Contraventions. The execution, delivery and performance by each Group Company of the Finance Documents do not:
Contraventions. 4. The Respondent admits to the following violations of the By-laws, Rules or Policies of the MFDA:
Contraventions. In case the trustee establishes that the domain name as such or the contents posted on the web site accessible via the domain name contravene applicable law, in particular penal regulations, he has the right to have the domain deleted without any prior warning and to terminate this contract with immediate effect.
Contraventions. 4. The Respondent admits to the following violations of the Mutual Fund Dealer Rules1:
Contraventions. 4. The Respondent admits to the following violations of the By-laws, Rules or Policies of the MFDA: Between November 2018 and June 2019, the Respondent altered client contact information on the Member’s system without the knowledge or authorization of the client, which had the effect of avoiding the Member’s supervisory and training controls and impacted its ability to communicate with clients, contrary to MFDA Rules 2.1.1, and 2.1.4.1
Contraventions. 37. The Respondent admits that:
Contraventions. The execution, delivery and performance by each Security Company and WGI of the Financing Documents and Material Contracts to which it is a party does not:
Contraventions. If the Company determines you have contravened this clause 12 then the Company may immediately and without notice to you terminate or suspend your Account and/or use of the Services and you will forfeit any fees or payments you are entitled to under these Terms. You will not be eligible to become or remain a Funded Trader if your Trading activities contravene the Restrictions of this clause 12.2 and you agree the Company may review your Trading activities at any time to determine if such contraventions have occurred.
Contraventions. If the TRUSTEE establishes that the domain name itself or the contents posted on the web site accessible via the domain name contravene applicable law of the Republic of Korea, in particular its criminal provisions, The TRUSTEE has the right to have the domain cancelled without any prior warning and to terminate this contract with immediate effect.
Contraventions. 22. In or about August 2002, the Respondent forged the signature of 7 clients on various letters of authorization regarding securities transfers and also guaranteed the signature of 20 clients without witnessing or properly authenticating those signatures, thereby engaging in conduct unbecoming a registrant or detrimental to the public interest, contrary to Association By-law 29.1.
