Other Client Representations and Warranties. (i) If the Client is not an individual (e.g., is a corporation, unincorporated business, partnership or trust), the Client and each of the Client's authorised representatives represent and warrant that, as of the date of this Agreement and each time they place an order and/or execute a Transaction: (a) it is duly incorporated and validly existing under the laws of its place of organisation or formation; (b) it has, and will have, pursuant to its articles of incorporation, partnership agreement, charter, by-laws, operating agreement or other governing document(s) ("Governing Documents") and the jurisdictions in which the Client is registered, authorised, and/or regulated, the power and authority to enter into, exercise its rights, and perform or comply with its obligations under this Agreement and each order; (c) it has, and will have, pursuant to its Governing Documents and the jurisdictions in which the Client is registered, authorised, and/or regulated, the power and authority to trade the securities, options, futures, and other investment products to be traded in the Client's account; (d) it has and will have taken all necessary action to authorise the exercise, performance, and execution of this Agreement and any other document relating to this Agreement to which the Client is a party; (e) it is under no legal incapacity; (f) it is financially sophisticated; (g) it has sufficient experience with, and is knowledgeable about, the risks and characteristics of the securities, options, futures, and other investment products to be traded in the Client's account; and (h) the persons which the Client identifies to IBIE as authorised to enter orders and trade on behalf of the Client have full authority to do so. (ii) If the Client is a trust, the term "Client" as used herein refers to the Trust and/or the Trustees. The Trustee(s) hereby represent(s) that: (a) There are no other Trustees of the Trust other than those identified in the documents required to open and operate the Client’s account (“Account Application Materials”); (b) IBIE and its affiliates have the authority to accept orders and other instructions relative to this account from the Trustee(s). Trustee(s) hereby certifies(y) that IBIE and its affiliates are authorised to follow the instructions of any Trustee and to deliver funds, securities, or any other assets in this account to any Trustee or on any Trustee's instructions, including delivering assets to a Trustee personally. IBIE and any of its affiliates, in their respective sole discretion and for their respective sole protection, may require the written consent of any or all Trustee(s) prior to acting upon the instructions of any Trustee; (c) Trustee(s) has (have) the power under the Trust, the documents governing the Trust ("Trust Agreement") and applicable law to enter into this Agreement and open the type of IBIE account applied for, and to enter into Transactions and issue instructions for this account. To the extent that the following activities are permitted for the type of account being opened, such powers may include, without limitation, the authority to buy, sell (including short sales), exchange, convert, tender, redeem and withdraw assets (including delivery of securities to and from the account) to trade securities on margin or otherwise (including the purchase and/or sale of option contracts), and/or the authority to trade futures and/or options on futures, for and at the risk of the Trust; (d) Should only one Trustee execute this Agreement, it shall be a representation that such Trustee has the authority, pursuant to the Trust Agreement, to execute this Agreement and to enter into transactions and issue instructions for this account as described above, without acknowledgement or consent by the other Trustees; (e) Trustee(s) certifies(y) that any and all Transactions effected and instructions given regarding this account will be in full compliance with the Trust, the Trust Agreement, and Applicable Laws; (f) Trustee(s), jointly and severally, shall indemnify IBIE and its affiliates and hold IBIE and its affiliates harmless from any claim, loss, expense or other liability for effecting any Transactions, and acting upon any instructions given by the Trustee(s); (g) Trustee(s), agree(s) to inform IBIE of any material change in any information provided in the Account Application Materials by an e-mail addressed to the IBIE Customer Service Department at xxxx@xxxxxxxxxxxxxxxxxx.xxx; and (h) Trustee(s) represent(s) that the statements and certifications made herein and the information provided in the account application process are true and correct, and authorises IBIE and any of its affiliates to confirm their accuracy as it deems necessary. (iii) If the Client is a regulated entity or affiliated with a regulated entity: the Client represents and warrants to IBIE that, as at the date of this Agreement and each time it places an order and/or executes a Transaction, unless the Client has notified IBIE to the contrary in its Account Application Materials, the Client is not: (a) a broker-dealer, futures commission merchant, or comparable securities, futures or investment professional; (b) an affiliate, associated person or employee of a broker-dealer, futures commission merchant, or comparable securities, futures or investment professional; or (c) an affiliate, associated person, or employee of any exchange, clearing house or regulatory agency or self-regulatory organisation. (iv) The Client shall promptly notify IBIE in an e-mail addressed to Xxxxxxxxxx@xxxxxxxxxxxxxxxxxx.xx in the event that any of the above representations or warranties materially change or cease to be true and correct. Without limiting the generality of the foregoing, the Client specifically agrees to notify IBIE immediately in the event that: (a) If the Client is a corporation, unincorporated business, partnership, or trust, there is a significant change in the nature of the Client's business or ownership; (b) If the Client is an unincorporated business or partnership, the authorised signatories of the business or partnership change; and (c) if the Client is a trust, any trustee is replaced. In all of the foregoing events, the Client agrees to provide to IBIE any additional information or documentation that XXXX xxxxx necessary or desirable, upon IBIE's request.
Appears in 4 contracts
Samples: Customer Agreement, Customer Agreement, Customer Agreement
Other Client Representations and Warranties.
(i) If the Client is not an individual (e.g., is a corporation, unincorporated business, partnership or trust), the Client and each of the Client's authorised representatives represent and warrant that, as of the date of this Agreement and each time they place an order and/or execute a Transaction:
(a) it is duly incorporated and validly existing under the laws of its place of organisation or formation;
(b) it has, and will have, pursuant to its articles of incorporation, partnership agreement, charter, by-laws, operating agreement or other governing document(s) ("Governing Documents") and the jurisdictions in which the Client is registered, authorised, and/or regulated, the power and authority to enter into, exercise its rights, and perform or comply with its obligations under this Agreement and each order;
(c) it has, and will have, pursuant to its Governing Documents and the jurisdictions in which the Client is registered, authorised, and/or regulated, the power and authority to trade the securities, options, futures, and other investment products to be traded in the Client's account;
(d) it has and will have taken all necessary action to authorise the exercise, performance, and execution of this Agreement and any other document relating to this Agreement to which the Client is a party;
(e) it is under no legal incapacity;
(f) it is financially sophisticated;
(g) it has sufficient experience with, and is knowledgeable about, the risks and characteristics of the securities, options, futures, and other investment products to be traded in the Client's account; and
(h) the persons which the Client identifies to IBIE as authorised to enter orders and trade on behalf of the Client have full authority to do so.
(ii) If the Client is a trust, the term "Client" as used herein refers to the Trust and/or the Trustees. The Trustee(s) hereby represent(s) that:
(a) There are no other Trustees of the Trust other than those identified in the documents required to open and operate the Client’s account (“Account Application Materials”);
(b) IBIE and its affiliates have the authority to accept orders and other instructions relative to this account from the Trustee(s). Trustee(s) hereby certifies(y) that IBIE and its affiliates are authorised to follow the instructions of any Trustee and to deliver funds, securities, or any other assets in this account to any Trustee or on any Trustee's instructions, including delivering assets to a Trustee personally. IBIE and any of its affiliates, in their respective sole discretion and for their respective sole protection, may require the written consent of any or all Trustee(s) prior to acting upon the instructions of any Trustee;
(c) Trustee(s) has (have) the power under the Trust, the documents governing the Trust ("Trust Agreement") and applicable law to enter into this Agreement and open the type of IBIE account applied for, and to enter into Transactions and issue instructions for this account. To the extent that the following activities are permitted for the type of account being opened, such powers may include, without limitation, the authority to buy, sell (including short sales), exchange, convert, tender, redeem and withdraw assets (including delivery of securities to and from the account) to trade securities on margin or otherwise (including the purchase and/or sale of option contracts), and/or the authority to trade futures and/or options on futures, for and at the risk of the Trust;
(d) Should only one Trustee execute this Agreement, it shall be a representation that such Trustee has the authority, pursuant to the Trust Agreement, to execute this Agreement and to enter into transactions and issue instructions for this account as described above, without acknowledgement or consent by the other Trustees;
(e) Trustee(s) certifies(y) that any and all Transactions effected and instructions given regarding this account will be in full compliance with the Trust, the Trust Agreement, and Applicable Laws;
(f) Trustee(s), jointly and severally, shall indemnify IBIE and its affiliates and hold IBIE and its affiliates harmless from any claim, loss, expense or other liability for effecting any Transactions, and acting upon any instructions given by the Trustee(s);
(g) Trustee(s), agree(s) to inform IBIE of any material change in any information provided in the Account Application Materials by an e-mail addressed to the IBIE Customer Service Department at xxxx@xxxxxxxxxxxxxxxxxx.xxx; and
(h) Trustee(s) represent(s) that the statements and certifications made herein and the information provided in the account application process are true and correct, and authorises IBIE and any of its affiliates to confirm their accuracy as it deems necessary.
(iii) If the Client is a regulated entity or affiliated with a regulated entity: the Client represents and warrants to IBIE that, as at the date of this Agreement and each time it places an order and/or executes a Transaction, unless the Client has notified IBIE to the contrary in its Account Application Materials, the Client is not:
(a) a broker-dealer, futures commission merchant, or comparable securities, futures or investment professional;
(b) an affiliate, associated person or employee of a broker-dealer, futures commission merchant, or comparable securities, futures or investment professional; or
(c) an affiliate, associated person, or employee of any exchange, clearing house or regulatory agency or self-regulatory organisation.
(iv) The Client shall promptly notify IBIE in an e-mail addressed to Xxxxxxxxxx@xxxxxxxxxxxxxxxxxx.xx in the event that any of the above representations or warranties materially change or cease to be true and correct. Without limiting the generality of the foregoing, the Client specifically agrees to notify IBIE immediately in the event that:
(a) If the Client is a corporation, unincorporated business, partnership, or trust, there is a significant change in the nature of the Client's business or ownership;
(b) If the Client is an unincorporated business or partnership, the authorised signatories of the business or partnership change; and
(c) if the Client is a trust, any trustee is replaced. In all of the foregoing events, the Client agrees to provide to IBIE any additional information or documentation that XXXX xxxxx necessary or desirable, upon IBIE's request.
Appears in 2 contracts
Samples: Customer Agreement, Customer Agreement
Other Client Representations and Warranties.
(i) 6.4.1 If the Client is not an individual (e.g., is a corporation, unincorporated business, partnership or trust), the Client and each of the Client's ’s authorised representatives represent and warrant that, as of the date of this Agreement and each time they place an order and/or execute a Transaction:
(ai) it is duly incorporated and validly existing under the laws of its place of organisation or formation;
(bii) it has, and will have, pursuant to its articles of incorporation, partnership agreement, charter, by-laws, operating agreement or other governing document(s) ("“Governing Documents"”) and the jurisdictions in which the Client is registered, authorised, and/or regulated, the power and authority to enter into, exercise its rights, and perform or comply with its obligations under this Agreement and each order;
(ciii) it has, and will have, pursuant to its Governing Documents and the jurisdictions in which the Client is registered, authorised, and/or regulated, the power and authority to trade the securities, options, futures, and other investment products to be traded in the Client's ’s account;
(div) it has and will have taken all necessary action to authorise the exercise, performance, and execution of this Agreement and any other document relating to this Agreement to which the Client is a party;
(ev) it is under no legal incapacity;
(fvi) it is financially sophisticated;
(gvii) it has sufficient experience with, and is knowledgeable about, the risks and characteristics of the securities, options, futures, and other investment products to be traded in the Client's ’s account; and
(hviii) the persons which the Client identifies to IBIE IBLUX as authorised to enter orders and trade on behalf of the Client have full authority to do so.
(ii) 6.4.2 If the Client is a trust, the term "“Client" ” as used herein refers to the Trust and/or the Trustees. The Trustee(s) hereby represent(s) that:
(ai) There are no other Trustees of the Trust other than those identified in the documents required to open and operate the Client’s account (“Account Application Materials”);
(bii) IBIE IBLUX and its affiliates have the authority to accept orders and other instructions relative to this account from the Trustee(s). Trustee(s) hereby certifies(y) that IBIE IBLUX and its affiliates are authorised to follow the instructions of any Trustee and to deliver funds, securities, or any other assets in this account to any Trustee or on any Trustee's ’s instructions, including delivering assets to a Trustee personally. IBIE IBLUX and any of its affiliates, in their respective sole discretion and for their respective sole protection, may require the written consent of any or all Trustee(s) prior to acting upon the instructions of any Trustee;
(ciii) Trustee(s) has (have) the power under the Trust, the documents governing the Trust ("“Trust Agreement"”) and applicable law to enter into this Agreement and open the type of IBIE IBLUX account applied for, and to enter into Transactions and issue instructions for this account. To the extent that the following activities are permitted for the type of account being opened, such powers may include, without limitation, the authority to buy, sell (including short sales), exchange, convert, tender, redeem and withdraw assets (including delivery of securities to and from the account) to trade securities on margin or otherwise (including the purchase and/or sale of option contracts), and/or the authority to trade futures and/or options on futures, for and at the risk of the Trust;
(div) Should only one Trustee execute this Agreement, it shall be a representation that such Trustee has the authority, pursuant to the Trust Agreement, to execute this Agreement and to enter into transactions and issue instructions for this account as described above, without acknowledgement or consent by the other Trustees;
(ev) Trustee(s) certifies(y) that any and all Transactions effected and instructions given regarding this account will be in full compliance with the Trust, the Trust Agreement, and Applicable LawsLaw and Regulations;
(fvi) Trustee(s), jointly and severally, shall indemnify IBIE IBLUX and its affiliates and hold IBIE IBLUX and its affiliates harmless from any claim, loss, expense or other liability for effecting any Transactions, and acting upon any instructions given by the Trustee(s);
(gvii) Trustee(s), agree(s) to inform IBIE IBLUX of any material change in any information provided in the Account Application Materials by an e-mail addressed to the IBIE IBLUX Customer Service Department at xxxx@xxxxxxxxxxxxxxxxxx.xxx; and
(hviii) Trustee(s) represent(s) that the statements and certifications made herein and the information provided in the account application process are true and correct, and authorises IBIE IBLUX and any of its affiliates to confirm their accuracy as it deems necessary.
(iii) 6.4.3 If the Client is a regulated entity or affiliated with a regulated entity: the Client represents and warrants to IBIE IBLUX that, as at the date of this Agreement and each time it places an order and/or executes a Transaction, unless the Client has notified IBIE IBLUX to the contrary in its Account Application Materials, the Client is not:
(ai) a broker-dealer, futures commission merchant, or comparable securities, futures or investment professional;
(bii) an affiliate, associated person or employee of a broker-dealer, futures commission merchant, or comparable securities, futures or investment professional; or
(ciii) an affiliate, associated person, or employee of any exchange, clearing house or regulatory agency or self-regulatory organisation.
(iv) The 6.4.4 Client shall promptly notify IBIE IBLUX in an e-mail addressed to Xxxxxxxxxx@xxxxxxxxxxxxxxxxxx.xx xxxxxxxxxxxxxxxx@xxxxxxxxxxxxxxxxxx.xx in the event that any of the above representations or warranties materially change or cease to be true and correct. Without limiting the generality of the foregoing, the Client specifically agrees to notify IBIE IBLUX immediately in the event that:
(ai) If the Client is a corporation, unincorporated business, partnership, or trust, there is a significant change in the nature of the Client's ’s business or ownership;
(bii) If the Client is an unincorporated business or partnership, the authorised signatories of the business or partnership change; and
(ciii) if the Client is a trust, any trustee is replaced. In all of the foregoing events, the Client agrees to provide to IBIE IBLUX any additional information or documentation that XXXX xxxxx IBLUX deems necessary or desirable, upon IBIE's IBLUX’s request.
Appears in 1 contract
Samples: Customer Agreement
Other Client Representations and Warranties.
(i) 6.3.1 If the Client is not an individual (e.g., is a corporation, unincorporated business, partnership or trust), the Client and each of the Client's authorised representatives represent and warrant that, as of the date of this Agreement and each time they place an order and/or execute a Transaction:
(a) 6.3.1.1 it is duly incorporated and validly existing under the laws of its place of organisation or formation;
(b) 6.3.1.2 it has, and will have, pursuant to its articles of incorporation, partnership agreement, charter, by-laws, operating agreement or other governing document(s) ("Governing Documents") and the jurisdictions in which the Client is registered, authorised, and/or regulated, the power and authority to enter into, exercise its rights, and perform or comply with its obligations under this Agreement and each order;
(c) 6.3.1.3 it has, and will have, pursuant to its Governing Documents and the jurisdictions in which the Client is registered, authorised, and/or regulated, the power and authority to trade the securities, options, futures, and other investment products to be traded in the Client's account;
(d) 6.3.1.4 it has and will have taken all necessary action to authorise the exercise, performance, and execution of this Agreement and any other document relating to this Agreement to which the Client is a party;
(e) it is under no legal incapacity;
(f) it is financially sophisticated;
(g) it has sufficient experience with, and is knowledgeable about, the risks and characteristics of the securities, options, futures, and other investment products to be traded in the Client's account; and
(h) 6.3.1.5 the persons which the Client identifies to IBIE IBUK as authorised to enter orders and trade on behalf of the Client have full authority to do so.
(ii) 6.3.2 If the Client is a trust, the term "Client" as used herein refers to the Trust and/or the Trustees. The Trustee(s) hereby represent(s) that:
(a) 6.3.2.1 There are no other Trustees of the Trust other than those identified in the documents required to open and operate the Client’s account (“Account Application Materials”);
(b) IBIE and its affiliates have the authority to accept orders and other instructions relative to this account from the Trustee(s). Trustee(s) hereby certifies(y) that IBIE and its affiliates are authorised to follow the instructions of any Trustee and to deliver funds, securities, or any other assets in this account to any Trustee or on any Trustee's instructions, including delivering assets to a Trustee personally. IBIE and any of its affiliates, in their respective sole discretion and for their respective sole protection, may require the written consent of any or all Trustee(s) prior to acting upon the instructions of any Trustee;
(c) Trustee(s) has (have) the power under the Trust, the documents governing the Trust ("Trust Agreement") and applicable law to enter into this Agreement and open the type of IBIE account applied for, and to enter into Transactions and issue instructions for this account. To the extent that the following activities are permitted for the type of account being opened, such powers may include, without limitation, the authority to buy, sell (including short sales), exchange, convert, tender, redeem and withdraw assets (including delivery of securities to and from the account) to trade securities on margin or otherwise (including the purchase and/or sale of option contracts), and/or the authority to trade futures and/or options on futures, for and at the risk of the Trust;
(d) Should only one Trustee execute this Agreement, it shall be a representation that such Trustee has the authority, pursuant to the Trust Agreement, to execute this Agreement and to enter into transactions and issue instructions for this account as described above, without acknowledgement or consent by the other Trustees;
(e) Trustee(s) certifies(y) that any and all Transactions effected and instructions given regarding this account will be in full compliance with the Trust, the Trust Agreement, and Applicable Laws;
(f) Trustee(s), jointly and severally, shall indemnify IBIE and its affiliates and hold IBIE and its affiliates harmless from any claim, loss, expense or other liability for effecting any Transactions, and acting upon any instructions given by the Trustee(s);
(g) Trustee(s), agree(s) to inform IBIE of any material change in any information provided in the Account Application Materials by an e-mail addressed to the IBIE Customer Service Department at xxxx@xxxxxxxxxxxxxxxxxx.xxx; and
(h) Trustee(s) represent(s) that the statements and certifications made herein and the information provided in the account application process are true and correct, and authorises IBIE and any of its affiliates to confirm their accuracy as it deems necessary.
(iii) If the Client is a regulated entity or affiliated with a regulated entity: the Client represents and warrants to IBIE that, as at the date of this Agreement and each time it places an order and/or executes a Transaction, unless the Client has notified IBIE to the contrary in its Account Application Materials, the Client is not:
(a) a broker-dealer, futures commission merchant, or comparable securities, futures or investment professional;
(b) an affiliate, associated person or employee of a broker-dealer, futures commission merchant, or comparable securities, futures or investment professional; or
(c) an affiliate, associated person, or employee of any exchange, clearing house or regulatory agency or self-regulatory organisation.
(iv) The Client shall promptly notify IBIE in an e-mail addressed to Xxxxxxxxxx@xxxxxxxxxxxxxxxxxx.xx in the event that any of the above representations or warranties materially change or cease to be true and correct. Without limiting the generality of the foregoing, the Client specifically agrees to notify IBIE immediately in the event that:
(a) If the Client is a corporation, unincorporated business, partnership, or trust, there is a significant change in the nature of the Client's business or ownership;
(b) If the Client is an unincorporated business or partnership, the authorised signatories of the business or partnership change; and
(c) if the Client is a trust, any trustee is replaced. In all of the foregoing events, the Client agrees to provide to IBIE any additional information or documentation that XXXX xxxxx necessary or desirable, upon IBIE's request.
Appears in 1 contract
Samples: Client Agreement for Products
Other Client Representations and Warranties.
(i) 6.3.1.1 If the Client is not an individual (e.g., is a corporation, unincorporated business, partnership or trust), the Client and each of the Client's authorised representatives represent and warrant that, as of the date of this Agreement and each time they place an order and/or execute a Transaction:
(ai) it is duly incorporated and validly existing under the laws of its place of organisation or formation;
(bii) it has, and will have, pursuant to its articles of incorporation, partnership agreement, charter, by-laws, operating agreement or other governing document(s) ("Governing Documents") and the jurisdictions in which the Client is registered, authorised, and/or regulated, the power and authority to enter into, exercise its rights, and perform or comply with its obligations under this Agreement and each order;
(ciii) it has, and will have, pursuant to its Governing Documents and the jurisdictions in which the Client is registered, authorised, and/or regulated, the power and authority to trade the securities, options, futures, and other investment products to be traded in the Client's account;
(div) it has and will have taken all necessary action to authorise the exercise, performance, and execution of this Agreement and any other document relating to this Agreement to which the Client is a party;
(ev) it is under no legal incapacity;
(fvi) it is financially sophisticated;
(gvii) it has sufficient experience with, and is knowledgeable about, the risks and characteristics of the securities, options, futures, and other investment products to be traded in the Client's account; and
(hviii) the persons which the Client identifies to IBIE IBLUX as authorised to enter orders and trade on behalf of the Client have full authority to do so.
(ii) If the Client is a trust, the term "Client" as used herein refers to the Trust and/or the Trustees. The Trustee(s) hereby represent(s) that:
(a) There are no other Trustees of the Trust other than those identified in the documents required to open and operate the Client’s account (“Account Application Materials”);
(b) IBIE and its affiliates have the authority to accept orders and other instructions relative to this account from the Trustee(s). Trustee(s) hereby certifies(y) that IBIE and its affiliates are authorised to follow the instructions of any Trustee and to deliver funds, securities, or any other assets in this account to any Trustee or on any Trustee's instructions, including delivering assets to a Trustee personally. IBIE and any of its affiliates, in their respective sole discretion and for their respective sole protection, may require the written consent of any or all Trustee(s) prior to acting upon the instructions of any Trustee;
(c) Trustee(s) has (have) the power under the Trust, the documents governing the Trust ("Trust Agreement") and applicable law to enter into this Agreement and open the type of IBIE account applied for, and to enter into Transactions and issue instructions for this account. To the extent that the following activities are permitted for the type of account being opened, such powers may include, without limitation, the authority to buy, sell (including short sales), exchange, convert, tender, redeem and withdraw assets (including delivery of securities to and from the account) to trade securities on margin or otherwise (including the purchase and/or sale of option contracts), and/or the authority to trade futures and/or options on futures, for and at the risk of the Trust;
(d) Should only one Trustee execute this Agreement, it shall be a representation that such Trustee has the authority, pursuant to the Trust Agreement, to execute this Agreement and to enter into transactions and issue instructions for this account as described above, without acknowledgement or consent by the other Trustees;
(e) Trustee(s) certifies(y) that any and all Transactions effected and instructions given regarding this account will be in full compliance with the Trust, the Trust Agreement, and Applicable Laws;
(f) Trustee(s), jointly and severally, shall indemnify IBIE and its affiliates and hold IBIE and its affiliates harmless from any claim, loss, expense or other liability for effecting any Transactions, and acting upon any instructions given by the Trustee(s);
(g) Trustee(s), agree(s) to inform IBIE of any material change in any information provided in the Account Application Materials by an e-mail addressed to the IBIE Customer Service Department at xxxx@xxxxxxxxxxxxxxxxxx.xxx; and
(h) Trustee(s) represent(s) that the statements and certifications made herein and the information provided in the account application process are true and correct, and authorises IBIE and any of its affiliates to confirm their accuracy as it deems necessary.
(iii) If the Client is a regulated entity or affiliated with a regulated entity: the Client represents and warrants to IBIE that, as at the date of this Agreement and each time it places an order and/or executes a Transaction, unless the Client has notified IBIE to the contrary in its Account Application Materials, the Client is not:
(a) a broker-dealer, futures commission merchant, or comparable securities, futures or investment professional;
(b) an affiliate, associated person or employee of a broker-dealer, futures commission merchant, or comparable securities, futures or investment professional; or
(c) an affiliate, associated person, or employee of any exchange, clearing house or regulatory agency or self-regulatory organisation.
(iv) The Client shall promptly notify IBIE in an e-mail addressed to Xxxxxxxxxx@xxxxxxxxxxxxxxxxxx.xx in the event that any of the above representations or warranties materially change or cease to be true and correct. Without limiting the generality of the foregoing, the Client specifically agrees to notify IBIE immediately in the event that:
(a) If the Client is a corporation, unincorporated business, partnership, or trust, there is a significant change in the nature of the Client's business or ownership;
(b) If the Client is an unincorporated business or partnership, the authorised signatories of the business or partnership change; and
(c) if the Client is a trust, any trustee is replaced. In all of the foregoing events, the Client agrees to provide to IBIE any additional information or documentation that XXXX xxxxx necessary or desirable, upon IBIE's request.
Appears in 1 contract
Samples: Customer Agreement
