Customer and Customer Account Information Sample Clauses

Customer and Customer Account Information. In addition to the submission of order and trade data, broker-dealer CAT Reporters must also submit customer information to the CAT so that the order and trade data can be matched to the specific customer.25 SEC Rule 613(c)(7) sets forth data recording and reporting requirements that must be included in the CAT NMS Plan. Under SEC Rule 613(c)(7)(i)(A), the CAT NMS Plan must require each CAT Reporter to record and report “Customer-ID(s) for each customer” when reporting to the CAT order receipt or origination information.26 When reporting the modification or cancellation of an order, the rule further requires the reporting of “the Customer-ID of the 19 RFP Question 49. 20 RFP Questions 59-60. 21 RFP Question 62. 22 RFP Question 63. 23 SEC Rule 613 and Sections 6.3 and 6.4 of the CAT NMS Plan permit certain other information to be reported by 8:00 a.m. Eastern Time on the Trading Day following the day the CAT Reporter receives the information. See SEC Rule 613(c)(4), (c)(7)(vi)-(viii). 24 SIFMA’s recommendations to the Participants regarding the CAT indicates support for the ability of Data Submitters to submit data in batch or near-real-time reporting. See SIFMA Recommendations, at 55. 25 As noted above, the term “customer” means “(i) [t]he account holder(s) of the account at a broker-dealer originating an order, and (ii) [a]ny person from whom the broker-dealer is authorized to accept trading instructions for such account, if different than the account holder(s).” SEC Rule 613(j)(3). 26 SEC Rule 613(c)(7)(i)(A). Person giving the modification or cancellation instruction.”27 In addition, SEC Rule 613(c)(8) mandates that all CAT Reporters “use the same Customer-ID . . . for each customer and broker-dealer.”28 For purposes of SEC Rule 613, “Customer-ID” means, “with respect to a customer, a code that uniquely identifies such customer for purposes of providing data to the central repository.”29 Also, SEC Rule 613(c)(7)(viii) requires that, for original receipt or origination of an order, CAT Reporters report “customer account information,” which is defined as including “account number, account type, customer type, date account opened, and large trader identifier (if applicable).”30 After considering the requirements of SEC Rule 613 with respect to recording and reporting Customer-IDs, Customer Account Information, and information of sufficient detail to identify the Customer as well as industry input and the Commission’s reasons for adopting these requirements...
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Customer and Customer Account Information. In addition to the submission of order and trade data, broker-dealer CAT Reporters must also submit customer information to the CAT so that the order and trade data can be matched to 18 See SEC Rule 613(c)(7). 19 RFP Question 49.‌ 20 RFP Questions 59-60. 21 RFP Question 62. 22 RFP Question 63. 23 SEC Rule 613 and Sections 6.3 and 6.4 of the CAT NMS Plan permit certain other information to be reported by 8:00 a.m. Eastern Time on the Trading Day following the day the CAT Reporter receives the information. See SEC Rule 613(c)(4), (c)(7)(vi)-(viii).
Sample 1

Related to Customer and Customer Account Information

  • Processing of Customer Personal Data 3.1 UKG will:

  • Customer Access The Customer is responsible for the access to the Cloud Services and is responsible for maintaining the confidentiality of its access methods such as usernames and passwords and agrees to notify the Supplier via the Cloud Services support channel if a password is compromised. The Customer is responsible for all activities that occur under its Account.

  • Account Information The account balance and transaction history information may be limited to recent account information involving your accounts. Also, the availability of funds for transfer or withdrawal may be limited due to the processing time for any ATM deposit transactions and our Funds Availability Policy.

  • Customer Account Customer must have an account and an alphanumeric key uniquely associated with Customer’s account (a “Token”), to the extent applicable, to use the Products and Services, and Customer is responsible for:

  • Customer Focus Is dedicated to meeting the expectations and requirements of internal and external customers; gets first hand customer information and uses it for improvements in products and services; acts with customers in mind; establishes and maintains effective relationships with customers and gains their trust and respect Integrity and Trust Is widely trusted; is seen as a direct, truthful individual; can present the unvarnished truth in an appropriate and helpful manner; keeps confidences; admits mistakes; doesn’t misrepresent him/herself for personal gain. Drive For Results Can be counted on to exceed goals successfully; Is constantly and consistently one of the top performers; very bottom line oriented; steadfastly pushes self and others for results. Role Specific Competencies Priority Setting Spends his/her time and the time of others on what’s important; quickly zeros in on the critical few and puts the trivial many aside; can quickly sense what will help or hinder accomplishing a goal; eliminates roadblocks, creates focus. Managing and Measuring Work Clearly assigns responsibility for tasks and decisions; sets clear objectives and measures; monitors process, progress, and results; designs feedback loops into work. Interpersonal Savvy Relates well to all kinds of people - up, down, and sideways, inside and outside the organization; builds appropriate rapport; builds constructive and effective relationships; uses diplomacy and tact; can defuse even high-tension situations comfortably. KEY RELATIONSHIPS Within Southern DHB External to Southern DHB • Chief Nursing and Midwifery Officer • Patients, Families and Xxxxxx • Directors of Nursing • Nursing Council/Midwifery Council • Associate Directors of Nursing • Unions • Directorate Leadership Team • Other District Health Boards • Clinical Nurse Co-ordinators • HWNZ • Nursing Staff • NZNO and other relevant professional colleges of nursing and midwifery • Medical Staff • Community Members • Allied Health Staff • Educational Institutions • Administration Staff • PHO • Southern DHB wide staff • GP’s • Duty Manager(s) • NGO’s and Aged Care Sector PERSON SPECIFICATION The expertise required for a person to be fully competent in the role. Position specific competencies: ESSENTIAL DESIRABLE Education and Qualifications (or equivalent level of learning) • Registration as a Registered Nurse with the Nursing Council of New Zealand. • Hold a current Nursing Council of New Zealand Annual Practising Certificate. • Competent Professional Development and Recognition Programme (PDRP) profile/portfolio or equivalent. Experience • One years’ post graduate (Nurse Entry to Practice or equivalent) experience, or be undertaking this currently. • Please refer to area specific person specification if applicable. • Experience in an equivalent clinical setting to which you are being employed into. Knowledge and Skills • Advanced communication techniques such as conflict resolution, diffusion and mediation skills. • Demonstrate professional accountability within scope of practice.

  • CUSTOMER SERVICE ACCESS The Competitive Supplier agrees to provide, or cause to be provided, certain customer services to Participating Consumers. Such services shall be reasonably accessible to all Participating Consumers, shall be available during normal working hours, shall allow Participating Consumers to transact business they may have with the Competitive Supplier, and shall serve as a communications liaison among the Competitive Supplier, the Town, and the Local Distributor. A toll-free telephone number will be established by Competitive Supplier and be available for Participating Consumers to contact Competitive Supplier during normal business hours (9:00 A.M. - 5:00 P.M. Eastern Standard Time, Monday through Friday) to resolve concerns, answer questions and transact business with respect to the service received from Competitive Supplier. The Town will post program-related information on the Town’s website which will be available to Participating Consumers for general information, product and service information, and other purposes.

  • Access to Customer Data You agree that we may, for the purposes of providing Maintenance and Customer Support and/or for the purpose of otherwise protecting the integrity of the Software, access and/or download your Customer Data on a limited basis.

  • SAP Customer ID The parties agree that services ordered through Individual Orders shall be applied exclusively to the SAP customer IDs specified in the Order Form and the training services shall be used solely by Users.

  • Customer Feedback The contractor is expected to establish and maintain professional communication between its employees and customers. The primary objective of this communication is customer satisfaction. Customer satisfaction is the most significant external indicator of the success and effectiveness of all services provided and can be measured through customer complaints and surveys. Performance management drives the contractor to be customer focused through initially and internally addressing customer complaints and investigating the issues and/or problems but the customer always has the option to communicate complaints to the PM, as opposed to the contractor. Customer feedback may also be obtained either from the results of formal customer satisfaction surveys or from random customer complaints. Any customer complaints will be investigated by the PM using the Quality Assurance Monitoring Form – Customer Complaint Investigation, identified in Attachment A4.

  • Customer Cooperation 3.2.1. Customer shall provide and make available all Customer personnel as may be further addressed in an applicable Order Form or that SAP reasonably requires in connection with performance of the Services.

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