Customer Complaint Reporting and Customer Notification Sample Clauses
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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).
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).
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.
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).
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).
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
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).
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.
Customer Complaint Reporting and Customer Notification. Broker authorizes and instructs Pershing to forward promptly an▇ ▇▇▇▇▇▇n customer complaint received by Pershing regarding Broker and/or ▇▇▇ ▇▇▇ociated 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 n▇▇▇▇▇ the customer, ▇▇-▇▇iting, that Pershing has received the compl▇▇▇▇, ▇nd the complaint has been forwarded to Broker's DEA (or, if none, to the ▇▇▇▇▇priate regulatory agency).