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.
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. 3.1 We will act as principal in relation to any services undertaken for you under this Agreement.
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:
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. 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. 2.1 Other than the Conditions set out in Clauses 2.1.2 to 2.1.6, 2.1.9, 2.1.12 to 2.1.14 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.
Capacity and Status. Each party warrants and represents to each other party that each of the following statements is true and accurate as at the date of this Agreement (or, where the party holds any Shares and joins this Agreement under an Accession, as at the date of the relevant Accession) and on each day for so long as the Shareholder holds any Shares:
Capacity and Status. I am of legal age under the laws of the country where I reside and authorized to enter into this Agreement. 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 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, DE ACORDO EM BUSCAR ATUALIZAÇÕES DESTE CONTRATO. ENTENDO QUE, AO CONTINUAR MANTENDO A MINHA CONTA DE CORRETAGEM/CUSTÓDIA DE VALORES MOBILIÁRIOS SEM ME OPOR CONTRA QUAISQUER TERMOS REVISADOS DESTE CONTRATO, ESTOU ACEITANDO OS TERMOS DO CONTRATO REVISADO E ESTAREI LEGALMENTE VINCULADO AOS SEUS TERMOS E CONDIÇÕES. SE EU SOLICITAR OUTROS SERVIÇOS FORNECIDOS PELA AVENUE SECURITIES, AOS QUAIS PRECISE CONCORDAR COM TERMOS E CONDIÇÕES ESPECÍFICOS DE MODO ELETRÔNICO (ATRAVÉS DE CLIQUES OU OUTRAS AÇÕES) OU DE OUTRO MODO, TAIS TERMOS E CONDIÇÕES SERÃO CONSIDERADOS UMA EMENDA E SERÃO INCORPORADOS E FARÃO PARTE DESTE CONTRATO. ALÉM DISSO, ENTENDO QUE, AO CLICAR EM “LI E ACEITO”, RECONHEÇO QUE ESTE CONTRATO INCLUI UMA CLÁUSULA ARBITRAL NA SEÇÃO 30 DO PRESENTE INSTRUMENTO. TÍTULOS E VALORS MOBILIÁRIOS NÃO SÃO CONTAM COM GARANTIA DO FDIC OU GARANTIA BANCÁRIA E PODEM PERDER TODO O SEU VALOR. 1.
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.
