Disclosure to Regulators Sample Clauses

Disclosure to Regulators. If USL receives any request for information on any Transaction relating to any of the Client’s Account by any regulators in Hong Kong or elsewhere including but not limited to the SFC and the Exchange, even if the Client’s account has been terminated prior to such request: (a) The Client hereby authorizes USL to provide the required information to the regulators according to the request, where USL already has such information; (b) The Client shall, upon USL’s request, provide the required information to USL or the relevant regulators within two (2) Business Days of such regulator’s request, where USL does not have such information; (c) The Client shall, within two (2) Business Days of such regulator’s request, inform USL or the relevant regulators of the identity, address, contact details and other relevant identification information of any beneficiary (“underlying client”) or originator of instructions in respect of the Client's Account, where the Client acts as an intermediary of and effects trades for the benefit of such third party(ies), and where the Client effects trades for discretionary accounts, discretionary trusts or collective investment schemes, the Client shall also provide USL or the relevant regulators with the identification information of such accounts, trusts or schemes and their managers, and whenever the manager’s discretion is overridden by the beneficiary or any other persons, the identification information of such beneficiary or any other persons who has overridden the manager’s discretion, and whenever the manager’s discretion is overridden, the Client shall immediately inform USL such information in writing; (d) The Client, where acting as an intermediary, shall make arrangements with such underlying client(s) or any third party(ies) to ensure or procure the provision of such identification information of its underlying clients, together with their written consents for the provision of such information and/or waivers of any benefits of the secrecy or personal data protection laws that prohibit disclosure, to the regulators; and (e) The Client shall, upon USL’s request, immediately provide, or authorize USL to provide, the aforesaid relevant identification information to any regulatory authority in Hong Kong or any other jurisdiction within two (2) Business Days of the regulator’s request.
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Disclosure to Regulators. If GTJAS receives any request for information on any Transaction relating to any of the Client’s Account (including where applicable information relating to the Client’s underlying clients and transactions therewith) by any regulators in Hong Kong or elsewhere including but not limited to the SFC and the Exchange, even if the Client’s account has been terminated prior to such request: (a) The Client hereby authorizes GTJAS to provide the required information to the regulators according to the request, where GTJAS already has such information; (b) The Client shall, upon GTJAS’s request, provide the required information to GTJAS or the relevant regulators within two (2) Business Days of such regulator’s request, where GTJAS does not have such information; (c) The Client will, within two (2) Business Days of such regulator’s request, inform GTJAS or the relevant regulators the identity, address, contact details and other relevant identification information (collectively the “identity information” or “identification information”) of any third party(ies), where the Client acts as an intermediary of and effect trades for the benefit of such third party(ies), if the Client effects a transaction for discretionary accounts, discretionary trusts and/or collective investment scheme, their identity information, those of their managers and whenever the manager’s discretion is overridden by other persons; (d) The Client, if it acts as an intermediary, shall make arrangements with such third party(ies) to ensure or procure the provision of such identity information of its underlying clients, including the written consent and/or waiver of any benefits of the secrecy or personal data protection laws that prohibits disclosure be made to the regulators; and (e) The Client will, upon GTJAS’ request, immediately provide directly or authorize GTJAS to provide the aforesaid relevant information to any government or regulatory authority in Hong Kong or any other jurisdiction. The Client agrees to indemnify GTJAS against all Loss incurred by GTJAS as a result of any delay or failure of the above obligations of the Client to provide information as requested by the regulator.
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Disclosure to Regulators. If Bigboss receives any legitimate request for information on any transaction relating to any of the Client’s Account by any regulators in Saint Xxxxxxx and the Grenadines, even if the Client’s Account has been terminated prior to such request: (a) the Client will provide the required information within two Business Days of Bigboss’s request; (b) the Client will, within two Business Days, inform Bigboss of the identity, address and contact details of any third party(ies), whereas the Client acts as an intermediary of and effect trades for the benefit of such third party(ies); (c) the Client will, upon Bigboss’s request, immediately provide or authorize Bigboss to provide the relevant information to any government or regulatory authority in any other jurisdiction.
Sample 1
Disclosure to Regulators. If GTJAS receives any request for information on any Transaction relating to any of the Client’s Account by any regulators in Hong Kong or elsewhere including but not limited to the SFC and the Exchange, even if the Client’s account has been terminated prior to such request: (a) The Client hereby authorizes GTJAS to provide the required information to the regulators according to the request, where GTJAS already has such information; (b) The Client shall, upon GTJAS’s request, provide the required information to GTJAS or the relevant regulators within two (2) Business Days of such regulator’s request, where GTJAS does not have such information; (c) The Client shall, within two
Sample 1
Disclosure to Regulators. If Suntek receives any request for information on any Transaction relating to any of the Account by any regulators in Hong Kong or elsewhere including but not limited to the SFC and the Exchange, even if the Account has been terminated prior to such request: (a) the Client shall provide the required information within two
Sample 1
Disclosure to Regulators. If BullBear receives any legitimate request for information on any transaction relating to any of the Client’s Account by any regulators in Georgia, even if the Client’s Account has been terminated prior to such request: (a) the Client will provide the required information within two Business Days of BullBear request; (b) the Client will, within two Business Days, inform BullBear of the identity, address and contact details of any third party(ies), whereas the Client acts as an intermediary of and effect trades for the benefit of such third party(ies); (c) the Client will, upon BullBear request, immediately provide or authorize BullBear to provide the relevant information to any government or regulatory authority in any other jurisdiction.
Sample 1
Disclosure to Regulators. If XXXXXXX receives any legitimate request for information on any Transaction relating to any of the Client’s Account by any regulators in Hong Kong including but not limited to the SFC and the Exchange, even if the Client’s Account has been terminated prior to such request: (a) the Client will provide the required information within two (2) Business Days of ZHANLIN ’s request; (b) the Client will , within two (2) Business Days, inform XXXXXXX or Hong Kong regulators of the identity, address and contact details of any third party(ies), whereas the Client acts as an intermediary of and effect trades for the benefit of such third party(is);(c)the Client will, upon XXXXXXX ’s request, immediately provide or authorize ZHANLIN to provide the relevant information to any government or regulatory authority in any other jurisdiction.
Sample 1
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Disclosure to Regulators. If USPL receives any request for information on any Transaction relating to any of the Client’s Account by any regulators in Singapore or elsewhere including but not limited to the MAS and the Exchange, even if the Client’s account has been terminated prior to such request: (a) the Client hereby authorises USPL to provide the required information to the regulators according to the request, where USPL already has such information; (b) the Client shall, upon USPL’s request, provide the required information to USPL or the relevant regulators within two (2) Business Days of such regulator’s request, where USPL does not have such information; (c) the Client shall, within two (2) Business Days of such regulator’s request, inform USPL or the relevant regulators of the identity, address, contact details and other relevant identification information of any beneficiary (“underlying client”) or originator of instructions in respect of the Client's Account, where the Client acts as an
Sample 1

Related to Disclosure to Regulators

  • Disclosure to FERC its Staff, or a State. Notwithstanding anything in this Article 22 to the contrary, and pursuant to 18 C.F.R. section 1b.20, if FERC or its staff, during the course of an investigation or otherwise, requests information from one of the Parties that is otherwise required to be maintained in confidence pursuant to this Agreement or the NYISO OATT, the Party shall provide the requested information to FERC or its staff, within the time provided for in the request for information. In providing the information to FERC or its staff, the Party must, consistent with 18 C.F.R. section 388.112, request that the information be treated as confidential and non-public by FERC and its staff and that the information be withheld from public disclosure. Parties are prohibited from notifying the other Parties to this Agreement prior to the release of the Confidential Information to the Commission or its staff. The Party shall notify the other Parties to the Agreement when it is notified by FERC or its staff that a request to release Confidential Information has been received by FERC, at which time the Parties may respond before such information would be made public, pursuant to 18 C.F.R. section 388.112. Requests from a state regulatory body conducting a confidential investigation shall be treated in a similar manner if consistent with the applicable state rules and regulations. A Party shall not be liable for any losses, consequential or otherwise, resulting from that Party divulging Confidential Information pursuant to a FERC or state regulatory body request under this paragraph.

  • Disclosure to Representatives Recipient agrees that it shall maintain the Confidential Information in strict confidence and that the Confidential Information shall not, without Provider’s prior written consent, be disclosed by Recipient or by its affiliates, or their respective officers, directors, partners, employees, agents, or representatives (collectively, “Representatives”) in any manner whatsoever, in whole or in part, and shall not be used by Recipient or by its Representatives other than in connection with the Solicitation and the evaluation or negotiation of the Agreement; provided that, PG&E may use Confidential Information, consolidated with other market information and not specifically attributed to the Provider, to analyze or forecast market conditions or prices, for its own internal use or in the context of regulatory or other proceedings. Moreover, Recipient agrees to transmit the Confidential Information only to such of its Representatives who need to know the Confidential Information for the sole purpose of assisting Recipient with such permitted uses, as applicable; provided that, Recipient shall inform its Representatives of this Confidentiality Agreement and secure their agreement to abide in all material respects by its terms. In any event, Recipient shall be fully liable for any breach of this Confidentiality Agreement by its Representatives as though committed by Recipient itself.

  • Securities Laws Disclosure; Publicity The Company shall (a) by the Disclosure Time, issue a press release disclosing the material terms of the transactions contemplated hereby, and (b) file a Current Report on Form 8-K, including the Transaction Documents as exhibits thereto, with the Commission within the time required by the Exchange Act. From and after the issuance of such press release, the Company represents to the Purchasers that it shall have publicly disclosed all material, non-public information delivered to any of the Purchasers by the Company or any of its Subsidiaries, or any of their respective officers, directors, employees or agents in connection with the transactions contemplated by the Transaction Documents. In addition, effective upon the issuance of such press release, the Company acknowledges and agrees that any and all confidentiality or similar obligations under any agreement, whether written or oral, between the Company, any of its Subsidiaries or any of their respective officers, directors, agents, employees or Affiliates on the one hand, and any of the Purchasers or any of their Affiliates on the other hand, shall terminate. The Company and each Purchaser shall consult with each other in issuing any other press releases with respect to the transactions contemplated hereby, and neither the Company nor any Purchaser shall issue any such press release nor otherwise make any such public statement without the prior consent of the Company, with respect to any press release of any Purchaser, or without the prior consent of each Purchaser, with respect to any press release of the Company, which consent shall not unreasonably be withheld or delayed, except if such disclosure is required by law, in which case the disclosing party shall promptly provide the other party with prior notice of such public statement or communication. Notwithstanding the foregoing, the Company shall not publicly disclose the name of any Purchaser, or include the name of any Purchaser in any filing with the Commission or any regulatory agency or Trading Market, without the prior written consent of such Purchaser, except (a) as required by federal securities law in connection with the filing of final Transaction Documents with the Commission and (b) to the extent such disclosure is required by law or Trading Market regulations, in which case the Company shall provide the Purchasers with prior notice of such disclosure permitted under this clause (b).

  • Securities Law Information The Participant acknowledges that he or she is permitted to sell the Shares acquired under the Plan through the designated broker appointed by the Company, provided the sale of the Shares takes place outside of Canada through facilities of a stock exchange on which the Shares are listed (i.e., the NYSE).

  • Disclosure to FERC or its Staff Notwithstanding anything in this Section 17 to the contrary, and pursuant to 18 C.F.R. § 1b.20, if FERC or its staff, during the course of an investigation or otherwise, requests information from one of the Interconnection Parties that is otherwise required to be maintained in confidence pursuant to this Interconnection Service Agreement, the Interconnection Party, shall provide the requested information to FERC or its staff, within the time provided for in the request for information. In providing the information to FERC or its staff, the Interconnection Party must, consistent with 18 C.F.R. § 388.122, request that the information be treated as confidential and non-public by FERC and its staff and that the information be withheld from public disclosure. Interconnection Parties are prohibited from notifying the other Interconnection Parties prior to the release of the Confidential Information to the Commission or its staff. An Interconnection Party shall notify the other Interconnection Parties to the Interconnection Service Agreement when it is notified by FERC or its staff that a request to release Confidential Information has been received by FERC, at which time any of the Interconnection Parties may respond before such information would be made public, pursuant to 18 C.F.R. § 388.112.

  • Disclosure to Third Parties The Company shall have the right to disclose to third parties, in whatever manner the Company may determine, the fact that this Agreement has been executed, the names of the parties to this Agreement and the terms hereof.

  • Compliance with Applicable Laws; Distribution of Prospectus and Reports; Confirmations In connection with its respective activities hereunder, each party agrees to abide by the Conduct Rules of FINRA and all other rules of self-regulatory organizations of which the relevant party is a member, as well as all laws, rules and regulations, including federal and state securities laws, that are applicable to the relevant party (and its associated persons) from time to time in connection with its activities hereunder (“Applicable Laws”). You are authorized to distribute to your customers the current Prospectus, as well as any supplemental sales material received from the Fund or the Distributor (acting on behalf of the Fund) (on the terms and for the period specified by us or stated in such material). You are not authorized to distribute, furnish or display any other sales or promotional material relating to a Fund without our prior written approval, but you may identify the Funds in a listing of mutual funds available through you to your customers. Unless otherwise mutually agreed in writing, you shall deliver or cause to be delivered to each customer who purchases shares of any Funds from or through you, copies of all annual and interim reports, proxy solicitation materials, and any other information and materials relating to such Funds and prepared by or on behalf of the Funds or us. If required by Rule 10b-10 under the Securities Exchange Act or other Applicable Laws, you shall send or cause to be sent confirmations or other reports to your customers containing such information as may be required by Applicable Laws.

  • Transactions Requiring Disclosure to FINRA 2.17.1 Finder’s Fees. There are no claims, payments, arrangements, agreements or understandings relating to the payment of a finder’s, consulting or origination fee by the Company or any Insider with respect to the sale of the Securities hereunder or any other arrangements, agreements or understandings of the Company or to the Company’s knowledge, assuming reasonable inquiry, any Insider that may affect the Underwriters’ compensation, as determined by FINRA.

  • Authorization to Release and Transfer Necessary Personal Information The Grantee hereby explicitly and unambiguously consents to the collection, use and transfer, in electronic or other form, of the Grantee’s personal data by and among, as applicable, the Company and its Subsidiaries for the exclusive purpose of implementing, administering and managing the Grantee’s participation in the Plan. The Grantee understands that the Company may hold certain personal information about the Grantee, including, but not limited to, the Grantee’s name, home address and telephone number, date of birth, social security number (or any other social or national identification number), salary, nationality, job title, number of Award Units and/or shares of Common Stock held and the details of all Award Units or any other entitlement to shares of Common Stock awarded, cancelled, vested, unvested or outstanding for the purpose of implementing, administering and managing the Grantee’s participation in the Plan (the “Data”). The Grantee understands that the Data may be transferred to the Company or to any third parties assisting in the implementation, administration and management of the Plan, that these recipients may be located in the Grantee’s country or elsewhere, and that any recipient’s country (e.g., the United States) may have different data privacy laws and protections than the Grantee’s country. The Grantee understands that he or she may request a list with the names and addresses of any potential recipients of the Data by contacting his or her local human resources representative or the Company’s stock plan administrator. The Grantee authorizes the recipients to receive, possess, use, retain and transfer the Data, in electronic or other form, for the sole purpose of implementing, administering and managing the Grantee’s participation in the Plan, including any requisite transfer of such Data to a broker or other third party assisting with the administration of Award Units under the Plan or with whom shares of Common Stock acquired pursuant to the vesting of the Award Units or cash from the sale of such shares may be deposited. Furthermore, the Grantee acknowledges and understands that the transfer of the Data to the Company or to any third parties is necessary for the Grantee’s participation in the Plan. The Grantee understands that the Grantee may, at any time, view the Data, request additional information about the storage and processing of the Data, require any necessary amendments to the Data or refuse or withdraw the consents herein by contacting the Grantee’s local human resources representative or the Company’s stock plan administrator in writing. The Grantee further acknowledges that withdrawal of consent may affect his or her ability to vest in or realize benefits from the Award Units, and the Grantee’s ability to participate in the Plan. For more information on the consequences of refusal to consent or withdrawal of consent, the Grantee understands that he or she may contact his or her local human resources representative or the Company’s stock plan administrator.

  • ADV Disclosure The Adviser has provided the Trust with a copy of its Form ADV as most recently filed with the Commission and will, promptly after filing any amendment to its Form ADV with the Commission, furnish a copy of such amendments to the Trust. The information contained in the Adviser’s Form ADV is accurate and complete in all material respects and does not omit to state any material fact necessary in order to make the statements made, in light of the circumstances under which they were made, not misleading.

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