Customer Complaint Reporting and Customer Notification Sample Clauses

Customer Complaint Reporting and Customer Notification. Broker authorizes and instructs Pershing to forward promptly, to the extent required by applicable law or regulation, any written customer complaint received by Pershing regarding Broker and/or its associated persons relating to functions and responsibilities allocated to Broker under this Agreement to a) Broker and b) Broker’s DEA designated under Section 17 of the Securities and Exchange Act of 1934, as amended, or, if none, to Broker’s appropriate regulatory agency or authority. Further, to the extent required by applicable law or regulation, Broker authorizes Pershing to notify the customer, in writing, that Pershing has received the complaint, and the complaint has been forwarded to the Broker and the Broker’s DEA (or, if none, to the appropriate regulatory agency).
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Customer Complaint Reporting and Customer Notification. Broker authorizes and instructs First Clearing to forward promptly any written customer complaint received by First Clearing regarding Broker and/or its associated persons relating to functions and responsibilities allocated to Broker under this Agreement to a) Broker and b) Broker’s DEA designated under Section 17 of the Securities and Exchange Act of 1934, as amended, or, if none, to Broker’s appropriate regulatory agency or authority. Further, Broker authorizes First Clearing to notify the customer, in writing, that First Clearing has received the complaint, and the complaint has been forwarded to Broker’s DEA (or, if none, to the appropriate regulatory agency).
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Customer Complaint Reporting and Customer Notification. Introducing Firm authorizes and instructs Clearing Agent to forward promptly any written customer complaint received by Clearing Agent regarding Introducing Firm and/or its associated persons relating to functions and responsibilities allocated to Introducing Firm under this Agreement to a) Introducing Firm and b) Introducing Firm’s DEA designated under Section 17 of the Securities Exchange Act of 1934, as amended, or, if none, to Introducing Firm’s appropriate regulatory agency or authority. Further, Introducing Firm authorizes Clearing Agent to notify the customer, in writing, that Clearing Agent has received the complaint, and that the complaint has been forwarded to Introducing Firm’s DEA (or, if none, to the appropriate regulatory agency). Consistent with its regulatory obligations, Introducing Firm shall be responsible for investigating and responding all such complaints. Clearing Firm authorizes and instructs Introducing Broker to forward promptly any written customer complaint received by Introducing Broker regarding Clearing Agent and/or its associated persons relating to functions and responsibilities allocated to Clearing Agent under this Agreement to a) Clearing Agent and b) Clearing Agent’s DEA designated under Section 17 of the Securities Exchange Act of 1934, as amended, or, if none, to Clearing Agent’s appropriate regulatory agency or authority. Further, Clearing Agent authorizes Introducing Firm to notify the customer, in writing, that Introducing Firm has received the complaint, and that the complaint has been forwarded to Clearing Firm’s DEA (or, if none, to the appropriate regulatory agency). Consistent with its regulatory obligations, Clearing Agent shall be responsible for investigating and responding all such complaints.
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Customer Complaint Reporting and Customer Notification. Broker authorizes and instructs Pershing to forward promptly any written customer complaint received by Pershing regarding Broker and/or its associated persons relating to functions and responsibilities allocated to Broker under this Agreement to a) Broker and b) Broker’s designated examining authority (“DEA”) designated under Section 17 of the Securities and Exchange Act of 1933 or, if none, to Broker’s appropriate regulatory agency or authority. Further, Broker authorizes Pershing to notify the customer, in writing, that Pershing has received the complaint, and the complaint has been forwarded to Broker’s DEA (or, if none, to the appropriate regulatory agency).
Sample 1
Customer Complaint Reporting and Customer Notification. Broker authorizes and instructs Fortis to forward promptly any written customer complaint received by Fortis regarding Broker and/or its associated persons relating to functions and responsibilities allocated to Broker under this Agreement to a) Broker and b) Broker's DEA designated under Section 17 of the Securities and Exchange Act of 1934, as amended, or, if none, to Broker's appropriate regulatory agency or authority. Further, Broker authorizes Fortis to notify the customer, in writing, that Fortis has received the complaint, and the complaint has been forwarded to Broker's DEA (or, if none, to the appropriate regulatory agency).
Sample 1
Customer Complaint Reporting and Customer Notification. Broker authorizes and instructs Pershing to forward promptly any written customer complaint received by Pershing regarding Broker and/or its associated persons relating to functions and responsibilities allocated to Broker under this Agreement to a) Broker and b) Broker's designated examining authority ("DEA") designated under
Sample 1
Customer Complaint Reporting and Customer Notification. Company authorizes and instructs DriveWealth to forward promptly any written Customer complaint received by DriveWealth regarding Company and/or its associated persons relating to functions and responsibilities allocated to Company under this Agreement to Company and, as applicable, Company’s appropriate regulatory agency or authority. Further, Company authorizes DriveWealth to notify the Customer, in writing, that DriveWealth has received the complaint, and the complaint has been forwarded to Company.
Sample 1
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Customer Complaint Reporting and Customer Notification. Broker authorizes and instructs Pershing to forward promptly anx xxxxxxn customer complaint received by Pershing regarding Broker and/or xxx xxxociated persons relating to functions and responsibilities allocated to Broker under this Agreement to a) Broker and b) Broker's designated examining authority ("DEA") designated under Section 17 of the Securities and Exchange Act of 1933 -or, if none, to Broker's appropriate regulatory agency or authority. Further, Broker authorizes Pershing to nxxxxx the customer, xx-xxiting, that Pershing has received the complxxxx, xnd the complaint has been forwarded to Broker's DEA (or, if none, to the xxxxxpriate regulatory agency).
Sample 1
Customer Complaint Reporting and Customer Notification. Introducing Firm authorizes and instructs Clearing Agent to forward promptly any written customer complaint received by Clearing Agent regarding Introducing Firm and/or its associated persons relating to functions and responsibilities allocated to Introducing Firm under this Agreement to a) Introducing Firm and b) Introducing Firm’s DEA designated under Section 17 of the Securities Exchange Act of 1934, as amended, or, if none, to Introducing Firm’s appropriate regulatory agency or authority. Further, Introducing Firm authorizes Clearing Agent to notify the customer, in writing, that Clearing Agent has received the complaint, and that the complaint has been forwarded to Introducing Firm’s DEA (or, if none, to the appropriate regulatory agency).
Sample 1

Related to Customer Complaint Reporting and Customer Notification

  • Customer Notification By executing this Agreement, the Advisor acknowledges that as required by the Advisers Act the Sub-Advisor has supplied to the Advisor and the Trust copies of the Sub-Advisor’s Form ADV with all exhibits and attachments (including the Sub-Advisor’s statement of financial condition) and will promptly supply to the Advisor copies of all amendments or restatements of such document. Otherwise, the Advisor’s rights under federal law allow termination of this contract without penalty within five business days after entering into this contract. U.S. law also requires the Sub-Advisor to obtain, verify, and record information that identifies each person or entity that opens an account. The Sub-Advisor will ask for the Trust’s legal name, principal place of business address, and Taxpayer Identification or other identification number, and may ask for other identifying information.

  • Customer Complaints Each party hereby agrees to promptly provide to the other party copies of any written or otherwise documented complaints from customers of Dealer received by such party relating in any way to the Offering (including, but not limited to, the manner in which the Shares are offered by the Dealer Manager or Dealer), the Shares or the Company.

  • Customer Identification Program Notice To help the U.S. government fight the funding of terrorism and money laundering activities, U.S. Federal law requires each financial institution to obtain, verify, and record certain information that identifies each person who initially opens an account with that financial institution on or after October 1, 2003. Certain of PNC’s affiliates are financial institutions, and PNC may, as a matter of policy, request (or may have already requested) the Fund’s name, address and taxpayer identification number or other government-issued identification number, and, if such party is a natural person, that party’s date of birth. PNC may also ask (and may have already asked) for additional identifying information, and PNC may take steps (and may have already taken steps) to verify the authenticity and accuracy of these data elements.

  • Safeguarding Customer Information The Servicer has implemented and will maintain security measures designed to meet the objectives of the Interagency Guidelines Establishing Standards for Safeguarding Customer Information published in final form on February 1, 2001, 66 Fed. Reg. 8616 and the rules promulgated thereunder, as amended from time to time (the “Guidelines”). The Servicer shall promptly provide the Master Servicer, the Trustee and the NIMS Insurer information reasonably available to it regarding such security measures upon the reasonable request of the Master Servicer, the Trustee and the NIMS Insurer which information shall include, but not be limited to, any Statement on Auditing Standards (SAS) No. 70 report covering the Servicer’s operations, and any other audit reports, summaries of test results or equivalent measures taken by the Servicer with respect to its security measures to the extent reasonably necessary in order for the Seller to satisfy its obligations under the Guidelines.

  • Account Reporting Information Italian residents who, at any time during the fiscal year, hold foreign financial assets (including cash and shares of Common Stock) which may generate income taxable in Italy are required to report these assets on their annual tax returns (UNICO Form, RW Schedule) for the year during which the assets are held, or on a special form if no tax return is due. These reporting obligations will also apply to Italian residents who are the beneficial owners of foreign financial assets under Italian money laundering provisions.

  • Contact with Customers and Suppliers Until the Closing Date, the Buyer shall not, and shall cause its Affiliates and direct its other Representatives not to, contact or communicate with the employees, customers, suppliers, distributors or licensors of the Acquired Entities, or any other Persons having a business relationship with the Acquired Entities, concerning the transactions contemplated hereby or any of the foregoing relationships without the prior written consent of the Seller.

  • Adverse Event Reporting Both Parties acknowledge the obligation to comply with the Protocol and / or applicable regulations governing the collection and reporting of adverse events of which they may become aware during the course of the Clinical Trial. Both Parties agree to fulfil and ensure that their Agents fulfil regulatory requirements with respect to the reporting of adverse events.

  • Privacy of Customer Information Company Customer Information in the possession of the Agent, other than information independently obtained by the Agent and not derived in any manner from or using information obtained under or in connection with this Agreement, is and shall remain confidential and proprietary information of the Companies. Except in accordance with this Section 10.10, the Agent shall not use any Company Customer Information for any purpose, including the marketing of products or services to, or the solicitation of business from, Customers, or disclose any Company Customer Information to any Person, including any of the Agent’s employees, agents or contractors or any third party not affiliated with the Agent. The Agent may use or disclose Company Customer Information only to the extent necessary (i) for examination and audit of the Agent’s activities, books and records by the Agent’s regulatory authorities, (ii) to protect or exercise the Agent’s, the Custodian’s and the Lenders’ rights and privileges or (iii) to carry out the Agent’s, the Custodian’s and the Lenders’ express obligations under this Agreement and the other Facilities Papers (including providing Company Customer Information to Approved Investors), and for no other purpose; provided that the Agent may also use and disclose the Company Customer Information as expressly permitted by the relevant Company in writing, to the extent that such express permission is in accordance with the Privacy Requirements. The Agent shall take commercially reasonable steps to ensure that each Person to which the Agent intends to disclose Company Customer Information, before any such disclosure of information, agrees to keep confidential any such Company Customer Information and to use or disclose such Company Customer Information only to the extent necessary to protect or exercise the Agent’s, the Custodian’s and the Lenders’ rights and privileges, or to carry out the Agent’s, the Custodian’s and the Lenders’ express obligations, under this Agreement and the other Facilities Papers (including providing Company Customer Information to Approved Investors). The Agent agrees to maintain an Information Security Program and to assess, manage and control risks relating to the security and confidentiality of Company Customer Information pursuant to such program in the same manner as the Agent does so in respect of their own customers’ information, and shall implement the standards relating to such risks in the manner set forth in the Interagency Guidelines Establishing Standards for Safeguarding Company Customer Information set forth in 12 CFR Parts 30, 208, 211, 225, 263, 308, 364, 568 and 570. Without limiting the scope of the foregoing sentence, the Agent shall use at least the same physical and other security measures to protect all Company Customer Information in the Agent’s possession or control as the Agent uses for their own customers’ confidential and proprietary information.

  • Billing Services Manager shall provide, or cause to be provided, the following billing services to P.C.:

  • Customer Support If Customer is entitled to receive Customer Support as part of a separately purchased Service Plan, Sage warrants that while Customer’s Service Plan is in effect and if it has paid all required Service Plan fees, Sage will use qualified personnel to provide Customer Support in a professional manner consistent with industry standards. Customer’s sole remedy under this section 5.2 is limited to Sage’s re-performance of the Customer Support services giving rise to Customer’s claim.

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