporated with limited liability in the Cayman Islands, in existence, duly registered and in good standing under the laws of the Cayman Islands, and the entry into and performance by the Company of this Agreement will not violate or conflict with any applicable laws or the provisions of its Memorandum and Articles or any agreement or instruments to which the Company is a party or by which the Company is bound.
2.3 This Agreement when duly executed by the Parties will constitute valid and legally binding obligations of the Company enforceable against the Company subject to and in accordance with the terms herein.
2.4 Other than the Conditions which have not all been fulfilled as at the date of this Agreement, the Company has obtained all corporate authorisations and all other applicable governmental, statutory, regulatory or other consents, licences, authorisations, waivers or exemptions required to empower it to enter into and perform its obligations under this Agreement.
2.5 Subject to fulfilment of the Conditions, the Company has full power, authority and capacity to allot and issue the Subscription Shares pursuant to this Agreement under the articles of association of the Company.
Capacity and Status. I represent that I am a natural person of legal age under the laws of the State where I reside and am authorized and have the capacity to enter into this Agreement. I also represent that no person other than Me has any interest in the Account. I agree that unless You receive objection from Me, You may provide My name, address, and securities positions to requesting companies in which I hold securities and any information concerning my Account and Me to third parties in order to provide services with respect to my Account. I represent that neither I nor any member of My immediate family is: A partner, officer, director or employee of a national securities exchange; A partner, officer, director, employee or associated person of a broker-dealer that is registered with the Securities and Exchange Commission (“SEC”) or a State securities regulatory authority or that is a member of the Financial Industry Regulatory Authority, Inc. (“FINRA”) or another securities selfregulatory organization; An officer, director or beneficial owner of more than ten percent of a class of a company’s equity securities that are registered under Section 12 of the Securities Exchange Act of 1934; A partner, officer, director, employee or associated person of an investment adviser that is registered with the SEC or a State securities regulatory authority; or A partner, officer, director or employee of, or otherwise associated with, any company that requires You to send it account statements or confirmations relating to my Account. I understand and agree that I am obligated to immediately notify You if I or a member of My immediate family comes within any of the above•described capacities.
Capacity and Status. If an individual, You are of legal age under the laws of the jurisdiction where You reside and authorized to enter into this Customer Agreement. If an entity, You are duly formed, validly existing and in good standing in Your jurisdiction of organization, have full power and authority to enter and perform this Customer Agreement, and the persons signing the Agreement are fully authorized to act on Your behalf. No person, except You (or any person named in a separate agreement or joint account), has any interest in the Account opened pursuant to this Customer Agreement. Except as otherwise disclosed to the Broker in writing, neither You nor any member of Your immediate family is an employee of any exchange, any corporation of which any exchange owns a majority of the capital stock, a member of any exchange or self-regulatory organization, a member of any firm or member corporation registered on any exchange, a bank, trust company, insurance company or any corporation, firm or individual engaged in the business of dealing either as a broker-dealer or as principal in securities. You understand and agree that You are obligated to promptly notify the Broker in writing if You or a member of Your immediate family becomes registered or employed in any of the above-described capacities. You further agree to promptly notify the Broker in writing if You are now or if You become: (i) registered or qualified with the Financial Industry Regulatory Authority, Inc. (“FINRA”), the Securities and Exchange Commission (“SEC”), the Commodities Futures Trading Commission (“CFTC”), any state securities agency, any securities exchange or association, or any commodities or futures contract market or association; (ii) an “investment adviser” as that term is defined in Section 201(11) of the Investment Advisers Act of 1940 (whether or not registered or qualified under that act); (iii) employed by a bank or other organization exempt from registration under federal and state securities laws to perform functions that would require You to be so registered or qualified if You were to perform such functions for an organization not so exempt; or (iv) an officer, director or 10% stockholder of any publicly traded company.
