PERSONAL DATA AND CONFIDENTIAL INFORMATION. Data protection 12.1. The Company may collect information directly from the Client (in his/her completed Application form or otherwise) or from other persons including, for example, credit reference agencies, fraud prevention agencies and the providers of public register. 12.2. The Company may use, store or otherwise process personal information provided by the Client in connection with the provision of the Services. 12.3. If the Client is an individual, the Company is obliged to supply the Client, on request, with a copy of personal data which it holds about the Client, provided that the Client pays a reasonable fee. 12.4. The information which the Company holds about the Client is confidential and shall not be used for any purpose other than in connection with the provision of the Services. Information of a confidential nature shall be treated as such provided that such information is not already in the public domain or in the legal possession of the Company and was not subject to an obligation of confidence or non-disclosure at the moment of its receipt by the Company. 12.5. The Company has the right to disclose the Client’s information of a confidential nature in the following circumstances: 12.5.1. to the Manager the Client has joined, in the course of business; 12.5.2. where required by law or as requested by regulatory and enforcement authorities, courts and similar bodies which have jurisdiction over the Company; 12.5.3. to investigate or prevent fraud or other illegal activity; 12.5.4. to those members of the Company’s personnel who require information thereof for the performance of their duties under the Agreement or to a Manager or any third party in connection with the provision of Services to the Client by the Company; 12.5.5. for purposes ancillary to the provision of the Services or the administration of the Client’s Account, including, without limitation, for the purposes of credit or identification enquiries or assessments; 12.5.6. at the Client’s request or with the Client’s consent; 12.5.7. to the Company’s consultants, advisors, lawyers, auditors, provided that in each case the relevant professional shall be informed about the confidential nature of such information and commit to the confidentiality herein obligations as well; 12.5.8. to judicial proceeding between the Company and the Client; 12.5.9. where required in compliance with the Foreign Account Tax Compliance Act (FATCA) and Common Reporting Standard (CRS). 12.6. The Client agrees that the Company may pass information about the Client in the Company’s group and to external companies to help the Company to process and/or analyze it as part of the provision of Services to the Client. If the Client does not wish the Client’s personal data to be used for such purposes, the Client shall give the Company Written Notice. 12.7. The Company may use Client Information in order to provide, administer, tailor and improve the Services, the Company relationship with the Client and its business generally (including communicating with the Client and facilitating his use of the Website and/or the Company’s telephone trading facilities); to carry out credit, anti-money laundering and fraud prevention checks; to exercise and/or defend the Company’s legal rights; and to comply with Applicable Regulations and the requests of regulatory and enforcement authorities in any jurisdiction. Confidentiality 12.8. Information, in any form, given by the Company in respect of Financial Instruments may not be used or relied on by the Client for any purpose other than the services, and the terms of any engagement letter relating to the services (including details of Profit Share) may not be disclosed to any third party (unless the Client comes under a legal obligation to disclose it or to disclose it to another adviser in connection with the services, in either of which cases the Client shall promptly inform the Company of such disclosure), nor used or relied on by any third party without the Company’s prior written consent. 12.9. In addition to any other right or obligation by virtue of which the Company or any of its brokers may be entitled or bound by law to disclose information, the Company shall be entitled, if requested or required, at its discretion, to disclose any information (including Confidential Information) known to it, and/or to produce any documents relating to the Client’s business or affairs to any governmental or regulatory agency or authority , including, without limitation, the Financial Services Commission (hereinafter “FSC”), and any relevant self-regulatory organization. In addition, the Company shall, where reasonably practicable, seek to impose a confidentiality requirement in any case where the information is not subject to statutory restrictions on disclosure by the recipient. 12.10. The Company shall not have any duty to disclose to the Client any information that comes to the knowledge of the Company, in the course of carrying on any other business or as a result of or in connection with the provision of services to other persons. The Company may be prohibited from disclosing or having regard to, or it may be inappropriate for it to disclose to the Client or have regard to, such information even if it relates to the Client or to the services provided to the Client. 12.11. All information, documents and communications in the possession or control of the Company relating to the services or the subject matter of the services, shall be the Company’s sole property, save for original contracts, share certificates and other original
Appears in 3 contracts
Samples: Investor Agreement, Investor Agreement, Investor Agreement
PERSONAL DATA AND CONFIDENTIAL INFORMATION. Data protection
12.1. 12.1 The Company may collect information directly from the Client (in his/her his completed Application form or otherwise) or from other persons including, for example, credit reference agencies, fraud prevention agencies and the providers of public register.
12.2. 12.2 The Company may use, store or otherwise process personal information provided by the Client in connection with the provision of the Services.
12.3. 12.3 If the Client is an individual, the Company is obliged to supply the Client, on request, with a copy of personal data which it holds about the Client, provided that the Client pays a reasonable fee.
12.4. 12.4 The information which the Company holds about the Client is confidential and shall will not be used for any purpose other than in connection with the provision of the Services. Information of a confidential nature shall will be treated as such provided that such information is not already in the public domain or in the legal possession of the Company and was not subject to an obligation of confidence or non-disclosure at the moment of its receipt by the Company.
12.5. 12.5 The Company has the right to disclose the Client’s client information of a confidential nature in the following circumstances:
12.5.1. to (a) To the Manager the Client has joined, in the course of business;.
12.5.2. (b) where required by law or as requested by regulatory and enforcement authorities, courts and similar bodies which have jurisdiction over the Company;
12.5.3. (c) to investigate or prevent fraud or other illegal activity;
12.5.4. (d) to those members of the Company’s personnel who require information thereof for the performance of their duties under the Agreement or to a Manager or any third party in connection with the provision of Services to the Client by the Company;
12.5.5. (e) for purposes ancillary to the provision of the Services or the administration of the Client’s Account, including, without limitation, for the purposes of credit or identification enquiries or assessments; 12.5.6. ;
(f) at the Client’s request or with the Client’s consent;
12.5.7. (g) to the Company’s consultants, advisors, lawyers, auditors, provided that in each case the relevant professional shall be informed about the confidential nature of such information and commit to the confidentiality herein obligations as well;
12.5.8. (h) to judicial proceeding between the Company and the Client;.
12.5.9. (i) where required in compliance with the Foreign Account Tax Compliance Act (FATCA) and Common Reporting Standard (CRS).
12.6. 12.6 The Client agrees that the Company may pass information about the Client in the Company’s group and to external companies to help the Company to process and/or analyze analyse it as part of the provision of Services to the Client. If the Client does not wish the Client’s personal data to be used for such purposes, the Client shall give the Company Written Notice.
12.7. 12.7 The Company may use Client Information in order to provide, administer, tailor and improve the Services, the Company relationship with the Client and its business generally (including communicating with the Client and facilitating his use of the Website and/or the Company’s telephone trading facilities); to carry out credit, anti-money laundering and fraud prevention checks; to exercise and/or defend the Company’s legal rights; and to comply with Applicable Regulations and the requests of regulatory and enforcement authorities in any jurisdiction. Confidentiality
12.8. 12.8 Information, in any form, given by the Company in respect of Financial Instruments may not be used or relied on by the Client for any purpose other than the services, and the terms of any engagement letter relating to the services (including details of Profit Sharefees) may not be disclosed to any third party (unless the Client comes under a legal obligation to disclose it or to disclose it to another adviser in connection with the services, in either of which cases the Client shall will promptly inform the Company of such disclosure), nor used or relied on by any third party without the Company’s prior written consent.
12.9. 12.9 In addition to any other right or obligation by virtue of which the Company or any of its brokers may be entitled or bound by law to disclose information, the Company shall will be entitled, if requested or required, at its discretion, to disclose any information (including Confidential Information) known to it, and/or to produce any documents relating to the Client’s business or affairs to any governmental or regulatory agency or authority , including, without limitation, the Financial Services Commission (hereinafter “FSC”)IFSC, and any relevant self-regulatory organization. In addition, the Company shallwill, where reasonably practicable, seek to impose a confidentiality requirement in any case where the information is not subject to statutory restrictions on disclosure by the recipient.
12.10. 12.10 The Company shall will not have any duty to disclose to the Client any information that comes to the knowledge of the Company, in the course of carrying on any other business or as a result of or in connection with the provision of services to other persons. The Company may be prohibited from disclosing or having regard to, or it may be inappropriate for it to disclose to the Client or have regard to, such information even if it relates to the Client or to the services provided to the Client.
12.11. 12.11 All information, documents and communications in the possession or control of the Company relating to the services or the subject matter of the services, shall be the Company’s sole property, save for original contracts, share certificates and other originaloriginal documents held on the Client’s behalf. The Company shall be permitted to retain a copy of all information, documents and communication in connection with the services for regulatory and risk management purposes.
Appears in 1 contract
Samples: Investor Agreement
PERSONAL DATA AND CONFIDENTIAL INFORMATION. Data protection
12.1. 12.1 The Company may collect information directly from the Client Investor (in his/her his completed Application form or otherwise) or from other persons including, for example, credit reference agencies, fraud prevention agencies and the providers of public register.
12.2. 12.2 The Company may use, store or otherwise process personal information provided by the Client Investor in connection with the provision of the Services.
12.3. 12.3 If the Client Investor is an individual, the Company is obliged to supply the ClientInvestor, on request, with a copy of personal data which it holds about the ClientInvestor, provided that the Client Investor pays a reasonable fee.
12.4. 12.4 The information which the Company holds about the Client Investor is confidential and shall will not be used for any purpose other than in connection with the provision of the Services. Information of a confidential nature shall will be treated as such provided that such information is not already in the public domain or in the legal possession of the Company and was not subject to an obligation of confidence or non-disclosure at the moment of its receipt by the Company.
12.5. 12.5 The Company has the right to disclose the Client’s client information of a confidential nature in the following circumstances:
12.5.1. to (a) To the Strategy Manager the Client Investor has joined, in the course of business;.
12.5.2. (b) where required by law or as requested by regulatory and enforcement authorities, courts and similar bodies which have jurisdiction over the Company;
12.5.3. (c) to investigate or prevent fraud or other illegal activity;
12.5.4. (d) to those members of the Company’s personnel who require information thereof for the performance of their duties under the Agreement or to a Strategy Manager or any third party in connection with the provision of Services to the Client Investor by the Company;
12.5.5. (e) for purposes ancillary to the provision of the Services or the administration of the ClientInvestor’s Account, including, without limitation, for the purposes of credit or identification enquiries or assessments; 12.5.6. ;
(f) at the ClientInvestor’s request or with the ClientInvestor’s consent;
12.5.7. (g) to the Company’s consultants, advisors, lawyers, auditors, provided that in each case the relevant professional shall be informed about the confidential nature of such information and commit to the confidentiality herein obligations as well;
12.5.8. (h) to judicial proceeding between the Company and the Client;Investor.
12.5.9. (i) where required in compliance with the Foreign Account Tax Compliance Act (FATCA) and Common Reporting Standard (CRS).
12.6. 12.6 The Client Investor agrees that the Company may pass information about the Client Investor in the Company’s group and to external companies to help the Company to process and/or analyze analyse it as part of the provision of Services to the Client. If the Client does not wish the ClientInvestor’s personal data to be used for such purposes, the Client Investor shall give the Company Written Notice.
12.7. 12.7 The Company may use Client Investor’s Information in order to provide, administer, tailor and improve the Services, the Company relationship with the Client Investor and its business generally (including communicating with the Client Investor and facilitating his use of the Website and/or the Company’s telephone trading facilities); to carry out credit, anti-money laundering and fraud prevention checks; to exercise and/or defend the Company’s legal rights; and to comply with Applicable Regulations and the requests of regulatory and enforcement authorities in any jurisdiction. Confidentiality.
12.8. 12.8 Information, in any form, given by the Company in respect of Financial Instruments may not be used or relied on by the Client Investor for any purpose other than the services, and the terms of any engagement letter relating to the services (including details of Profit Sharefees) may not be disclosed to any third party (unless the Client Investor comes under a legal obligation to disclose it or to disclose it to another adviser in connection with the services, in either of which cases the Client shall Investor will promptly inform the Company of such disclosure), nor used or relied on by any third party without the Company’s prior written consent.
12.9. 12.9 In addition to any other right or obligation by virtue of which the Company or any of its brokers may be entitled or bound by law to disclose information, the Company shall will be entitled, if requested or required, at its discretion, to disclose any information (including Confidential Information) known to it, and/or to produce any documents relating to the ClientInvestor’s business or affairs to any governmental or regulatory agency or authority , including, without limitation, the Financial Services Commission (hereinafter “FSC”), CySEC and any relevant self-regulatory organizationorganisation. In addition, the Company shallwill, where reasonably practicable, seek to impose a confidentiality requirement in any case where the information is not subject to statutory restrictions on disclosure by the recipient.
12.10. 12.10 The Company shall will not have any duty to disclose to the Client Investor any information that comes to the knowledge of the Company, in the course of carrying on any other business or as a result of or in connection with the provision of services to other persons. The Company may be prohibited from disclosing or having regard to, or it may be inappropriate for it to disclose to the Client Investor or have regard to, such information even if it relates to the Client Investor or to the services provided to the ClientInvestor.
12.11. 12.11 All information, documents and communications in the possession or control of the Company relating to the services or the subject matter of the services, shall be the Company’s sole property, save for original contracts, share certificates and other originaloriginal documents held on the Investor’s behalf. The Company shall be permitted to retain a copy of all information, documents and communication in connection with the services for regulatory and risk management purposes.
Appears in 1 contract
Samples: Investor's Agreement
PERSONAL DATA AND CONFIDENTIAL INFORMATION. Data protection
12.1. 12.1 The Company may collect information directly from the Client (in his/her his completed Application form or otherwise) or from other persons including, for example, credit reference agencies, fraud prevention agencies and the providers of public register.
12.2. 12.2 The Company may use, store or otherwise process personal information provided by the Client in connection with the provision of the Services.
12.3. 12.3 If the Client is an individual, the Company is obliged to supply the Client, on request, with a copy of personal data which it holds about the Client, provided that the Client pays a reasonable fee.
12.4. 12.4 The information which the Company holds about the Client is confidential and shall will not be used for any purpose other than in connection with the provision of the Services. Information of a confidential nature shall will be treated as such provided that such information is not already in the public domain or in the legal possession of the Company and was not subject to an obligation of confidence or non-disclosure at the moment of its receipt by the Company.
12.5. 12.5 The Company has the right to disclose the Client’s client information of a confidential nature in the following circumstances:
12.5.1. to (a) To the Manager the Client has joined, in the course of business;.
12.5.2. (b) where required by law or as requested by regulatory and enforcement authorities, courts and similar bodies which have jurisdiction over the Company;
12.5.3. (c) to investigate or prevent fraud or other illegal activity;
12.5.4. (d) to those members of the Company’s personnel who require information thereof for the performance of their duties under the Agreement or to a Manager or any third party in connection with the provision of Services to the Client by the Company;
12.5.5. (e) for purposes ancillary to the provision of the Services or the administration of the Client’s Account, including, without limitation, for the purposes of credit or identification enquiries or assessments; 12.5.6. ;
(f) at the Client’s request or with the Client’s consent;
12.5.7. (g) to the Company’s consultants, advisors, lawyers, auditors, provided that in each case the relevant professional shall be informed about the confidential nature of such information and commit to the confidentiality herein obligations as well;
12.5.8. (h) to judicial proceeding between the Company and the Client;.
12.5.9. (i) where required in compliance with the Foreign Account Tax Compliance Act (FATCA) and Common Reporting Standard (CRS).
12.6. 12.6 The Client agrees that the Company may pass information about the Client in the Company’s group and to external companies to help the Company to process and/or analyze analyse it as part of the provision of Services to the Client. If the Client does not wish the Client’s personal data to be used for such purposes, the Client shall give the Company Written Notice.
12.7. 12.7 The Company may use Client Information in order to provide, administer, tailor and improve the Services, the Company relationship with the Client and its business generally (including communicating with the Client and facilitating his use of the Website and/or the Company’s telephone trading facilities); to carry out credit, anti-money laundering and fraud prevention checks; to exercise and/or defend the Company’s legal rights; and to comply with Applicable Regulations and the requests of regulatory and enforcement authorities in any jurisdiction. Confidentiality.
12.8. 12.8 Information, in any form, given by the Company in respect of Financial Instruments may not be used or relied on by the Client for any purpose other than the services, and the terms of any engagement letter relating to the services (including details of Profit Sharefees) may not be disclosed to any third party (unless the Client comes under a legal obligation to disclose it or to disclose it to another adviser in connection with the services, in either of which cases the Client shall will promptly inform the Company of such disclosure), nor used or relied on by any third party without the Company’s prior written consent.
12.9. 12.9 In addition to any other right or obligation by virtue of which the Company or any of its brokers may be entitled or bound by law to disclose information, the Company shall will be entitled, if requested or required, at its discretion, to disclose any information (including Confidential Information) known to it, and/or to produce any documents relating to the Client’s business or affairs to any governmental or regulatory agency or authority , including, without limitation, the Financial Services Commission (hereinafter “FSC”)IFSC, and any relevant self-regulatory organizationorganisation. In addition, the Company shallwill, where reasonably practicable, seek to impose a confidentiality requirement in any case where the information is not subject to statutory restrictions on disclosure by the recipient.
12.10. 12.10 The Company shall will not have any duty to disclose to the Client any information that comes to the knowledge of the Company, in the course of carrying on any other business or as a result of or in connection with the provision of services to other persons. The Company may be prohibited from disclosing or having regard to, or it may be inappropriate for it to disclose to the Client or have regard to, such information even if it relates to the Client or to the services provided to the Client.
12.11. 12.11 All information, documents and communications in the possession or control of the Company relating to the services or the subject matter of the services, shall be the Company’s sole property, save for original contracts, share certificates and other originaloriginal documents held on the Client’s behalf. The Company shall be permitted to retain a copy of all information, documents and communication in connection with the services for regulatory and risk management purposes.
Appears in 1 contract
Samples: Investment Agreement
