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.
Sample 1Sample 2Sample 3See All (7)
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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.
Sample 1Sample 2
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 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 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 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 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 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
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
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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 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 Third Parties (a) Notwithstanding the foregoing provisions of Section 7.1, the Parties may disclose Confidential Information belonging to the other Party:

  • Disclosure Program Prior to the GSK Effective Date, GSK and its Affiliates established a Disclosure Program that includes a mechanism (the toll free “Integrity Helpline”) to enable individuals to disclose, to the Compliance Officer or some other person who is not in the disclosing individual’s chain of command, any identified issues or questions associated with GSK’s or a GSK Affiliate’s policies, conduct, practices, or procedures with respect to a Federal health care program or an FDA requirement (including as they relate to CGMP Activities) believed by the individual to be a potential violation of criminal, civil, or administrative law. The Integrity Helpline may be used by employees of third party suppliers that contract with GSK. GSK and its Affiliates publicize, and shall continue to appropriately publicize, the existence of the Disclosure Program and the Integrity Helpline (e.g., via periodic e-mails to employees, by posting the information in prominent common areas, or through references in the Code of Conduct and during training.) GlaxoSmithKline LLC Corporate Integrity Agreement The Disclosure Program shall emphasize a nonretribution, non-retaliation policy and shall include a reporting mechanism for anonymous communications for which appropriate confidentiality shall be maintained. Upon receipt of a disclosure, the Compliance Officer (or designee) shall gather all relevant information from the disclosing individual. The Compliance Officer (or designee) shall make a preliminary, good faith inquiry into the allegations set forth in every disclosure to ensure that it obtains all necessary information to determine whether a further review should be conducted. For any disclosure that is sufficiently specific so that it reasonably: (1) permits a determination of the appropriateness of the alleged improper practice; and (2) provides an opportunity for taking corrective action, GSK and/or any applicable Affiliate shall conduct an internal review of the allegations set forth in the disclosure and ensure that proper follow-up is conducted. GSK shall maintain, a disclosure log, which includes a record and summary of each disclosure received (whether anonymous or not), the status of the respective internal reviews, and any corrective action taken in response to the internal reviews. This disclosure log shall be made available to OIG upon request.

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