Confidentiality and Privacy. By accepting the Subscription Agreement on behalf of the Fund, the Manager agrees that it will not collect any information about the Subscriber except that which is provided by the Subscriber in this Subscription Agreement or subsequently provided by the Subscriber (the “Subscriber Information”). The Manager agrees that it will keep all Subscriber Information confidential, and will use and disclose the Subscriber Information only for the purposes described below, unless: (a) the Manager informs the Subscriber of a proposed use or disclosure of the Subscriber Information, and the Subscriber consents; or (b) the use or disclosure is permitted by law to be made without the consent of the Subscriber, or is required by law, or by the by-laws, rules, regulations or policies of any regulatory organization governing the Fund. The Subscriber acknowledges and consents to the fact the Manager and the Fund are collecting the Subscriber Information for the purpose of completing the Subscriber’s subscription(s), effecting purchases of Units, providing the Subscriber with ongoing services and otherwise administering the Subscriber’s investment in the Fund. By executing this Subscription Agreement, the Subscriber acknowledges and consents to the Manager and the Fund retaining the Subscriber Information for as long as permitted or required by applicable law or business practices. The Subscriber further acknowledges and consents to the fact the Manager and the Fund may be required by applicable securities laws to provide to regulatory authorities any Subscriber Information provided by the Subscriber through the filing of reports of exempt trades and the filing of this Subscription Agreement with the relevant securities regulatory authorities. In addition, the Subscriber acknowledges that the Manager and the Fund are required to file a report of trade with all applicable securities regulatory authorities containing personal information about the Subscriber. The Subscriber acknowledges that he, she or it has been notified by the Manager or the Fund: (a) of such delivery of a report of trade from time to time, as required by applicable securities laws, containing the full name, residential address and telephone number of the Subscriber, the number and type of Units purchased, the total purchase price paid for such Units, the date of the purchase(s) and the prospectus exemption relied upon under applicable securities laws to complete such purchase(s); (b) that in Ontario, this information is collected indirectly by the Ontario Securities Commission (the “OSC”) under the authority granted to it under, and is being collected for the purposes of the administration and enforcement of, the securities legislation in Ontario; and (c) that the Subscriber may contact the Administrative Assistant to the Director of Corporate Finance at Xxxxx 0000, Xxx 00, 00 Xxxxx Xxxxxx Xxxx, Xxxxxxx, Xxxxxxx, X0X 0X0 or by telephone at (000) 000-0000 for more information regarding the indirect collection of such information by the OSC. By completing this Subscription Agreement, the Subscriber authorizes the indirect collection of this information by each applicable securities regulatory authority or regulator and acknowledges that such information is made available to the public under applicable securities legislation.
Appears in 7 contracts
Samples: Subscription Agreement, Subscription Agreement, Subscription Agreement
Confidentiality and Privacy. By accepting The Subscriber agrees that the Subscription Agreement on behalf investment portfolio and trading procedures of the Fund, applicable Fund are proprietary to the Manager agrees that it will not collect any Funds and all information about the Subscriber except that which is provided relating to such investment portfolio and trading procedures shall be kept confidential by the Subscriber in this Subscription Agreement or subsequently provided by the Subscriber (the “Subscriber Information”). The Manager agrees that it will keep all Subscriber Information confidential, and will use and disclose not be disclosed to third parties (excluding the Subscriber Information only for the purposes described below, unless: (aSubscriber’s professional advisers) the Manager informs the Subscriber of a proposed use or disclosure of the Subscriber Information, and the Subscriber consents; or (b) the use or disclosure is permitted by law to be made without the written consent of the Subscriber, or is required by law, or by the by-laws, rules, regulations or policies of any regulatory organization governing the Fund. The Subscriber acknowledges and consents to the fact the Manager and the Fund are collecting the Subscriber Information for the purpose of completing the Subscriber’s subscription(s), effecting purchases of Units, providing the Subscriber with ongoing services and otherwise administering the Subscriber’s investment in the FundManager. By executing signing this Subscription Agreement, the Subscriber acknowledges and consents to the Manager collection, use and disclosure of his or her personal information in accordance with the Canso Privacy Policy attached as Schedule “C”. Governing Law and Language The agreement and all ancillary documents will be governed by and construed in accordance with the laws of the Province of Ontario and the Fund retaining laws of Canada applicable therein. In this Subscription Agreement all references to dollar amounts and “$” are to Canadian dollars. It is the express wish of the Subscriber Information for as long as permitted that this Subscription Agreement, and any related documentation be drawn up in English. Il est de la volonté expresse du souscripteur que la présente entente et tous les documents s’y rattachant soient rédigés en anglais. This agreement is not transferable or required by applicable law or business practices. The Subscriber further acknowledges and consents to the fact the Manager and the Fund may be required by applicable securities laws to provide to regulatory authorities any Subscriber Information provided assignable by the Subscriber through the filing of reports of exempt trades and the filing Subscriber. You may not change any part of this Subscription Agreement with without the relevant securities regulatory authoritiesconsent of the Manager. In additionDated at in the Province of , Canada, this (city) (province) day of , . (day) (month) (year) On behalf of each Managed Account set out in Appendix “A” to this Subscription Agreement that is a managed account client of the Subscriber acknowledges that the Manager and the Fund are required to file a report Name of trade with all applicable securities regulatory authorities containing personal information about the Subscriber. Portfolio Management Firm Name of Advising/Dealing Representative Signature of Advising/Dealing Xxxxxxxxxxxxxx Xxxxxxx (Xx X.X. Xxx Xxxxxx) Xxxx, Xxxxxxxx, Postal Code Telephone Number Email Address (The Subscriber acknowledges that he, she signature must be witnessed by a person who is not a minor nor the spouse or it has been notified by the Manager or the Fund: (a) of such delivery of a report of trade from time to time, as required by applicable securities laws, containing the full name, residential address and telephone number child of the Subscriber, the number and type of Units purchased, the total purchase price paid for such Units, the date of the purchase(s) and the prospectus exemption relied upon under applicable securities laws to complete such purchase(s); (b) that in Ontario, this information is collected indirectly by the Ontario Securities Commission Witness Signature Name SCHEDULE “A” CERTIFICATE OF ACCREDITED INVESTOR TO: Canso Fund Management Ltd. (the “OSCManager”) under In connection with the authority granted to it under, and is being collected for the purposes purchase by a Subscriber of Units of the administration and enforcement of, Fund(s) on behalf of each Managed Account in the securities legislation in Ontario; and (c) that the Subscriber may contact the Administrative Assistant attached Appendix “A” to the Director of Corporate Finance at Xxxxx 0000, Xxx 00, 00 Xxxxx Xxxxxx Xxxx, Xxxxxxx, Xxxxxxx, X0X 0X0 or by telephone at (000) 000-0000 for more information regarding the indirect collection of such information by the OSC. By completing this Subscription Agreement, the Subscriber authorizes certifies for the indirect collection benefit of the Fund(s) and the Manager that the Subscriber is (and will at the time of acceptance of this information by each applicable securities regulatory authority Subscription Agreement and any additional subscriptions be) an accredited investor within the meaning of National Instrument 45-106 – Prospectus Exemptions or regulator and acknowledges that such information is made available to Section 73.3 of the public under applicable securities legislation.Securities Act (Ontario) in the category of:
Appears in 2 contracts
Samples: Subscription Agreement, Subscription Agreement
Confidentiality and Privacy. By accepting the Subscription Agreement on behalf of the Fund, the Manager agrees that it will not collect any information about the Subscriber except that which is provided by the Subscriber in this Subscription Agreement or subsequently provided by the Subscriber (the “Subscriber Information”). The Manager agrees that it will keep all Subscriber Information confidential, and will use and disclose the Subscriber Information only for the purposes described below, unless: (a) the Manager informs the Subscriber of a proposed use or disclosure of the Subscriber Information, and the Subscriber consents; or (b) the use or disclosure is permitted by law to be made without the consent of the Subscriber, or is required by law, or by the by-laws, rules, regulations or policies of any regulatory organization governing the Fund. The Subscriber acknowledges and consents to the fact the Manager and the Fund are collecting the Subscriber Information for the purpose of completing the Subscriber’s subscription(s), effecting purchases of Units, providing the Subscriber with ongoing services and otherwise administering the Subscriber’s investment in the Fund. By executing this Subscription Agreement, the Subscriber acknowledges and consents to the Manager and the Fund retaining the Subscriber Information for as long as permitted or required by applicable law or business practices. The Subscriber further acknowledges and consents to the fact the Manager and the Fund may be required by applicable securities laws to provide to regulatory authorities any Subscriber Information provided by the Subscriber through the filing of reports of exempt trades and the filing of this Subscription Agreement with the relevant securities regulatory authorities. In addition, the Subscriber acknowledges that the Manager and the Fund are required to file a report of trade with all applicable securities regulatory authorities containing personal information about the Subscriber. The Subscriber acknowledges that he, she or it has been notified by the Manager or the Fund: (a) of such delivery of a report of trade from time to time, as required by applicable securities laws, containing the full name, residential address and telephone number of the Subscriber, the number and type of Units purchased, the total purchase price paid for such Units, the date of the purchase(s) and the prospectus exemption relied upon under applicable securities laws to complete such purchase(s); (b) that in Ontario, this information is collected indirectly by the Ontario Securities Commission (the “OSC”) under the authority granted to it under, and is being collected for the purposes of the administration and enforcement of, the securities legislation in Ontario; and (c) that the Subscriber may contact the Administrative Assistant to the Director of Corporate Finance at Xxxxx 0000Suite 1903, Xxx Box 00, 00 Xxxxx Xxxxxx Xxxx, Xxxxxxx, Xxxxxxx, X0X 0X0 or by telephone at (000) 000-0000 for more information regarding the indirect collection of such information by the OSC. By completing this Subscription Agreement, the Subscriber authorizes the indirect collection of this information by each applicable securities regulatory authority or regulator and acknowledges that such information is made available to the public under applicable securities legislation.
Appears in 2 contracts
Samples: Subscription Agreement, Subscription Agreement
Confidentiality and Privacy. By accepting the Subscription Agreement on behalf of the Fund, the Manager agrees that it will not collect any information about the Subscriber except that which is provided by the Subscriber in this Subscription Agreement or subsequently provided by the Subscriber (the “Subscriber Information”). The Manager agrees that it will keep all Subscriber Information confidential, and will use and disclose the Subscriber Information only for the purposes described below, unless: (a) the Manager informs the Subscriber of a proposed use or disclosure of the Subscriber Information, and the Subscriber consents; or (b) the use or disclosure is permitted by law to be made without the consent of the Subscriber, or is required by law, or by the by-laws, rules, regulations or policies of any regulatory organization governing the Fund. The Subscriber acknowledges and consents to the fact the Manager and the Fund are collecting the Subscriber Information for the purpose of completing the Subscriber’s subscription(s), effecting purchases of Units, providing the Subscriber with ongoing services and otherwise administering the Subscriber’s investment in the Fund. By executing this Subscription Agreement, the Subscriber acknowledges and consents to the Manager and the Fund retaining the Subscriber Information for as long as permitted or required by applicable law or business practices. The Subscriber further acknowledges and consents to the fact the Manager and the Fund may be required by applicable securities laws to provide to the Canadian regulatory authorities any Subscriber Information provided by the Subscriber through the filing of reports of exempt trades and the filing of this Subscription Agreement with the relevant Canadian securities regulatory authorities. In addition, the Subscriber acknowledges that the Manager and the Fund are required to file a report of trade with all applicable Canadian securities regulatory authorities containing personal information about the Subscriber. The Subscriber acknowledges that he, she or it has been notified by the Manager or the Fund: (a) of such delivery of a report of trade from time to time, as required asrequired by applicable securities laws, containing the full name, residential address and telephone number of the Subscriber, the number and type of Units purchased, the total purchase price paid for such Units, the date of the purchase(s) and the prospectus exemption relied upon under applicable securities laws to complete such purchase(s); (b) that in Ontario, this information is collected indirectly by the Ontario Securities Commission (the “OSC”) under the authority granted to it under, and is being collected for the purposes of the administration and enforcement of, the securities legislation in Ontario; and (c) that the Subscriber may contact the Administrative Assistant to the Director of Corporate Finance at Xxxxx 0000, Xxx 00Inquiries Officer, 00 Xxxxx Xxxxxx Xxxx, 00xx Xxxxx, Xxxxxxx, Xxxxxxx, X0X 0X0 or by telephone at (000) 000-0000 for more information regarding the indirect collection of such information by the OSC. By completing this Subscription Agreement, the Subscriber authorizes the indirect collection of this information by each applicable securities regulatory authority or regulator and acknowledges that such information is made available to the public under applicable securities legislation.
Appears in 2 contracts
Samples: Subscription Agreement, Subscription Agreement
Confidentiality and Privacy. By accepting 10.1 Safeguarding customer’s privacy and confidentiality is of paramount importance to Republic Bank. The Customer understands that while Republic Bank will use its best endeavours to ensure that all information transmitted or received using the Subscription Agreement on behalf Electronic Banking Services is secure and cannot be accessed by unauthorized third parties, Republic Bank does not warrant the security of any information transmitted by the Customer using the Electronic Banking Services. Accordingly, the Customer agrees to accept any risk that any information transmitted or received using the Electronic Banking Services may be accessed by unauthorized third parties and the Customer agrees not to hold Republic Bank liable for any such unauthorized access or any loss or damage suffered as a result. The Customer agrees that Republic Bank protects all of Customer Information but there are instances where Republic Bank will need to provide Customer information to third parties and Republic Bank requires the Customer consent in order to do so. The use of the FundCustomer’s information is governed by Republic Bank’s General Privacy Principles together with the terms of this Agreement. In addition to the General Privacy Principles, The Customer hereby consent to the Manager agrees that it will not collect any collection, use, disclosure, transfer and sharing Republic Bank (including its parent, subsidiaries, related entities or affiliates or their respective successors and assigns) (the “Bank Group”) of information about the Subscriber except that which is provided by Customer collected during the Subscriber course of your relationship with Republic Bank with any member or members of the Bank Group, in this Subscription Agreement or subsequently provided by the Subscriber (the “Subscriber Information”)whichever country such member conducts business. The Manager agrees that it will keep all Subscriber Information confidentialCustomer also consent to Republic Bank collecting, using, disclosing, transferring and will use and disclose the Subscriber Information only for the purposes described below, unlesssharing information about you with any domestic or foreign: (a) the Manager informs the Subscriber of a proposed use governmental, regulatory (including bank regulators), tax, judicial, law enforcement, administrative or disclosure of the Subscriber Informationself- regulatory authorities, and the Subscriber consents; agencies or departments (b) the use financial institutions (including correspondent or disclosure is permitted by law intermediary banks) (c) entities providing outsourcing services to be made without the consent of the SubscriberRepublic Bank (d) credit bureaus or similar reporting agencies, or is required by law(e) authorities, agencies, departments or by the by-laws, rules, regulations or policies of any regulatory organization governing the Fund. The Subscriber acknowledges and consents to the fact the Manager and the Fund are collecting the Subscriber Information for the purpose of completing the Subscriber’s subscription(s), effecting purchases of Units, providing the Subscriber with ongoing services and otherwise administering the Subscriber’s investment in the Fund. By executing this Subscription Agreement, the Subscriber acknowledges and consents to the Manager and the Fund retaining the Subscriber Information for other parties as long as permitted or required by applicable law or business practices. The Subscriber further acknowledges and consents to the fact the Manager and the Fund may reasonably be required by applicable securities laws to provide to regulatory authorities any Subscriber Information provided by the Subscriber through the filing of reports of exempt trades and the filing of this Subscription Agreement with the relevant securities regulatory authorities. In addition, the Subscriber acknowledges that the Manager and the Fund are required to file a report of trade with all applicable securities regulatory authorities containing personal information about the Subscriber. The Subscriber acknowledges that he, she or it has been notified by the Manager or the Fund: (a) of such delivery of a report of trade from time to time, as required by applicable securities laws, containing the full name, residential address and telephone number of the Subscriber, the number and type of Units purchased, the total purchase price paid for such Units, the date of the purchase(s) and the prospectus exemption relied upon under applicable securities laws to complete such purchase(s); (b) that in Ontario, this information is collected indirectly by the Ontario Securities Commission (the “OSC”) under the authority granted to it under, and is being collected for the purposes of (i) identifying you or anyone acting on your behalf; (ii) qualifying and providing you with products and services; (iii) processing your transactions; (iv) verifying Information you may provide; (v) managing Republic Bank’s or the administration Bank Group’s business; (vi) protecting you, Republic Bank or the Bank Group from error and enforcement ofillegal activity; (vii) facilitating domestic or foreign tax, the securities legislation in Ontario; and (c) that the Subscriber may contact the Administrative Assistant to the Director of Corporate Finance at Xxxxx 0000, Xxx 00, 00 Xxxxx Xxxxxx Xxxx, Xxxxxxx, Xxxxxxx, X0X 0X0 regulatory or by telephone at (000) 000-0000 for more information regarding the indirect collection of such information by the OSC. By completing this Subscription Agreement, the Subscriber authorizes the indirect collection of this information by each applicable securities regulatory authority or regulator and acknowledges that such information is made available to the public under applicable securities legislation.other reporting;
Appears in 1 contract
Confidentiality and Privacy. By accepting the Subscription Agreement on behalf of the Fund, the Manager agrees that it will not collect any information about the Subscriber except that which is provided by the Subscriber in this Subscription Agreement or subsequently provided by the Subscriber (the “Subscriber Information”). The Manager agrees that it will keep all Subscriber Information confidential, and will use and disclose the Subscriber Information only for the purposes described below, unless: (a) Each party acknowledges and understands that with respect to the Manager informs activities described in this agreement any and all technical, trade secret, or business information, including, without limitation, financial information, business or marketing strategies or plans, product development or customer information ("Proprietary Information") shared by one party with the Subscriber other is confidential and proprietary, constitutes trade secrets of the owner of such Proprietary Information, and is of great value and importance to the success of the owner's business. The recipient of any such Proprietary Information agrees to use its best efforts (the same being not less than that employed to protect its own proprietary information) to safeguard any Proprietary Information received from the other party and to prevent the unauthorized, negligent or inadvertent use or disclosure thereof. The recipient of any such Proprietary Information shall not, without the prior written approval of any officer of the owner, directly or indirectly, disclose the Proprietary Information to any person or business entity except for a proposed limited number of employees, attorneys, accountants and other advisors of the recipient on a need-to-know basis or as may be required by law or regulation or in response to a request by a regulatory body or self regulatory examination. The recipient of any such Proprietary Information shall promptly notify the owner in writing of any unauthorized, negligent or inadvertent use or disclosure of Proprietary Information. The recipient of any such Proprietary Information shall be liable under this Agreement to the Subscriber Informationowner for any use or disclosure in violation of this Agreement by it or its employees, and attorneys, accountants, or other advisors or agents. The recipient of such Proprietary Information shall not have any obligations under this Section 9 with respect to any information that is: (i) already known to the Subscriber consentsrecipient or its affiliates at the time of the receipt; (ii) publicly known at the time of the receipt; or (biii) the use or disclosure is permitted by law to be made without the consent of the Subscriber, or is required by law, or independently developed by the by-laws, rules, regulations recipient or policies its affiliates. This Section 9 shall continue in full force and effect notwithstanding the termination of any regulatory organization governing the Fundthis Agreement. The Subscriber acknowledges and consents to the fact the Manager and the Fund are collecting the Subscriber Information for the purpose Upon termination of completing the Subscriber’s subscription(s), effecting purchases of Units, providing the Subscriber with ongoing services and otherwise administering the Subscriber’s investment in the Fund. By executing this Subscription Agreement, the Subscriber acknowledges and consents to the Manager and the Fund retaining the Subscriber Information for as long as permitted or unless otherwise required by applicable law or business practices. The Subscriber further acknowledges and consents to law, the fact the Manager and the Fund may be required by applicable securities laws to provide to regulatory authorities any Subscriber Information provided recipient shall promptly redeliver all Proprietary Information, in whatever medium (whether prepared by the Subscriber through the filing of reports of exempt trades and the filing of this Subscription Agreement with the relevant securities regulatory authorities. In addition, the Subscriber acknowledges that the Manager and the Fund are required to file a report of trade with all applicable securities regulatory authorities containing personal information about the Subscriber. The Subscriber acknowledges that he, she owner or it has been notified by the Manager or the Fund: (a) of such delivery of a report of trade from time to time, as required by applicable securities laws, containing the full name, residential address and telephone number of the Subscriber, the number and type of Units purchased, the total purchase price paid for such Units, the date of the purchase(s) and the prospectus exemption relied upon under applicable securities laws to complete such purchase(sotherwise); (b) that in Ontario, this information is collected indirectly by the Ontario Securities Commission (the “OSC”) under the authority granted to it under, and is being collected for the purposes will not retain any copies, extracts or other reproductions in whole or in part of the administration and enforcement of, the securities legislation in Ontario; and (c) that the Subscriber may contact the Administrative Assistant to the Director of Corporate Finance at Xxxxx 0000, Xxx 00, 00 Xxxxx Xxxxxx Xxxx, Xxxxxxx, Xxxxxxx, X0X 0X0 or by telephone at (000) 000-0000 for more information regarding the indirect collection of any such information by the OSC. By completing this Subscription Agreement, the Subscriber authorizes the indirect collection of this information by each applicable securities regulatory authority or regulator and acknowledges that such information is made available to the public under applicable securities legislationmaterial.
Appears in 1 contract
Samples: Funds Dealer Agreement (Riversource Sector Series, Inc.)
Confidentiality and Privacy. By accepting the Subscription Agreement on behalf of the Fund, the Manager agrees that it will not collect any information about the Subscriber except that which is provided by the Subscriber in this Subscription Agreement or subsequently provided by the Subscriber (the “Subscriber Information”). The Manager agrees that it will keep all Subscriber Information confidential, and will use and disclose the Subscriber Information only for the purposes described below, unless: (a) the Manager informs the Subscriber of a proposed use or disclosure of the Subscriber Information, and the Subscriber consents; or (b) the use or disclosure is permitted by law to be made without the consent of the Subscriber, or is required by law, or by the by-laws, rules, regulations or policies of any regulatory organization governing the Fund. The Subscriber acknowledges and consents to the fact the Manager and the Fund are collecting the Subscriber Information for the purpose of completing the Subscriber’s subscription(s), effecting purchases of Units, providing the Subscriber with ongoing services and otherwise administering the Subscriber’s investment in the Fund. By executing this Subscription Agreement, the Subscriber acknowledges and consents to the Manager and the Fund retaining the Subscriber Information for as long as permitted or required by applicable law or business practices. The Subscriber further acknowledges and consents to the fact the Manager and the Fund may be required by applicable securities laws to provide to regulatory authorities any Subscriber Information provided by the Subscriber through the filing of reports of exempt trades and the filing of this Subscription Agreement with the relevant securities regulatory authorities. In addition, the Subscriber acknowledges that the Manager and the Fund are required to file a report of trade with all applicable securities regulatory authorities containing personal information about the Subscriber. The Subscriber acknowledges that he, she or it has been notified by the Manager or the Fund: (a) of such delivery of a report of trade from time to time, as required by applicable securities laws, containing the full name, residential address and telephone number of the Subscriber, the number and type of Units purchased, the total purchase price paid for such Units, the date of the purchase(s) and the prospectus exemption relied upon under applicable securities laws to complete such purchase(s); (b) that in Ontario, this information is collected indirectly by the Ontario Securities Commission (the “OSC”) under the authority granted to it under, and is being collected for the purposes of the administration and enforcement of, the securities legislation in Ontario; and (c) that the Subscriber may contact the Administrative Assistant to the Director of Corporate Finance at Xxxxx 0000Suite 1903, Xxx Box 00, 00 Xxxxx Xxxxxx Xxxx, Xxxxxxx, Xxxxxxx, X0X 0X0 or by telephone at (000) 000-0000 for more information regarding the indirect collection of such information by the OSC. By completing this Subscription Agreement, the Subscriber authorizes the indirect collection of this information by each applicable securities regulatory authority or regulator and acknowledges that such information is made available to the public under applicable securities legislation.
Appears in 1 contract
Samples: Subscription Agreement
Confidentiality and Privacy. By accepting This Agreement and all information and advice communicated to any party pursuant hereto will be treated as confidential except as otherwise agreed to by the Subscription Agreement on behalf parties or as required by applica ble law. Except as otherwise provided in this Agreement, Client hereby authorizes Provider and its designees to disclose Client Information to third parties as necessary to provide the Service or to carry out their obligations with respect to the Service. Without limiting the generality of the Fundforegoing, if Client has enabled the Manager Service’s account aggregation feature, Client acknowledge s and agrees that it USBI and its designees are authorized to disclose Account Information aggregated by Aggregation Vendor to Sub-Adviser, which will access, use, and store such information in connection with its services provided hereunder. Third parties, including Sub-Adviser and Aggregation Vendor, are legally required to keep Client Information and Account Information private and secure, and must otherwise comply with Provider’s privacy policies as a condition of their engagement to provide services to USBI. ASSIGNABILITY This Agreement will not collect be assignable (as that term is defined in the Advisers Act) by any information about party without the Subscriber except that which is provided by the Subscriber other parties’ consent. If, after 15 calendar days of receiving notice of an assignment from Provider or its designee Client does not terminate his or her Advisory Account as provide d for in this Subscription Agreement Agreement, Client will be deemed to have consented to the assignment. Notwithstanding the foregoing, transfers in the event of Client’s death will not be considered an assignment under this Section and transfers to a successor-in-interest of Provider or subsequently provided its designee (whether by the Subscriber (the “Subscriber Information”). The Manager agrees that it will keep all Subscriber Information confidentialacquisition, and will use and disclose the Subscriber Information only for the purposes described belowassignment, unless: (a) the Manager informs the Subscriber operation of a proposed use or disclosure of the Subscriber Information, and the Subscriber consents; or (b) the use or disclosure is permitted by law to be made without the consent of the Subscriber, or is required by law, or otherwise) will not be considered an assignment under this Section. For the avoidance of doubt, the foregoing limitation on assignment shall not prohibit Provider from engaging or replacing service providers or vendors (whether affiliated with USBI or third parties, and including, but not limited to, Sub-Adviser and Aggregation Vendor) in connection with the Service. Each person providing services under this Agreement may deal with its affiliates and its respective successors and permitted assigns as if such person or firm were not affiliated with the same to the full extent permitted by applicable law. NON-EXCLUSIVE AGREEMENT Client understands that each of Provider and Sub-Adviser performs for other clients, services similar to those that will be provided to Client through the byService, as well as other types of investment advisory-lawsrelated services. Those other clients may take actions and receive advice that may differ from the advice given, rulesor in the timing and nature of the action taken, regulations in respect of that given to Client through the Service. Provider, Sub-Adviser, and their respective affiliates and associated persons will not have any obligation to make or policies refrain from making to Client purchases, sales, or transfers, as applicable, of any regulatory organization governing the Fundinvestment that may be purchased or sold in respect of any other client. The Subscriber acknowledges Transactions in any specific investment may be executed at different times and consents prices for different client advisory account(s). Provider may also utilize different guidelines as they relate to the fact the Manager and the Fund are collecting the Subscriber Information for the purpose of completing the Subscriber’s subscription(s), effecting purchases of Units, providing the Subscriber with ongoing services and otherwise administering the Subscriber’s investment in the Fund. By executing this Subscription AgreementAdvisory Fees; therefore, the Subscriber acknowledges and consents costs of obtaining services similar to the Manager and the Fund retaining the Subscriber Information for as long as permitted or required by applicable law or business practices. The Subscriber further acknowledges and consents to the fact the Manager and the Fund those provided hereunder may be required by applicable securities laws more or less than those charged to provide to regulatory authorities any Subscriber Information provided by the Subscriber through the filing of reports of exempt trades and the filing of this Subscription Agreement with the relevant securities regulatory authorities. In addition, the Subscriber acknowledges that the Manager and the Fund are required to file a report of trade with all applicable securities regulatory authorities containing personal information about the Subscriber. The Subscriber acknowledges that he, she or it has been notified by the Manager or the Fund: (a) of such delivery of a report of trade from time to time, as required by applicable securities laws, containing the full name, residential address and telephone number of the Subscriber, the number and type of Units purchased, the total purchase price paid for such Units, the date of the purchase(s) and the prospectus exemption relied upon under applicable securities laws to complete such purchase(s); (b) that in Ontario, this information is collected indirectly by the Ontario Securities Commission (the “OSC”) under the authority granted to it under, and is being collected for the purposes of the administration and enforcement of, the securities legislation in Ontario; and (c) that the Subscriber may contact the Administrative Assistant to the Director of Corporate Finance at Xxxxx 0000, Xxx 00, 00 Xxxxx Xxxxxx Xxxx, Xxxxxxx, Xxxxxxx, X0X 0X0 or by telephone at (000) 000-0000 for more information regarding the indirect collection of such information by the OSC. By completing this Subscription Agreement, the Subscriber authorizes the indirect collection of this information by each applicable securities regulatory authority or regulator and acknowledges that such information is made available to the public under applicable securities legislationother USBI clients.
Appears in 1 contract
Samples: Investment Advisory Agreement
Confidentiality and Privacy. By accepting the Subscription Agreement on behalf of the Fund, the Manager agrees that it will not collect any information about the Subscriber except that which is provided by the Subscriber in this Subscription Agreement or subsequently provided by the Subscriber (the “Subscriber Information”). The Manager agrees that it will keep all Subscriber Information confidential, and will use and disclose the Subscriber Information only for the purposes described below, unless: (a) the Manager informs the Subscriber of a proposed use or disclosure of the Subscriber Information, and the Subscriber consents; or (b) the use or disclosure is permitted by law to be made without the consent of the Subscriber, or is required by law, or by the by-laws, rules, regulations or policies of any regulatory organization governing the Fund. The Subscriber acknowledges and consents to the fact the Manager and the Fund are collecting the Subscriber Information for the purpose of completing the Subscriber’s subscription(s), effecting purchases of Units, providing the Subscriber with ongoing services and otherwise administering the Subscriber’s investment in the Fund. By executing this Subscription Agreement, the Subscriber acknowledges and consents to the Manager and the Fund retaining the Subscriber Information for as long as permitted or required by applicable law or business practices. The Subscriber further acknowledges and consents to the fact the Manager and the Fund may be required by applicable securities laws to provide to regulatory authorities any Subscriber Information provided by the Subscriber through the filing of reports of exempt trades and the filing of this Subscription Agreement with the relevant securities regulatory authorities. In addition, the Subscriber acknowledges that the Manager and the Fund are required to file a report of trade with all applicable securities regulatory authorities containing personal information about the Subscriber. The Subscriber acknowledges that he, she or it has been notified by the Manager or the Fund: (a) of such delivery of a report of trade from time to time, as required by applicable securities laws, containing the full name, residential address and telephone number of the Subscriber, the number and type of Units purchased, the total purchase price paid for such Units, the date of the purchase(s) and the prospectus exemption relied upon under applicable securities laws to complete such purchase(s); (b) that in Ontario, this information is collected indirectly by the Ontario Securities Commission (the “OSC”) under the authority granted to it under, and is being collected for the purposes of the administration and enforcement of, the securities legislation in Ontario; and (c) that the Subscriber may contact the Administrative Assistant to the Director of Corporate Finance at Xxxxx 0000, Xxx 00, 00 Xxxxx Xxxxxx Xxxx, Xxxxxxx, Xxxxxxx, X0X 0X0 or by telephone at (000) 000-0000 for more information regarding the indirect collection of such information by the OSC. By completing this Subscription Agreement, the Subscriber authorizes the indirect collection of this information by each applicable securities regulatory authority or regulator and acknowledges that such information is made available to the public under applicable securities legislationsecuritieslegislation.
Appears in 1 contract
Samples: Subscription Agreement
Confidentiality and Privacy. By accepting the Subscription Agreement on behalf of the Fund, the Manager agrees that it will not collect any information about the Subscriber except that which is provided by the Subscriber in this Subscription Agreement or subsequently provided by the Subscriber (the “Subscriber Information”). The Manager agrees that it will keep all Subscriber Information confidential, and will use and disclose the Subscriber Information only for the purposes described below, unless: (a) the Manager informs the Subscriber of a proposed use or disclosure of the Subscriber Information, and the Subscriber consents; or (b) the use or disclosure is permitted by law to be made without the consent of the Subscriber, or is required by law, or by the by-laws, rules, regulations or policies of any regulatory organization governing the Fund. The Subscriber acknowledges and consents to the fact the Manager and the Fund are collecting the Subscriber Information for the purpose of completing the Subscriber’s subscription(s), effecting purchases of Units, providing the Subscriber with ongoing services and otherwise administering the Subscriber’s investment in the Fund. By executing this Subscription Agreement, the Subscriber acknowledges and consents to the Manager and the Fund retaining the Subscriber Information for as long as permitted or required by applicable law or business practices. The Subscriber further acknowledges and consents to the fact the Manager and the Fund may be required by applicable securities laws to provide to the Canadian regulatory authorities any Subscriber Information provided by the Subscriber through the filing of reports of exempt trades and the filing of this Subscription Agreement with the relevant Canadian securities regulatory authorities. In addition, the Subscriber acknowledges that the Manager and the Fund are required to file a report of trade with all applicable Canadian securities regulatory authorities containing personal information about the Subscriber. The Subscriber acknowledges that he, she or it has been notified by the Manager or the Fund: (a) of such delivery of a report of trade from time to time, as required by applicable securities laws, containing the full name, residential address and telephone number of the Subscriber, the number and type of Units purchased, the total purchase price paid for such Units, the date of the purchase(s) and the prospectus exemption relied upon under applicable securities laws to complete such purchase(s); (b) that in Ontario, this information is collected indirectly by the Ontario Securities Commission (the “OSC”) under the authority granted to it under, and is being collected for the purposes of the administration and enforcement of, the securities legislation in Ontario; and (c) that the Subscriber may contact the Administrative Assistant to the Director of Corporate Finance at Xxxxx 0000, Xxx 00Inquiries Officer, 00 Xxxxx Xxxxxx Xxxx, 00xx Xxxxx, Xxxxxxx, Xxxxxxx, X0X 0X0 or by telephone at (000) 000-0000 for more information regarding the indirect collection of such information by the OSC. By completing this Subscription Agreement, the Subscriber authorizes the indirect collection of this information by each applicable Canadian securities regulatory authority or regulator and acknowledges that such information is made available to the public under applicable securities legislation.
Appears in 1 contract
Samples: Subscription Agreement
Confidentiality and Privacy. By accepting the Subscription Agreement on behalf Dealer agrees, and to cause its parent, subsidiaries, affiliates and employees, including, but not limited to, all Users, to keep confidential any and all proprietary information of the FundLender acquired in connection with this Agreement and not publish or disclose in any manner whatsoever such proprietary information to any other person. Any proprietary information of the Lender shall remain the property of the Lender and shall not in any manner be deemed licensed or transferred to the other Party. Dealer agrees that any proprietary information supplied to Dealer and/or its parent, subsidiaries, affiliates or employees, including, but not limited to Users, by the Manager Lender under this Agreement or acquired by the activities contemplated by this Agreement shall at the Lender’s request, be returned to the Lender upon the termination of the Agreement. Dealer acknowledges and agrees that irreparable injury will result to the Lender in the event of breach of Dealer of this obligation of confidentiality, that the Lender’s remedy at law for such breach is inadequate, and that the Lender, in addition to any money damages for any such breach, shall be entitled to temporary and permanent injunctive relief without the necessity of proving damages, and that the Lender shall not be required to post bond as a condition of such relief. This provision shall survive the termination or expiration of the Agreement. Each Party shall comply with all privacy and data protection laws, rules and regulations which are or which may in the future be applicable to the terms of the Agreement. Without limiting the generality of the preceding sentence, Dealer agrees that it will not collect use, nor disclose to any other party any nonpublic personal information, which it receives from a financial institution in connection with this Agreement, except as permitted under this Agreement. For purposes of this subsection, the terms “nonpublic personal information” and “financial institution” shall have the meaning set forth in Section 509 of the Xxxxx- Xxxxx-Xxxxxx Act (P.L 102-106) (15 U.S.C. Section 6809) and implementing regulations thereof. Dealer agrees to maintain the strictest level of confidentiality regarding the nonpublic personal information about of the Subscriber except that which is provided by the Subscriber in this Subscription Agreement or subsequently provided by the Subscriber (the “Subscriber Information”). The Manager agrees that it will keep all Subscriber Information confidentialmembers and non-member consumers of Lender, and will use specifically agrees to implement appropriate measures designed to meet the objectives of NCUA Rules and Regulations Part 748 and its Appendices A and B. As soon as possible, Dealer shall fully disclose the Subscriber Information only for the purposes described below, unless: (a) the Manager informs the Subscriber of a proposed use or disclosure of the Subscriber Information, and the Subscriber consents; or (b) the use or disclosure is permitted by law to be made without the consent of the Subscriber, or is required by law, or by the by-laws, rules, regulations or policies of any regulatory organization governing the Fund. The Subscriber acknowledges and consents to the fact Lender any breach in security resulting in unauthorized intrusions into Dealer’s systems that may materially affect Lender or its members. Dealer shall report to the Manager and the Fund are collecting the Subscriber Information for the purpose of completing the Subscriber’s subscription(s), effecting purchases of Units, providing the Subscriber with ongoing services and otherwise administering the Subscriber’s investment in the Fund. By executing this Subscription AgreementLender when such intrusions occur, the Subscriber acknowledges effect on the Lender and consents corrective action taken to respond to the Manager and the Fund retaining the Subscriber Information for as long as permitted or required by applicable law or business practices. The Subscriber further acknowledges and consents to the fact the Manager and the Fund may be required by applicable securities laws to provide to regulatory authorities any Subscriber Information provided by the Subscriber through the filing of reports of exempt trades and the filing of this Subscription Agreement with the relevant securities regulatory authorities. In addition, the Subscriber acknowledges that the Manager and the Fund are required to file a report of trade with all applicable securities regulatory authorities containing personal information about the Subscriber. The Subscriber acknowledges that he, she or it has been notified by the Manager or the Fund: (a) of such delivery of a report of trade from time to time, as required by applicable securities laws, containing the full name, residential address and telephone number of the Subscriber, the number and type of Units purchased, the total purchase price paid for such Units, the date of the purchase(s) and the prospectus exemption relied upon under applicable securities laws to complete such purchase(s); (b) that in Ontario, this information is collected indirectly by the Ontario Securities Commission (the “OSC”) under the authority granted to it under, and is being collected for the purposes of the administration and enforcement of, the securities legislation in Ontario; and (c) that the Subscriber may contact the Administrative Assistant to the Director of Corporate Finance at Xxxxx 0000, Xxx 00, 00 Xxxxx Xxxxxx Xxxx, Xxxxxxx, Xxxxxxx, X0X 0X0 or by telephone at (000) 000-0000 for more information regarding the indirect collection of such information by the OSC. By completing this Subscription Agreement, the Subscriber authorizes the indirect collection of this information by each applicable securities regulatory authority or regulator and acknowledges that such information is made available to the public under applicable securities legislationintrusion.
Appears in 1 contract
Samples: Dealer Agreement
Confidentiality and Privacy. By accepting the Subscription Agreement on behalf of the Fund, the Manager agrees that it will not collect any information about the Subscriber except that which is provided by the Subscriber in this Subscription Agreement or subsequently provided by the Subscriber (the “Subscriber Information”). The Manager agrees that it will keep all Subscriber Information confidential, and will use and disclose the Subscriber Information only for the purposes described below, unless: (a) the Manager informs the Subscriber of a proposed use or disclosure of the Subscriber Information, and the Subscriber consents; or (b) the use Unless you provide express consent or disclosure is permitted pursuant to a legal power, all information kept by law i2i Marketing Group, LLC regarding you, other than your name and address, is confidential and may not be disclosed by i2i Marketing Group, LLC to anyone other than: you or a person who in the reasonable judgment of i2i Marketing Group, LLC is seeking the information as your agent; another company or a person providing services to i2i Marketing Group, LLC or another portal, but only if the information is to be made without used for the consent of the Subscriberestablishment of, or is required by lawthe efficient and cost effective provision of, or by the by-laws, rules, regulations or policies of any regulatory organization governing the Fund. The Subscriber acknowledges and consents to the fact the Manager our service and the Fund are collecting disclosure is made on a confidential basis with the Subscriber Information information to be used only for that purpose; a directory or listing service company for the purpose of completing listing your name, address and phone number if you consent and if that company agrees to use the Subscriber’s subscription(s)information only for that purpose; an agent used by i2i Marketing Group, effecting purchases LLC to evaluate your credit or collect outstanding balances owed to i2i Marketing Group, LLC by you, if the agent requires the information and agrees to use the information only for that purpose; a public authority or its agent if i2i Marketing Group, LLC reasonably believes that there is imminent danger to life or property that could be avoided or minimized by disclosure of Unitsthe information; a law enforcement agency if i2i Marketing Group, providing LLC reasonably believes that you or anyone using the Subscriber with ongoing services and otherwise administering service is engaged in fraudulent or unlawful activities against i2i Marketing Group, LLC. Express consent may be taken to be given by you where you provide: written consent; oral confirmation verified by an independent third party; electronic confirmation through the Subscriber’s investment in use of a toll-free number; electronic confirmation via the Fund. By executing this Subscription AgreementInternet; oral consent, where an audio recording of the Subscriber acknowledges and consents to the Manager and the Fund retaining the Subscriber Information for consent is retained by i2i Marketing Group, LLC; or consent through other methods, as long as permitted an objective documented record of your consent is created by you or required by applicable law or business practicesan independent third party. The Subscriber further acknowledges and consents i2i Marketing Group, LLC liability for disclosure of information contrary to these terms is not limited by the limitation of liability set out above. You may inspect any i2i Marketing Group, LLC records related to the fact the Manager provision of your service, provided that you pay i2i Marketing Group, LLC’s related extraordinary costs. You may request that your name and the Fund may address not be required included on any list provided to any other person or used by applicable securities laws to provide to regulatory authorities any Subscriber Information provided by the Subscriber through the filing of reports of exempt trades and the filing of this Subscription Agreement with the relevant securities regulatory authorities. In additioni2i Marketing Group, the Subscriber acknowledges that the Manager and the Fund are required to file a report of trade with all applicable securities regulatory authorities containing personal information about the Subscriber. The Subscriber acknowledges that he, she or it has been notified by the Manager or the Fund: (a) of such delivery of a report of trade from time to time, as required by applicable securities laws, containing the full name, residential address and telephone number of the Subscriber, the number and type of Units purchased, the total purchase price paid for such Units, the date of the purchase(s) and the prospectus exemption relied upon under applicable securities laws to complete such purchase(s); (b) that in Ontario, this information is collected indirectly by the Ontario Securities Commission (the “OSC”) under the authority granted to it under, and is being collected for the purposes of the administration and enforcement of, the securities legislation in Ontario; and (c) that the Subscriber may contact the Administrative Assistant to the Director of Corporate Finance at Xxxxx 0000, Xxx 00, 00 Xxxxx Xxxxxx Xxxx, Xxxxxxx, Xxxxxxx, X0X 0X0 or by telephone at (000) 000-0000 for more information regarding the indirect collection of such information by the OSC. By completing this Subscription Agreement, the Subscriber authorizes the indirect collection of this information by each applicable securities regulatory authority or regulator and acknowledges that such information is made available to the public under applicable securities legislation.LLC
Appears in 1 contract
Samples: Nevada Canyon Gold Corp.
