Disclosures of Information Regarding Legal Events and Disciplinary History Sample Clauses

Disclosures of Information Regarding Legal Events and Disciplinary History. The Rule requires that all municipal advisors provide to their clients certain disclosures of legal or disciplinary events material to a client’s evaluation of the municipal advisor or the integrity of the municipal advisor’s management or advisory personnel. Accordingly, Xxxxx Xxxxxxx sets out below required disclosures and related information in connection with such disclosures.
Sample 1Sample 2Sample 3See All (9)
AutoNDA by SimpleDocs
Disclosures of Information Regarding Legal Events and Disciplinary History. MSRB Rule G-42 requires that municipal advisors provide to their clients certain disclosures of legal or disciplinary events material to its client’s evaluation of the municipal advisor or the integrity of the municipal advisor’s management or advisory personnel. Accordingly, the Firm sets out below required disclosures and related information in connection with such disclosures.
Sample 1Sample 2Sample 3See All (8)
Disclosures of Information Regarding Legal Events and Disciplinary History. MSRB Rule G-42 requires that municipal advisors provide to their Issuers certain disclosures of legal or disciplinary events material to its Issuer’s evaluation of the municipal advisor or the integrity of the municipal advisor’s management or advisory personnel. Accordingly, Xxxxxxx Xxxxx sets out below required disclosures and related information in connection with such disclosures. Xxxxxxx Xxxxx discloses the following legal or disciplinary events that may be material to the Issuer’s evaluation of Xxxxxxx Xxxxx or the integrity of Xxxxxxx Xxxxx’x management or advisory personnel: We are aware of no such events at this time. Should such an event happen in the future, the details of such event would be available in Item 6D(2)(b) and the accompanying Regulatory Action DRP on Form MA-I available at: xxxx://xxx.xxx.xxx/cgi-bin/browse- xxxxx?action=getcompany&CIK=0000724743&owner=exclude&count=40&hidefilings=0. The SEC permits certain items of information required on Form MA or MA-I to be provided by reference to such required information already filed by Xxxxxxx Xxxxx in its capacity as a broker-dealer on Form BD or Form U4 or as an investment adviser on Form ADV, as applicable. If any of the above DRPs provides that a DRP has been filed on Form ADV, BD, or U4 for the applicable event, information provided by Xxxxxxx Xxxxx on Form BD or Form U4 is publicly accessible through reports generated by BrokerCheck at xxxx://xxxxxxxxxxx.xxxxx.xxx, and Xxxxxxx Xxxxx’x most recent Form ADV is publicly accessible at the Investment Adviser Public Disclosure website at xxxx://xxx.xxxxxxxxxxx.xxx.xxx. For purposes of accessing such Broker Check reports or Form ADV, Xxxxxxx Xxxxx’x CRD number is 000 00 0000. How to Access Form MA and Form MA-I Filings. Xxxxxxx Xxxxx’x most recent Form MA and each most recent Form MA-I filed with the SEC are available on the SEC’s XXXXX system at xxxx://xxx.xxx.xxx/cgi-bin/browse-xxxxx?action=getcompany&CIK=000 072 4743. The SEC permits certain items of information required on Form MA or MA-I to be provided by reference to such required information already filed by Xxxxxxx Xxxxx in its capacity as a broker- dealer on Form BD or Form U4 or as an investment adviser on Form ADV, as applicable. Information provided by Xxxxxxx Xxxxx on Form BD or Form U4 is publicly accessible through reports generated by BrokerCheck at xxxx://xxxxxxxxxxx.xxxxx.xxx, and Xxxxxxx Xxxxx’x most recent Form ADV is publicly accessible at the Investment Adviser Public ...
Sample 1

Related to Disclosures of Information Regarding Legal Events and Disciplinary History

  • Permitted Uses and Disclosures of Protected Health Information Business Associate:

  • Special Formalities and Disclosure of Information 1. Nothing in Articles 5 (National Treatment) or 6 (Most Favoured-Nation Treatment) shall be construed to prevent a Member State from adopting or maintaining a measure that prescribes special formalities in connection with investments, including a requirement that investments be legally constituted or assume a certain legal form under the laws or regulations of the Member State and compliance with registration requirements, provided that such formalities do not materially impair the rights afforded by a Member State to investors of another Member State and investments pursuant to this Agreement.

  • Use and Disclosure of Protected Health Information The Business Associate must not use or further disclose protected health information other than as permitted or required by the Contract or as required by law. The Business Associate must not use or further disclose protected health information in a manner that would violate the requirements of HIPAA Regulations.

  • CONFIDENTIALITY/SAFEGUARDING OF INFORMATION The CONTRACTOR shall not use or disclose any information concerning the AGENCY, or information that may be classified as confidential, for any purpose not directly connected with the administration of this contract, except with prior written consent of the AGENCY, or as may be required by law.

  • Permitted Uses and Disclosures of PHI 2.1 Unless otherwise limited herein, Business Associate may:

  • Permitted Uses and Disclosures of Phi by Business Associate Except as otherwise indicated in this Agreement, Business Associate may use or disclose PHI, inclusive of de-identified data derived from such PHI, only to perform functions, activities or services specified in this Agreement on behalf of DHCS, provided that such use or disclosure would not violate HIPAA or other applicable laws if done by DHCS.

  • CONFIDENTIALITY OF PERSONAL INFORMATION ‌ 35 Provider shall protect all Personal Information, records and data from unauthorized disclosure 36 in accordance with 42 CFR §431.300 through §431.307, RCWs 70.02, 71.05, 71.34 and for 37 individuals receiving SUD services, in accordance with 42 CFR Part 2 and WAC 388-877B. 38 Provider shall have a process in place to ensure all components of its provider network and 39 system understand and comply with confidentiality requirements for publicly funded 40 behavioral health services. Pursuant to 42 CFR §431.301 and §431.302, personal information 41 concerning applicants and recipients may be disclosed for purposes directly connected with 42 the administration of this Contract and the State Medicaid Plan. Provider shall read and 43 comply with all HIPAA policies.

  • Accessibility of Web-Based Information and Applications For State Agency Authorized User Acquisitions: Any web-based information and applications development, or programming delivered pursuant to the contract or procurement, will comply with New York State Enterprise IT Policy NYS-P08-005, Accessibility of Web-Based Information and Applications as follows: Any web-based information and applications development, or programming delivered pursuant to the contract or procurement, will comply with New York State Enterprise IT Policy NYS-P08- 005, Accessibility of Web-Based Information and Applications as such policy may be amended, modified or superseded, which requires that state agency web-based information and applications are accessible to persons with disabilities. Web-based information and applications must conform to New York State Enterprise IT Policy NYS-P08-005 as determined by quality assurance testing. Such quality assurance testing will be conducted by the State Agency Authorized User and the results of such testing must be satisfactory to the Authorized User before web-based information and applications will be considered a qualified deliverable under the contract or procurement.

  • Confidentiality of Information 8.1. By accessing this EHSAN AUCTIONEERS SDN. BHD. website, the E-Bidders acknowledge and agree that EHSAN AUCTIONEERS SDN. BHD. website may collect, retain, or disclose the E-Bidder’s information or any information by the e-bidders for the effectiveness of services, and the collected, retained or disclosed information shall comply with Personal Data Protection Act 2010 and any regulations, laws or rules applicable from time to time.

  • Use and Disclosure of Confidential Information Notwithstanding anything to the contrary contained in this Agreement, and in addition to and not in lieu of other provisions in this Agreement:

Time is Money Join Law Insider Premium to draft better contracts faster.