Common use of Recordkeeping/Information Services Clause in Contracts

Recordkeeping/Information Services. 4.5 The T1CB shall prepare, print and issue by ordinary mail or otherwise deliver directly to Clients, with respect to the trades cleared by the T1CB referred to in section 4.2, documents as required by applicable law and SRO Requirements including, without limitation: (a) confirmations of trades; (b) monthly statements summarizing transactions for the preceding month and closing positions, if any; (c) for inactive accounts, statements of securities and money balances held by the T1CB for Clients in accordance with applicable SRO Requirements, in the names of the T1CB and the T1IB, under account numbers provided by the T1CB. The roles of each of the T1CB and the T1IB shall be disclosed on each such document. A copy of all such documents shall be mailed or delivered to the T1IB at the same time and in the same manner as those documents are sent to Clients. 4.6 The T1CB shall maintain and keep current and proper all records and accounts in respect of Client accounts and T1IB principal business as prescribed by applicable law and SRO Requirements, including records and accounts of trades, of securities segregated and/or held in safekeeping on behalf of, and cash balances accruing to the credit of, Clients and the T1IB. 4.7 The T1CB shall provide the T1IB and the Applicable SROs with such information, including by way of access to electronic databases, in respect of the accounts of Clients and of the T1IB as the T1IB and the Applicable SROs may reasonably require in order to be fully informed with respect to the Clients' accounts, and the T1IB's principal business. Such information shall include the information described in Schedule "B" hereto.

Recordkeeping/Information Services. 4.5 The T1CB T4CB or its duly appointed agent shall prepare, print and issue by ordinary mail or otherwise deliver directly to Clients, with respect to the trades cleared by the T1CB T4CB referred to in section 4.24. 1, [note: this section is 4.2 if T4CB effects trades for T4IB and square-bracketed section 4.1 is included] documents as required by applicable law and SRO Requirements including, without limitation: (a) i. confirmations of trades; (b) ii. monthly statements summarizing transactions for the preceding month and closing positions, if any; (c) ; iii. for inactive accounts, statements of securities and money balances held by the T1CB T4CB for Clients in accordance with applicable SRO Requirements, in the names name[s] of the T1CB [T4CB and the T1IB- delete contents of square brackets and section 7.1 if choose to include sections 6.7 and 6.8] T4IB, under account numbers provided by the T1CBT4CB. [The roles of each of the T1CB T4CB and the T1IB T4IB shall be disclosed on each such document. document - delete contents of square brackets and section 7.1 if choose to include sections 6.7 and 6.8.] A copy of all such documents shall be mailed or delivered to the T1IB T4IB at the same time and in the same manner as those documents are sent to Clients. 4.6 The T1CB T4CB shall maintain and keep current and proper all records and accounts in respect of Client accounts and T1IB T4IB principal business as prescribed by applicable law and SRO Requirements, including records and accounts of trades, of securities segregated and/or held in safekeeping on behalf of, and cash balances accruing to the credit of, Clients and the T1IBT4IB. 4.7 The T1CB T4CB shall provide the T1IB T4IB and the Applicable SROs with such information, including by way of access to electronic databases, in respect of the accounts of Clients and of the T1IB T4IB as the T1IB T4IB and the Applicable SROs may reasonably require in order to be fully informed with respect to the Clients' accounts, and the T1IBT4IB's principal business. Such information shall include the information described in Schedule "B" hereto.

Recordkeeping/Information Services. 4.5 The T1CB T2CB or its duly appointed agent shall prepare, print and issue by ordinary mail or otherwise deliver directly to Clients, with respect to the trades cleared by the T1CB T2CB referred to in section 4.24.1, [note: this section is 4.2 if T2CB effects trades for T2IB and square-bracketed section 4.1 is included] documents as required by applicable law and SRO Requirements including, without limitation: (a) confirmations of trades; (b) monthly statements summarizing transactions for the preceding month and closing positions, if any; (c) for inactive accounts, statements of securities and money balances held by the T1CB T2CB for Clients in accordance with applicable SRO Requirements, in the names name[s] of the T1CB [T2CB and the T1IB- delete contents of square brackets and section 7.1 if choose to include sections 6.7 and 6.8] T2IB, under account numbers provided by the T1CBT2CB. [The roles of each of the T1CB T2CB and the T1IB T2IB shall be disclosed on each such document. document - delete contents of square brackets and section 7.1 if choose to include sections 6.7 and 6.8.] A copy of all such documents shall be mailed or delivered to the T1IB T2IB at the same time and in the same manner as those documents are sent to Clients. 4.6 The T1CB T2CB shall maintain and keep current and proper all records and accounts in respect of Client accounts and T1IB T2IB principal business as prescribed by applicable law and SRO Requirements, including records and accounts of trades, of securities segregated and/or held in safekeeping on behalf of, and cash balances accruing to the credit of, Clients and the T1IBT2IB. 4.7 The T1CB T2CB shall provide the T1IB T2IB and the Applicable SROs with such information, including by way of access to electronic databases, in respect of the accounts of Clients and of the T1IB T2IB as the T1IB T2IB and the Applicable SROs may reasonably require in order to be fully informed with respect to the Clients' accounts, and the T1IBT2IB's principal business. Such information shall include the information described in Schedule "B" hereto. 5 Undertakings of the T2CB

Recordkeeping/Information Services. 4.5 The T1CB T3CB or its duly appointed agent shall prepare, print and issue by ordinary mail or otherwise deliver directly to Clients, with respect to the trades cleared by the T1CB T3CB referred to in section 4.24.1, [note: this section is 4.2 if T3CB effects trades for T3IB and square-bracketed section 4.1 is included] documents as required by applicable law and SRO Requirements including, without limitation: (a) i. confirmations of trades; (b) ii. monthly statements summarizing transactions for the preceding month and closing positions, if any; (c) ; iii. for inactive accounts, statements of securities and money balances held by the T1CB T3CB for Clients in accordance with applicable SRO Requirements, in the names name[s] of the T1CB [T3CB and the T1IB- delete contents of square brackets and section 7.1 if choose to include sections 6.7 and 6.8] T3IB, under account numbers provided by the T1CBT3CB. [The roles of each of the T1CB T3CB and the T1IB T3IB shall be disclosed on each such document. document - delete contents of square brackets and section 7.1 if choose to include sections 6.7 and 6.8.] A copy of all such documents shall be mailed or delivered to the T1IB T3IB at the same time and in the same manner as those documents are sent to Clients. 4.6 The T1CB T3CB shall maintain and keep current and proper all records and accounts in respect of Client accounts and T1IB T3IB principal business as prescribed by applicable law and SRO Requirements, including records and accounts of trades, of securities segregated and/or held in safekeeping on behalf of, and cash balances accruing to the credit of, Clients and the T1IBT3IB. 4.7 The T1CB T3CB shall provide the T1IB T3IB and the Applicable SROs with such information, including by way of access to electronic databases, in respect of the accounts of Clients and of the T1IB T3IB as the T1IB T3IB and the Applicable SROs may reasonably require in order to be fully informed with respect to the Clients' accounts, and the T1IBT3IB's principal business. Such information shall include the information described in Schedule "B" hereto. 5 Undertakings of the T3CB

Recordkeeping/Information Services. 4.5 The T1CB shall prepare, print and issue by ordinary mail or otherwise deliver directly to Clients, with respect to the trades cleared by the T1CB referred to in section 4.24.02, documents as required by applicable law and SRO Requirements including, without limitation: (a) confirmations of trades; (b) monthly statements summarizing transactions for the preceding month and closing positions, if any; (c) for inactive accounts, statements of securities and money balances held by the T1CB for Clients in accordance with applicable SRO Requirements, in the names of the T1CB and the T1IB, under account numbers provided by the T1CB. The roles of each of the T1CB and the T1IB shall be disclosed on each such document. A copy of all such documents shall be mailed or delivered to the T1IB at the same time and in the same manner as those documents are sent to Clients. 4.6 The T1CB shall maintain and keep current and proper all records and accounts in respect of Client accounts and T1IB principal business as prescribed by applicable law and SRO Requirements, including records and accounts of trades, of securities segregated and/or held in safekeeping on behalf of, and cash balances accruing to the credit of, Clients and the T1IB.T1IB.‌‌‌ 4.7 The T1CB shall provide the T1IB and the Applicable SROs with such information, including by way of access to electronic databases, in respect of the accounts of Clients and of the T1IB as the T1IB and the Applicable SROs may reasonably require in order to be fully informed with respect to the Clients' accounts, and the T1IB's principal business. Such information shall include the information described in Schedule "B" hereto. 5. Undertakings of the T1CB

Recordkeeping/Information Services. 4.5 The T1CB T2CB or its duly appointed agent shall prepare, print and issue by ordinary mail or otherwise deliver directly to Clients, with respect to the trades cleared by the T1CB T2CB referred to in section 4.24.1, [note: this section is 4.2 if T2CB effects trades for T2IB and square-bracketed section 4.1 is included] documents as required by applicable law and SRO Requirements including, without limitation: (a) confirmations of trades; (b) monthly statements summarizing transactions for the preceding month and closing positions, if any; (c) for inactive accounts, statements of securities and money balances held by the T1CB T2CB for Clients in accordance with applicable SRO Requirements, in the names name[s] of the T1CB [T2CB and the T1IB- delete contents of square brackets and section 7.1 if choose to include sections 6.7 and 6.8] T2IB, under account numbers provided by the T1CBT2CB. [The roles of each of the T1CB T2CB and the T1IB T2IB shall be disclosed on each such document. document - delete contents of square brackets and section 7.1 if choose to include sections 6.7 and 6.8.] A copy of all such documents shall be mailed or delivered to the T1IB T2IB at the same time and in the same manner as those documents are sent to Clients. 4.6 The T1CB T2CB shall maintain and keep current and proper all records and accounts in respect of Client accounts and T1IB T2IB principal business as prescribed by applicable law and SRO Requirements, including records and accounts of trades, of securities segregated and/or held in safekeeping on behalf of, and cash balances accruing to the credit of, Clients and the T1IBT2IB. 4.7 The T1CB T2CB shall provide the T1IB T2IB and the Applicable SROs with such information, including by way of access to electronic databases, in respect of the accounts of Clients and of the T1IB T2IB as the T1IB T2IB and the Applicable SROs may reasonably require in order to be fully informed with respect to the Clients' accounts, and the T1IBT2IB's principal business. Such information shall include the information described in Schedule "B" hereto.

Recordkeeping/Information Services. 4.5 The T1CB T3CB or its duly appointed agent shall prepare, print and issue by ordinary mail or otherwise deliver directly to Clients, with respect to the trades cleared by the T1CB T3CB referred to in section 4.24.1, [note: this section is 4.2 if T3CB effects trades for T3IB and square-bracketed section 4.1 is included] documents as required by applicable law and SRO Requirements including, without limitation: (a) i. confirmations of trades; (b) ii. monthly statements summarizing transactions for the preceding month and closing positions, if any; (c) ; iii. for inactive accounts, statements of securities and money balances held by the T1CB T3CB for Clients in accordance with applicable SRO Requirements, in the names name[s] of the T1CB [T3CB and the T1IB- delete contents of square brackets and section 7.1 if choose to include sections 6.7 and 6.8] T3IB, under account numbers provided by the T1CBT3CB. [The roles of each of the T1CB T3CB and the T1IB T3IB shall be disclosed on each such document. document - delete contents of square brackets and section 7.1 if choose to include sections 6.7 and 6.8.] A copy of all such documents shall be mailed or delivered to the T1IB T3IB at the same time and in the same manner as those documents are sent to Clients. 4.6 The T1CB T3CB shall maintain and keep current and proper all records and accounts in respect of Client accounts and T1IB T3IB principal business as prescribed by applicable law and SRO Requirements, including records and accounts of trades, of securities segregated and/or held in safekeeping on behalf of, and cash balances accruing to the credit of, Clients and the T1IBT3IB. 4.7 The T1CB T3CB shall provide the T1IB T3IB and the Applicable SROs with such information, including by way of access to electronic databases, in respect of the accounts of Clients and of the T1IB T3IB as the T1IB T3IB and the Applicable SROs may reasonably require in order to be fully informed with respect to the Clients' accounts, and the T1IBT3IB's principal business. Such information shall include the information described in Schedule "B" hereto.

Recordkeeping/Information Services. 4.5 The T1CB T2CB or its duly appointed agent shall prepare, print and issue by ordinary mail or otherwise deliver directly to Clients, with respect to the trades cleared by the T1CB T2CB referred to in section 4.24.1, [note: this section is 4.2 if T2CB effects trades for T2IB and square-bracketed section 4.1 is included] documents as required by applicable law and SRO Requirements including, without limitation: (a) confirmations of trades;trades;‌ (b) monthly statements summarizing transactions for the preceding month and closing positions, if any; (c) for inactive accounts, statements of securities and money balances held by the T1CB T2CB for Clients in accordance with applicable SRO Requirements, in the names name[s] of the T1CB [T2CB and the T1IB- delete contents of square brackets and section 7.1 if choose to include sections 6.7 and 6.8] T2IB, under account numbers provided by the T1CBT2CB. [The roles of each of the T1CB T2CB and the T1IB T2IB shall be disclosed on each such document. document - delete contents of square brackets and section 7.1 if choose to include sections 6.7 and 6.8.] A copy of all such documents shall be mailed or delivered to the T1IB T2IB at the same time and in the same manner as those documents are sent to Clients. 4.6 The T1CB T2CB shall maintain and keep current and proper all records and accounts in respect of Client accounts and T1IB T2IB principal business as prescribed by applicable law and SRO Requirements, including records and accounts of trades, of securities segregated and/or held in safekeeping on behalf of, and cash balances accruing to the credit of, Clients and the T1IBT2IB. 4.7 The T1CB T2CB shall provide the T1IB T2IB and the Applicable SROs with such information, including by way of access to electronic databases, in respect of the accounts of Clients and of the T1IB T2IB as the T1IB T2IB and the Applicable SROs may reasonably require in order to be fully informed with respect to the Clients' accounts, and the T1IBT2IB's principal business. Such information shall include the information described in Schedule "B" hereto.