Wellness Program Nothing in this Agreement shall prevent a department or agency from recommending experimental “fitness” type programs and reward programs involving wellness promotion activities. Any such activities shall be funded from the department’s separate appropriation, after review by the Benefits Advisory Committee and approval by the Secretary of Administration, or designee.
COVID-19 Vaccine Passports Pursuant to Texas Health and Safety Code, Section 161.0085(c), Contractor certifies that it does not require its customers to provide any documentation certifying the customer’s COVID-19 vaccination or post-transmission recovery on entry to, to gain access to, or to receive service from the Contractor’s business. Contractor acknowledges that such a vaccine or recovery requirement would make Contractor ineligible for a state-funded contract.
Research Independence The Company acknowledges that each Underwriter’s research analysts and research departments, if any, are required to be independent from their respective investment banking divisions and are subject to certain regulations and internal policies, and that such Underwriter’s research analysts may hold and make statements or investment recommendations and/or publish research reports with respect to the Company and/or the offering that differ from the views of its investment bankers. The Company hereby waives and releases, to the fullest extent permitted by law, any claims that the Company may have against such Underwriter with respect to any conflict of interest that may arise from the fact that the views expressed by their independent research analysts and research departments may be different from or inconsistent with the views or advice communicated to the Company by such Underwriter’s investment banking divisions. The Company acknowledges that the Representative is a full service securities firm and as such from time to time, subject to applicable securities laws, may effect transactions for its own account or the account of its customers and hold long or short position in debt or equity securities of the Company.
MERCURY ADDED CONSUMER PRODUCTS Contractor agrees that it will not sell or distribute fever thermometers containing mercury or any products containing elemental mercury for any purpose under this Contract.
Pharmacy Services The Contractor shall establish a network of pharmacies. The Contractor or its PBM must provide at least two (2) pharmacy providers within thirty (30) miles or thirty (30) minutes from a member’s residence in each county, as well as at least two (2) durable medical equipment providers in each county or contiguous county.
Orientation Program The Company will allow a designated representative of the Local or Bargaining Unit up to one (1) hour per calendar month for the purpose of conducting the Communications, Energy and Paperworkers Union New Members’ Orientation Program. Such meetings will be conducted during the probationary period of employees, and will be held on Company premises. Employees participating in Orientation Program meetings during their normally scheduled working hours will not suffer loss of pay at their regular rate. Orientation Program meetings will be scheduled by Management and a Management representative may attend as an observer.
Training Program It is agreed that there shall be an Apprenticeship Training Program, the provisions of which are set forth in Exhibit "D", which is attached hereto and forms part of this Agreement.
Training Programs All employees shall successfully complete all necessary training prior to being assigned work (e.g., all employees will complete health and safety training prior to being assigned to task). Nothing in this Article or provision shall constitute a waiver of either party’s bargaining obligations or defenses. The Employer still has an obligation to notify and bargain changes in terms and conditions of employment with the exclusive representative.
AGREED FACTS Registration History 7. Since June 2006, the Respondent has been registered in Ontario as a mutual fund salesperson (now known as a dealing representative)1 with WFG Securities Inc. (the “Member”), a Member of the MFDA.
8. At all material times, the Respondent conducted business in the Vaughan, Ontario area.
9. At all material times, the Member’s policies and procedures prohibited Approved Persons from signing a client’s name to a document.
10. Between January 2018 and September 2018, while the Respondent was an Approved Person of the Member, the Respondent signed the initials of clients on 8 trade tickets next to alterations he made to information on the trade tickets, and submitted them to the Member for processing.
11. The alterations made by the Respondent on the trade tickets included alterations to: trade instructions, client signature dates and special instructions.
12. At all material times, the Member’s policies and procedures prohibited Approved Persons from altering information on a signed document without the client initialing the document to show that the changes were approved.
13. In May 2018, while the Respondent was an Approved Person of the Member, he altered 1 account form in respect of 1 client by altering information on a trade ticket without having the client initial the alterations, and used this altered form to process a transaction. 1 In September 2009, the registration category mutual fund salesperson was changed to “dealing representative” when National Instrument 31-103 came into force.
14. The Respondent altered the trading instructions, special instructions and representative commission percentage on the trade ticket without having the client initial these alterations.
15. At all material times, the Member’s policies and procedures prohibited Approved Persons from holding an account form which was signed by a client and was blank or only partially completed.
16. Between January 2015 and October 2018, while the Respondent was an Approved Person of the Member, he obtained, possessed and used to process transactions, 30 pre-signed account forms in respect of 21 clients.
17. The pre-signed account forms consisted of: 25 Trade Tickets, 3 New Account Application Forms and 2 Non Financial Information Update Forms.
Existing Products Except as set forth below, Contractor shall retain all rights, title and interest in Existing Products.
