Information Barriers. Where necessary we maintain arrangements which restrict access by our employees to information relating to areas of our business (and that of Affiliates) with which, and the affairs of clients with whom, they are not directly concerned. Accordingly, we shall not be required to have regard to or disclose to you.
Information Barriers. CESL prevents the flow of information where the interests of customers of one business function may conflict with the interests of customers of another business function. This includes using a separate network with no shared systems and customer data access between the two business functions. Further, CESL insists on strict customer confidentiality to ensure that information is disclosed only to those entitled to receive it.
Information Barriers. Where necessary we maintain arrangements which restrict access by our employees to information relating to areas of our business (and that of Affiliates) with which, and the affairs of clients with whom, they are not directly concerned. Accordingly, we shall not be required to have regard to or disclose to you or make use of any information which belongs to or is confidential to another client or to us or any Affiliate, and we may be unable to advise or deal with you in relation to particular investments without disclosing the reason for this. 信息障碍。 在有需要的情况下，我们会作出合适的安排以约束员工在没适当原因下对我们（或我们的相连公司）的商业和客户知讯的作出检索。相应地，我们不必看待或向您披露或利用任何可能属于其他客户、我们或我们的相连公司的或对其他客户、我们或我们的相连公司不作公开的资料，而我们因此可能在不能透露俱体情况下不就某些投资产品为您提出意见或成交。
Information Barriers. 9.13.1 Each Related Warehouse shall maintain effective information barriers between it and the relevant Trading Company as specified by the Exchange from time- to-time as set out in the Notice: Information barriers between Warehouse Companies and Trading Companies (Ref: 14/202: A195: W098), or any successor notice. The Related Warehouse shall engage a firm of professional accountants in public practice, the choice to be agreed with the Exchange, to assure that the information barriers it has in place meet the criteria specified by the Exchange, under such assurance standard(s) and in such manner as the Exchange may specify from time to time.
Information Barriers. Where necessary we maintain arrangements which restrict access by our employees to information relating to areas of our business (and that of Affiliates) with which, and the affairs of clients with whom, they are not directly concerned. Accordingly, we shall not be required to have regard to or disclose to you or make use of any information which belongs to or is confidential to another client or to us or any Affiliate, and we may be unable to advise or deal with you in relation to particular investments without disclosing the reason for this.
11.5 Deals using a connected broker. Where a material connection exists between us and a connected broker, you hereby agree that you do not require us to give you notice of that. 12. CONFLICT OF INTERESTS حلاصملا براضت
12.1 Conflicts Policy. We are required to have arrangements in place to manage conflicts of interest between us and our clients and between different clients. We operate in accordance with a conflicts of interest policy we have put in place for this purpose in which we have identified those situations in which there may be a conflict of interest, and in each case, the steps we have taken to manage that conflict. A summary of our conflicts policy is available on the website of XXXXX.xxx UK [xxx.xxxxx.xxx/xx] [Retail Clients only]. براضتلا ةرادإ كلذكو ،انبلبمع نٌبو اننٌب ةمباقلا حلاصملا نٌب براضتلاو عزانتلا ةرادلإ ةمزلبلا ةبسانملا تابٌترتلا عضوب نومزلم نحن :حلاصملا براضت ةساٌس 12-1 ةٌعون ةساٌسلا هذه ًف انددح دقو ؛حلاصملا نٌب امٌف براضتلاو عزانتلا ةرادلإ اصٌصخ اهانعضو ةددحم ةساٌسل اقبط لمعن نحنف ؛ءلبمعلا ؾلتخم حلاصم نٌب امٌف مباقلا عقوملا ىلع كلوخدبو ؛براضتلا اذه ةجلاعمو ةهجاومل تلااحلا هذه نم ةلاح لك ًف اهذاختا انٌلع بحٌ ًتلا تاءارجلإاو ،براضتلا اذه لثم اهٌف رهظٌ دق ًتلا تلااحلا .عازنلا ةرادإ ًف انتساٌسل زجوم ناٌب ىلع علبطلإا كنكمٌ ]طقف ةبزجتلا ءلبمعب صاخلا عقوملا[ ]xxx.xxxxx.xxx/uk[ :XXXXX.xxx UK ةكرشل ًنورتكللإا
Information Barriers. You acknowledge and agree that:
10.1. you have established information barriers between the persons or entities within the Participant Group which are responsible for:
(a) making decisions in relation to your or their participation in the Facility; and
(b) trading, or making investment decisions in relation to, equity investments, and that those information barriers comply with the minimum standards for effective information barriers identified in Practice Statement No. 25 published by the Takeover Panel Executive on 17 June 2009 and amended on 19 September 2011 (the “Information Barriers”); and
10.2. you will maintain the Information Barriers, and ensure that the Confidential Information may not be accessed by any persons or entities within the Participant Group who hold or may acquire shares in the Target or who are or may be otherwise interested in shares carrying voting rights in the Target, until the end of the Relevant Period.
Information Barriers. The Company (i) acknowledges that the Investor has advised the Company that the Investor and its Affiliates are in the business of holding, investing and trading in securities, and (ii) so long as no information is disclosed in violation of Section 2.5, agrees that this Agreement shall not in any way restrict or limit the activities of the Investor, any of its Affiliates or any of their respective employees (or, for the avoidance of doubt, the Investor Nominee) in the business of holding, investing and trading in securities so long as such activities are in compliance with applicable securities laws, including, but not limited to, where (A) such activities are undertaken by the Investor, employees and/or their Affiliates (or, for the avoidance of doubt, the Investor Nominee) that are not then in possession of Confidential Information constituting material non-public information of the Company, (B) the Investor Nominee is subject to information barriers designed to protect the flow of Confidential Information constituting material non-public information to the Investor, other employees and Affiliates or (C) an affirmative defense pursuant to paragraph (c) of Rule 10b5-1 under the Exchange Act of 1934 is otherwise available.
Information Barriers. 4.1.1.1 Imperfect information about risk It is claimed that oftentimes people present imprecise perceptions of risk, which could result from probability weighting or mental shortcuts to cope with the (intangible) costs of gathering information (Xxxxxx et al., 2016). Understanding whether agents are capable of accurately assessing the level of risk is important, since perceived risk has been found to affect insurance demand (Xxxxxx, 2017), more so than scientifically estimated risk (Xxxx & Xxxxxxx, 1992). Several studies conducted over the last two decades suggest that people in Greece (Diakakis et al., 2018), Italy (Xx Xxxx & Xxxxxxx, 2018; Xxxxx et al., 2021; Xxxxxxx et al., 2014; Xxxxxxxx et al., 2012), the Netherlands (Botzen et al., 2009a, 2015; Xxx, Botzen, Blasch, et al., 2020), the UK (X.
Information Barriers. As noted above, this request for exemptive relief requires the specialist and affiliated organization to have Exchange approval under NYSE Rule 98 and its Guidelines. NYSE Rule 98 affords exemptive relief for entities in a control relationship with a specialist organization from restrictions in NYSE Rule 104, 104.13, 105, 113.20 and 460.10 that would otherwise be applicable to such entities’ transactions in securities in which the specialist organization is registered, or to business transaction with the issuers of such securities. Pursuant to Rule 98 and the implementing guidelines promulgated thereunder, the specialist organization and the affiliated entity must be operated as separate and distinct organizations, and information barriers must be established that place substantial limits on access to, and communication of, trading information, including positions and strategies, between the two organizations. Rule 98 exemptive relief is conditioned on the organizations’ receiving prior written approval from the Exchange. The functional separation procedures that must be implemented pursuant to Rule 98 preclude the transfer of market-sensitive information between a specialist organization and an affiliate, and minimize potential conflicts of interest whereby one entity might otherwise be inclined to take market action for the purpose of benefiting the other entity. The Exchange notes that the procedures specified in Rule 98 are consistent with procedures pertaining to the establishment of information barriers, monitoring of such barriers, and notice (in the case of Rule 98, to the Exchange) as described in the Commission’s recent exemptive letter to CS Holding (TP File No. 94–267). Through Exchange Rule 342 (Supervision), each member organization afforded exemptive relief under Rule 98 is required to monitor the procedures adopted to comply with the Guidelines. The Exchange inspects its member organizations afforded such relief on an annual basis for adherence to these supervisory requirements. Since the adoption of Rule 10b–6 in 1955, the Exchange has made substantial investments in sophisticated surveillance procedures, including comprehensive audit trail submissions by member firms, and extensive use of software analytics designed to assist in reviewing this and other data available for such surveillance. For example, the Market Analysis and Reconstruction System (MARS) enables Exchange analysts to retrieve and review trading information dynamically and...
Information Barriers. The JPMC Group has established physical and electronic Information Barriers which are designed to prevent the exchange or misuse of material, non-public information obtained by various “insider” businesses of JPMC Group Employees within an “insider” business unit are prohibited from inappropriately passing on sensitive information to those in an “outside” business unit who cannot access the information. An Information barrier means that employees sit in separate premises with access and security control and Compliance Department monitoring. Asset Management
