Compliance with U.S. Patriot Act Sample Clauses

Compliance with U.S. Patriot Act. In accordance with the requirements of the USA Patriot Act (Title III of Pub. L. 107-56 (signed into law October 26, 2001)), the Underwriters are required to obtain, verify and record information that identifies their respective clients, including the Issuers, which information may include the name and address of their respective clients, as well as other information that will allow the Underwriters to properly identify their respective clients.
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Compliance with U.S. Patriot Act. The Broker-Dealer and the General Agent hereby represent and warrant that they are and will continue to be in compliance with all applicable provisions of the U.S. Patriot Act and other customer identification, anti-money laundering, anti-terrorism and similar laws and regulations (collectively, “AML”), and the AXA Equitable Companies and the Distributor may rely on the Broker-Dealer and the General Agent to so comply. The Broker-Dealer and the General Agent shall have an established and maintained written AML policy and procedure (available for review by the AXA Equitable Companies) reasonably designed to achieve and monitor compliance with the requirements of the Bank Secrecy Act (31 U.S.C. 5311, et seq.), and the implementing regulations promulgated thereunder by the Department of the Treasury. The anti-money laundering program must be approved, in writing, by a member of senior management of Broker-Dealer. The Broker-Dealer and the General Agent are required to: (i) establish and implement policies and procedures that can be reasonably expected to detect and cause the reporting of transactions required under 31 U.S.C. 5318(g) and the implementing regulations thereunder; (ii) establish and implement policies, procedures, and internal controls reasonably designed to achieve compliance with the Bank Secrecy Act and the implementing regulations thereunder; (iii) provide for annual (on a calendar-year basis) independent testing for compliance to be conducted by a qualified third party; (iv) designate and identify to FINRA a designated AML Officer (i.e., the individual responsible for implementing and monitoring the day-to-day operations and internal controls of the AML program); and (v) provide ongoing training for appropriate Personnel and Agents. The Broker-Dealer and the General Agent will, on request, provide the Distributor with such certificates of compliance and the results of their annual AML independent test as the Distributor may reasonably request. The Broker-Dealer and the General Agent will ensure that all appropriate Personnel and Agents have completed and will continue to receive all required on-going AML training and will not allow any Agent to solicit applications for the Product unless he/she has have previously completed all required AML training. The Broker-Dealer and the General Agent will promptly notify the Distributor if the Broker-Dealer and the General Agent detect suspicious customer activity and cooperate with the Distributor and...
Sample 1
Compliance with U.S. Patriot Act. In accordance with the requirements of the USA Patriot Act (Title III of Pub. L. 107-56 (signed into law October 26, 2001)), the Underwriters are required to obtain, verify and record information that identifies their respective clients, including the Company, which information may include the name and address of their respective clients, as well as other information that will allow the Underwriters to properly identify their respective clients. If the foregoing is in accordance with your understanding, please indicate your acceptance of this Agreement by signing in the space provided below. [Signature pages follow] Very truly yours, XILINX, INC. By /s/ Xxxxxxx X. Xxxxxx Xxxxxxx X. Xxxxxx Senior Vice President and Chief Financial Officer Accepted: May 24, 2017 For itself and on behalf of the several Underwriters listed in Schedule 1 hereto. X.X. XXXXXX SECURITIES LLC By /s/ Xxxxxx Xxxxxxxxx Authorized Signatory Xxxxxx Xxxxxxxxx Vice President Schedule 1 Securities 2.950% Senior Notes due 2024 Underwriters Principal Amount of Notes to be Purchased X.X. Xxxxxx Securities LLC $412,500,000 U.S. Bancorp Investments, Inc. $150,000,000 Barclays Capital Inc. $93,750,000 SMBC Nikko Securities America, Inc. $93,750,000 Total $750,000,000 Schedule 2 Xilinx Significant Subsidiaries
Sample 1
Compliance with U.S. Patriot Act. In accordance with the requirements of the USA Patriot Act (Title III of Pub. L. 107-56 (signed into law October 26, 2001)), the Underwriters are required to obtain, verify and record information that identifies their respective clients, including the Company, which information may include the name and address of their respective clients, as well as other information that will allow the Underwriters to properly identify their respective clients. If the foregoing is in accordance with your understanding, please indicate your acceptance of this Agreement by signing in the space provided below. Very truly yours, XILINX, INC. By: /s/ Xxxxx Xxxx Name: Xxxxx Xxxx Title: Executive Vice President and Chief Financial Officer For themselves and on behalf of the several Underwriters listed in Schedule 1 hereto. BOFA SECURITIES, INC. By: /s/ Xxxxxx Xxxxxxxx Authorized Signatory XXXXXX XXXXXXX & CO. LLC By: /s/ Ian Drewe Authorized Signatory XXXXX FARGO SECURITIES, LLC By: /s/ Xxxxxxx Xxxxxx Authorized Signatory [Signature Page to Underwriting Agreement] Schedule 1 Securities $750,000,000 2.375% Senior Notes due 2030 Underwriters Principal Amount of Notes to be Purchased BofA Securities, Inc. $187,500,000 Xxxxxx Xxxxxxx & Co. LLC $150,000,000 Xxxxx Fargo Securities, LLC $150,000,000 Barclays Capital Inc. $52,500,000 Citigroup Global Markets Inc. $52,500,000 U.S. Bancorp Investments, Inc. $52,500,000 ANZ Securities, Inc. $21,000,000 BNY Mellon Capital Markets, LLC $21,000,000 HSBC Securities (USA) Inc. $21,000,000 MUFG Securities Americas Inc. $21,000,000 Westpac Capital Markets, LLC $21,000,000 Total $750,000,000 Schedule 2 Xilinx Significant Subsidiaries
Sample 1

Related to Compliance with U.S. Patriot Act

  • Compliance with USA Patriot Act In accordance with the requirements of the USA Patriot Act (Title III of Pub. L. 107-56 (signed into law October 26, 2001)), the Underwriters are required to obtain, verify and record information that identifies their respective clients, including the Company, which information may include the name and address of their respective clients, as well as other information that will allow the Underwriters to properly identify their respective clients.

  • Compliance with Patriot Act In order to comply with laws, rules, regulations and executive orders in effect from time to time applicable to banking institutions, including those relating to the funding of terrorist activities and money laundering (“Applicable Law”), the Owner Trustee is required to obtain, verify and record certain information relating to individuals and entities which maintain a business relationship with the Owner Trustee. Accordingly, the Seller shall cause to be provided to the Owner Trustee upon its reasonable request from time to time such identifying information and documentation as may be available to the Seller in order to enable the Owner Trustee to comply with Applicable Law.

  • Compliance with the USA Patriot Act In accordance with the requirements of the USA Patriot Act (Title III of Pub. L. 107-56 (signed into law October 26, 2001)), the Underwriters are required to obtain, verify and record information that identifies their respective clients, including the Company, which information may include the name and address of their respective clients, as well as other information that will allow the Underwriters to properly identify their respective clients.

  • USA PATRIOT Act Compliance Pursuant to applicable law, including the Customer Identification Program requirements established under the Uniting and Strengthening America by Providing Appropriate Tools Required to Intercept and Obstruct Terrorism Act of 2001, Title III of Pub. L. 107 56 (signed into law October 26, 2001) and its implementing regulations (collectively, USA PATRIOT Act), the Financial Crimes Enforcement Network’s (FinCEN) Customer Due Diligence Requirements and such other laws, rules, regulations and executive orders in effect from time to time applicable to banking institutions (“Applicable Law”), the Owner Trustee is required to obtain on or before closing, and from time to time thereafter, documentation to verify and record information that identifies each person who opens an account. For a non-individual person such as a business entity, a charity, a trust or other legal entity, the Owner Trustee will ask for documentation to verify the entity’s formation and existence, its financial statements, licenses, tax identification documents, identification and authorization documents from individuals claiming authority to represent the entity and other relevant documentation and information (including beneficial owners of such entities). To the fullest extent permitted by Applicable Law, the Owner Trustee may conclusively rely on, and shall be fully protected and indemnified in relying on, any such information received. Failure to provide such information may result in an inability of the Owner Trustee to perform its obligations hereunder, which, at the sole option of the Owner Trustee, may result in the Owner Trustee’s resignation in accordance with Section 10.02 of this Agreement. In the event of any change in beneficial ownership in the Trust (or any beneficial interest in that interest, regardless of form), such change shall be accompanied by IRS Form W-8BEN, W-8BEN-E, W-8 ECI or W-9, as applicable, and such other documentation as may be required by the Owner Trustee in order to comply with Applicable Law.

  • U.S. Patriot Act Each Lender hereby notifies each Loan Party that pursuant to the requirements of the U.S. Patriot Act, it is required to obtain, verify and record information that identifies Loan Parties, which information includes the name and address of each Loan Party and other information that will allow the Lenders to identify such Loan Party in accordance with the U.S. Patriot Act.

  • The USA PATRIOT Act The USA PATRIOT Act is designed to detect, deter, and punish terrorists in the United States and abroad. The Act imposes new anti-money laundering requirements on brokerage firms and financial institutions. Since April 24, 2002 all brokerage firms have been required to have new, comprehensive anti-money laundering programs. To help you understand these efforts, we want to provide you with some information about money laundering and our steps to implement the USA PATRIOT Act. What is money laundering? Money laundering is the process of disguising illegally obtained money so that the funds appear to come from legitimate sources or activities. Money laundering occurs in connection with a wide variety of crimes, including illegal arms sales, drug trafficking, robbery, fraud, racketeering, and terrorism. How big is the problem and why is it important? The use of the U.S. financial system by criminals to facilitate terrorism or other crimes could well taint our financial markets. According to the U.S. State Department, one recent estimate puts the amount of worldwide money laundering activity at $1 trillion a year. What are we required to do to eliminate money laundering? Under rules required by the USA PATRIOT Act, our anti-money laundering program must designate a special compliance officer, set up employee training, conduct independent audits, and establish policies and procedures to detect and report suspicious transaction and ensure compliance with such laws. As part of our required program, we may ask you to provide various identification documents or other information. Until you provide the information or documents we need, we may not be able to effect any transactions for you. ANTI-MONEY LAUNDERING INFORMATION FORM The following is required in accordance with the AML provision of the USA PATRIOT ACT. (Please fill out and return with requested documentation.) INVESTOR NAME: LEGAL ADDRESS: SSN# or TAX ID# OF INVESTOR: YEARLY INCOME: NET WORTH: * * For purposes of calculating your net worth in this form, (a) your primary residence shall not be included as an asset; (b) indebtedness secured by your primary residence, up to the estimated fair market value of your primary residence at the time of your purchase of the securities, shall not be included as a liability (except that if the amount of such indebtedness outstanding at the time of your purchase of the securities exceeds the amount outstanding 60 days before such time, other than as a result of the acquisition of your primary residence, the amount of such excess shall be included as a liability); and (c) indebtedness that is secured by your primary residence in excess of the estimated fair market value of your primary residence at the time of your purchase of the securities shall be included as a liability. INVESTMENT OBJECTIVE(S) (FOR ALL INVESTORS): ADDRESS OF BUSINESS OR OF EMPLOYER: FOR INVESTORS WHO ARE INDIVIDUALS: AGE: FOR INVESTORS WHO ARE INDIVIDUALS: OCCUPATION: FOR INVESTORS WHO ARE ENTITIES: TYPE OF BUSINESS:

  • The Patriot Act Each Bank subject to the USA PATRIOT ACT (Title 111 of Pub. L. 107-56 (signed into law October 26, 2001, as amended)) (the “Patriot Act”) hereby notifies the Borrower that pursuant to the requirements of the Patriot Act, it is required to obtain, verify and record information that identifies the Borrower and the other Credit Parties and other information that will allow such Bank to identify the Borrower and the other Credit Parties in accordance with the Patriot Act.

  • USA PATRIOT Act The parties hereto acknowledge that in accordance with Section 326 of the U.S.A. Patriot Act, the Trustee, like all financial institutions and in order to help fight the funding of terrorism and money laundering, is required to obtain, verify, and record information that identifies each person or legal entity that establishes a relationship or opens an account with the Trustee. The parties to this Indenture agree that they will provide the Trustee with such information as it may request in order for the Trustee to satisfy the requirements of the U.S.A. Patriot Act.

  • OFAC, PATRIOT Act Compliance The Borrower will, and will cause each of its Subsidiaries to, (i) refrain from doing business in a Sanctioned Country or with a Sanctioned Person in violation of the economic sanctions of the United States administered by OFAC, and (ii) provide, to the extent commercially reasonable, such information and take such actions as are reasonably requested by the Administrative Agent or any Lender in order to assist the Administrative Agent and the Lenders in maintaining compliance with the PATRIOT Act.

  • Patriot Act Compliance In order for it to comply with its duties under the U.S.A. Patriot Act, the Trustee may obtain and verify certain information from the other parties hereto, including but not limited to such parties' name, address and other identifying information.

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