Regulated Persons and Entities; Control Persons and Insiders Sample Clauses

Regulated Persons and Entities; Control Persons and Insiders. Unless Client provides written Notice to IBKR otherwise, Client represents that Client is not: a broker­dealer; futures commission merchant; regulated investment professional; or affiliate, associated person or employee thereof. Client agrees to submit written Notice to IBKR immediately if Client becomes employed or associated with a broker­dealer, futures commission merchant or other type of regulated investment professional. Client will provide IBKR with immediate written Notice if Client, or any person or entity affiliated with Client or acting on Client's behalf, is or becomes an insider or control person with respect to any security listed on any exchange.
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Regulated Persons and Entities; Control Persons and Insiders. Unless Client provides written Notice to GPS otherwise, Client represents that Client is not: a broker- dealer; futures commission merchant; regulated investment professional; or affiliate, associated person or employee thereof. Client agrees to submit written Notice to GPS immediately if Client becomes employed or associated with a broker-dealer, futures commission merchant or other type of regulated investment professional. Client will provide GPS with immediate written Notice if Client,or any person or entity affiliated with Client or acting on Client's behalf, is or becomes an insideror control person with respect to any security listed on any exchange.
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Regulated Persons and Entities; Control Persons and Insiders. Unless Client provides written Notice to GPS and IBKR to the contrary, Client represents and warrants that Client is not: a broker-dealer, regulated investment professional; or affiliate, associated person, or employee thereof or of any Regulatory Authority or Market Participant. Client agrees to submit written Notice to GPS and IBKR immediately if Client becomes employed or associated with a broker-dealer, or other type of regulated investment professional, Regulatory Authority or Market Participant. Client will provide GPS with immediate written Notice if Client or any person or entity affiliated with Client or acting on Client’s behalf, is or becomes an insider or control person with respect to any publicly traded security.
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Related to Regulated Persons and Entities; Control Persons and Insiders

  • Access to Persons and Records The State Auditor shall have access to persons and records as a result of all contracts or grants entered into by State agencies or political subdivisions in accordance with General Statute 147-64.7. Additionally, as the State funding authority, the Department of Health and Human Services shall have access to persons and records as a result of all contracts or grants entered into by State agencies or political subdivisions.

  • Obligations and Activities of Business Associate Business Associate agrees to: a. Not use or disclose Protected Health Information other than as permitted or required by this BAA, the Agreement, or as required by law; b. Use appropriate safeguards, and comply with Subpart C of 45 CFR Part 164 with respect to electronic Protected Health Information, to prevent Use or Disclosure of Protected Health Information other than as provided for by this BAA; c. Report to Covered Entity any Use or Disclosure of Protected Health Information not provided for by this BAA of which it becomes aware, including breaches of Unsecured Protected Health Information as required at 45 CFR 164.410, and any Security Incident of which it becomes aware; d. In accordance with 45 CFR 164.502(e)(1)(ii) and 164.308(b)(2), if applicable, ensure that any Subcontractors that create, receive, maintain, or transmit Protected Health Information on behalf of the Business Associate agree to the same restrictions, conditions, and requirements that apply to Business Associate with respect to such information; e. Make available Protected Health Information in a Designated Record Set to Covered Entity or to an individual whose Protected Health Information is maintained by Business Associate, or the individual’s designee, and document and retain the documentation required by 45 CFR 164.530(j), as necessary to satisfy Covered Entity’s obligations under 45 CFR 164.524; f. Make any amendment(s) to Protected Health Information in a Designated Record Set as directed or agreed to by the Covered Entity pursuant to 45 CFR 164.526, or take other measures as necessary to satisfy Covered Entity’s obligations under 45 CFR 164.526; g. Maintain and make available the information required to provide an accounting of Disclosures to the Covered Entity as necessary to satisfy Covered Entity’s obligations under 45 CFR 164.528; h. To the extent the Business Associate is to carry out one or more of Covered Entity's obligation(s) under Subpart E of 45 CFR Part 164, comply with the requirements of Subpart E that apply to the Covered Entity in the performance of such obligation(s); and i. Make its internal practices, books, and records available to the Secretary for purposes of determining Business Associate’s or Covered Entity’s compliance with HIPAA and HIPAA Regulations.

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