Financial Intermediary Information Sample Clauses

Financial Intermediary Information. Pursuant to Decree No. 32 on the Protection of the Value of the Turkish Currency (“Decree 32”) and Communiqué No. 2008-32/34 on Decree No. 32, any activity related to investments in foreign securities (e.g., the sale of Shares acquired under the Plan) must be conducted through a bank or financial intermediary institution licensed by the Turkish Capital Markets Board and should be reported to the Turkish Capital Markets Board. You are solely responsible for complying with this requirement and should contact your personal legal advisor for further information regarding your obligations in this respect.
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Financial Intermediary Information. You shall provide to us and the Funds such information as shall reasonably be requested by us or the Funds with respect to the compensation paid to other registered and qualified retail dealers you may select to sell Shares through in connection with this Agreement, as well as any other information as is reasonably necessary to permit the Board of Trustees of the Funds to consider and make decisions relating to the shareholder services plans of the Funds. You acknowledges that it is reasonable for us and the Funds to request that you provide written reports from time to time of the amounts of compensation paid to other registered and qualified retail dealers you may select to sell Shares through under this Agreement and the purposes for which such compensation was used. You agree to provide any additional information and/or materials reasonably requested by us and/or the Funds in connection with any periodic due diligence and compliance reviews conducted by us or the Funds, including without limitation any Financial Intermediary Controls and Compliance Assessment (XXXXX) Reports and SSAE 16 Reports. Please indicate your acceptance of these changes by executing two copies of this letter, returning one to us and retaining one copy for your record. Upon your acceptance, (1) Schedule A will be replaced with the revised version attached below, effective as of March 29, 2016, and (2) the Agreement will be amended to include a new Section 8 as indicated in the preceding paragraph. Regards, UBS ASSET MANAGEMENT (US) INC. By: /s/ Xxxxx X. Xxxxxx By: /s/ Xxxx Xxxxxxx Name: Xxxxx X. Xxxxxx Name: Xxxx Xxxxxxx Title: Executive Director & Senior Associate General Counsel Title: Director & Associate General Counsel Accepted and Agreed to: UBS FINANCIAL SERVICES INC. By: /s/ Xxxxx Xxxxxxx By: /s/ Xxxxx Xxxxxxx Name: Xxxxx Xxxxxxx Name: Xxxxx Xxxxxxx Title: Managing Director Title: Executive Director (Amended and Restated Schedule A to Selected Dealer Agreement dated as of September 18, 2008, as amended, pertaining to UBS Money Series – Investor Series. This revised Schedule A is effective as of March 29, 2016.) SCHEDULE A LIST OF FUNDS UBS Select Prime Investor Fund UBS Select Treasury Investor Fund UBS Select Tax-Free Investor fund UBS Prime Investor Fund
Sample 1
Financial Intermediary Information. In certain circumstances, residents of Türkiye are permitted to sell shares of Common Stock traded on a non-Türkiye stock exchange only through a financial intermediary licensed in Türkiye. Therefore, residents of Türkiye may be required to appoint a Türkiye broker to assist with the sale of the shares of Common Stock acquired under the Plan. Residents of Türkiye should consult their personal legal advisor before selling any shares of Common Stock acquired under the Plan to confirm the applicability of this requirement. UKRAINE
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Financial Intermediary Information. You shall provide to us and the Funds such information as shall reasonably be requested by us or the Funds with respect to the compensation paid to other registered and qualified retail dealers you may select to sell Shares through in connection with this Agreement, as well as any other information as is reasonably necessary to permit the Board of Trustees of the Funds to consider and make decisions relating to the shareholder services plans of the Funds. You acknowledge that it is reasonable for us and the Funds to request that you provide written reports from time to time of the amounts of compensation paid to other registered and qualified retail dealers you may select to sell Shares through under this Agreement and the purposes for which such compensation was used. You agree to provide any additional information and/or materials reasonably requested by us and/or the Funds in connection with any periodic due diligence and compliance reviews conducted by us or the Funds, including without limitation any Financial Intermediary Controls and Compliance Assessment (XXXXX) Reports and SSAE 16 Reports. Please indicate your acceptance of these changes by executing two copies of this letter, returning one to us and retaining one copy for your record. Upon your acceptance, (1) Schedule A will be replaced with the revised version attached below, effective as of March 29, 2016,
Sample 1

Related to Financial Intermediary Information

  • Financial and Business Information The Company shall deliver to each holder of Notes that is an Institutional Investor:

  • Financial Information, etc The Administrative Agent shall have received:

  • Derivative Counterparty Financial Information ▪ Determining current maximum probable exposure Depositor ▪ Determining current significance percentage Depositor ▪ Requesting required financial information (including any required accountants’ consent to the use thereof) or effecting incorporation by reference Depositor *This information need only be reported on the Form 10-D for the distribution period in which updated information is required pursuant to the Items. ADDITIONAL FORM 10-D DISCLOSURE Item on Form 10-D Party Responsible Item 8: Other Information Disclose any information required to be reported on Form 8-K during the period covered by the Form 10-D but not reported Any party responsible for the applicable Form 8-K Disclosure item Item 9: Exhibits Distribution Date Statement to Certificateholders Securities Administrator Exhibits required by Item 601 of Regulation S-K, such as material agreements Depositor EXHIBIT M ADDITIONAL FORM 10-K DISCLOSURE ADDITIONAL FORM 10-K DISCLOSURE Item on Form 10-K Party Responsible Item 1B: Unresolved Staff Comments Depositor Item 9B: Other Information Disclose any information required to be reported on Form 8-K during the fourth quarter covered by the Form 10-K but not reported Any party responsible for disclosure items on Form 8-K Item 15: Exhibits, Financial Statement Schedules Securities Administrator Depositor Reg AB Item 1112(b): Significant Obligors of Pool Assets Significant Obligor Financial Information* Depositor *This information need only be reported on the Form 10-D for the distribution period in which updated information is required pursuant to the Item. Reg AB Item 1114(b)(2): Credit Enhancement Provider Financial Information ▪ Determining applicable disclosure threshold Depositor ▪ Requesting required financial information (including any required accountants’ consent to the use thereof) or effecting incorporation by reference Depositor *This information need only be reported on the Form 10-D for the distribution period in which updated information is required pursuant to the Items. Reg AB Item 1115(b): Derivative Counterparty Financial Information ▪ Determining current maximum probable exposure Depositor ▪ Determining current significance percentage Depositor ▪ Requesting required financial information (including any required accountants’ consent to the use thereof) or effecting incorporation by reference Depositor *This information need only be reported on the Form 10-D for the distribution period in which updated information is required pursuant to the Items. ADDITIONAL FORM 10-K DISCLOSURE Item on Form 10-K Party Responsible Reg AB Item 1117: Legal Proceedings Any legal proceeding pending against the following entities or their respective property, that is material to Certificateholders, including any proceedings known to be contemplated by governmental authorities: ▪ Issuing Entity (Trust Fund) Trustee, Master Servicer, Securities Administrator and Depositor ▪ Sponsor (Seller) Seller (if a party to the Pooling and Servicing Agreement) or Depositor ▪ Depositor Depositor ▪ Trustee Trustee ▪ Securities Administrator Securities Administrator ▪ Master Servicer Master Servicer ▪ Custodian Custodian ▪ 1110(b) Originator Depositor ▪ Any 1108(a)(2) Servicer (other than the Master Servicer or the Securities Administrator) Servicer (as to itself) ▪ Any other party contemplated by 1100(d)(1) Depositor

  • Additional Financial Information (a) In addition to all other information required to be provided pursuant to this Article 6, the Borrower promptly shall provide the Agent (and any guarantor of the Liabilities), with such other and additional information concerning the Borrower, the Collateral, the operation of the Borrower’s business, and the Borrower’s financial condition, including original counterparts of financial reports and statements, as the Agent may from time to time reasonably request from the Borrower.

  • Basic Financial Information The Company will furnish the following reports to each Holder:

  • Basic Financial Information and Reporting (a) The Company will maintain true books and records of account in which full and correct entries will be made of all its business transactions pursuant to a system of accounting established and administered in accordance with generally accepted accounting principles consistently applied, and will set aside on its books all such proper accruals and reserves as shall be required under generally accepted accounting principles consistently applied.

  • Confidential Financial Information The Parties will treat all financial information subject to review under this ARTICLE VIII or under any sublicense agreement as Confidential Information of such Party as set forth in ARTICLE IX, and will cause its accounting firm to retain all such financial information in confidence under terms substantially similar to those set forth in ARTICLE IX and with respect to each inspection, the independent accounting firm will be obliged to execute for each Party’s benefit a reasonable confidentiality agreement prior to commencing any such inspection.

  • Certain Financial Information Within twenty-five (25) Business Days after the end of each month between the date hereof and the earlier of the Closing Date and the date on which this Agreement is terminated, the Company shall deliver to Parent unaudited consolidated financial information for such month and management commentary on the business performance during such month.

  • Confidential Information and Restricted Activities Employee has entered into the Company’s Employee Proprietary Information Agreement (“EPIA”) and acknowledges his or her obligations thereunder. The EPIA is specifically incorporated into this Agreement.

  • Access to Financial Information Buyer’s representatives shall have access to, and Seller and its Affiliates shall cooperate with Buyer and furnish upon request, all financial and other information relating to the Hotel’s operations to the extent necessary to enable Buyer’s representatives to prepare audited financial statements in conformity with Regulation S-X of the Securities and Exchange Commission (the “SEC”) and other applicable rules and regulations of the SEC and to enable them to prepare a registration statement, report or disclosure statement for filing with the SEC on behalf of Buyer or its Affiliates, whether before or after Closing and regardless of whether such information is included in the Records to be transferred to Buyer hereunder. Seller shall also provide to Buyer’s representative a signed representation letter in form and substance reasonably acceptable to Seller sufficient to enable an independent public accountant to render an opinion on the financial statements related to the Hotel. Buyer will reimburse Seller for costs reasonably incurred by Seller to comply with the requirements of the preceding sentence to the extent that Seller is required to incur costs not in the ordinary course of business for third parties to provide such representation letters. The provisions of this Section shall survive Closing or termination of this Contract.

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