Regulatory Disclosure Sample Clauses

Regulatory Disclosure. Under limited circumstances, we may disclose your personal information to third parties as permitted by, or required to comply with, Applicable Laws, Rules and/or Regulations in the jurisdiction of which you are a citizen or a permanent resident, or, in the case of a Legal Entity is formed, incorporated, domiciliation and/or doing business, and/or of the jurisdiction in which we are organized and/or is performing the Services provided hereunder. For example, we may disclose personal information to cooperate with regulatory authorities and law enforcement agencies to comply with subpoenas or other official requests, and as necessary to protect our rights or property. Except as described herein, we will not use your personal information for any other purpose, unless we describe how such information will be used at the time you disclose it to us, or we obtain your permission.

Regulatory Disclosure. Xxxxxxx Xxxxx Xxxxxxx Investments Limited is authorised and regulated by the Financial Conduct Authority (FCA) and is bound by the applicable FCA rules outlined in its Handbook. The firm’s Financial Services Register number is 483868. The firm’s permitted business is arranging, advising, dealing as agent, and making arrangement for undertaking transactions in investments. 2.1. Xxxxxxx Xxxxx Xxxxxxx Investments Ltd (CSSI) is a privately-owned traditional stockbroker involved in advising our clients on stock exchange traded investments. Our investment advice is limited to stocks and share based investments and derivatives based on these and where appropriate quoted investment trusts, FX, Government and corporate bonds and securities. As our investment advice does not cover all retail investment products, for example, we do not give advice on unitised investment products, life policies or pension- based products, under the Retail Distribution Review (RDR), we classify ourselves as being “restricted”. We only provide advice on stockbroking and associated products. 2.2. If you have signed up for our Classic Advisory service, we shall deal with your investments on an advisory basis or on an execution-only basis on those occasions you give us a direct dealing instruction without any advice being given by us. 2.3. If you have signed up for our Classic Execution Only service, we will not advise you on the merits of the transactions at the time of execution or on an outgoing basis. Additionally, we will not advise on whether the transaction is suitable for you. 2.4. We may also provide advice on investment services that are not regulated by the Financial Conduct Authority, and accordingly the protection afforded by that legislation is not available to you with regard to this. There is no compensation scheme for such products and services. We will notify you in all instances when this is the case.

Regulatory Disclosure. The statements set forth in the Registration Statement, the Pricing Disclosure Package and the Prospectus under the caption “Supervision and Regulation,” insofar as such statements purport to describe laws and regulations specifically referred to therein, and subject to the qualifications, exceptions, assumptions and limitations described therein, are accurate, complete and fair in all material respects.

Regulatory Disclosure. The Issuer acknowledges, in connection with the purchase and sale of the Bonds, the offering of the Bonds for sale and the discussions and negotiations relating to the terms of the Bonds pursuant to and as set forth in this Agreement, that: (a) the Placement Agent has acted at arm’s length, is acting solely for its own account and is not an agent of or advisor to (including, without limitation, a Municipal Advisor (as such term is defined in Section 975(e) of the Xxxx-Xxxxx Xxxx Street Reform and Consumer Protection Act)), and owes no fiduciary duty to the Issuer or any other person, (b) the Placement Agent’s duties and obligations to the Issuer shall be limited to those contractual duties and obligations set forth in this Agreement, (c) the Placement Agent may have interests that differ from those of the Issuer, and (d) the Issuer has consulted its legal and financial advisors to the extent it deemed appropriate in connection with the offering and sale of the Bonds. The Issuer further acknowledges and agrees that it is responsible for making its judgment with respect to the offering and sale of the Bonds and the process leading thereto. The Issuer agrees that it will not claim that the Placement Agent acted as a Municipal Advisor to the Issuer or rendered advisory services of any nature or respect, or owes a fiduciary or similar duty to the Issuer, in connection with the offering or sale of the Bonds or the process leading thereto.

Regulatory Disclosure. Under limited circumstances, we may disclose your personal information to third parties as permitted by, or required to comply with, Applicable Laws, Rules and/or Regulations in the jurisdiction of which you are a citizen or a permanent resident, and/or of the jurisdiction in which we are organized and/or are performing the Services provided hereunder. For example, we may disclose personal information to cooperate with regulatory authorities and law enforcement agencies to comply with subpoenas or other official requests, and as necessary to protect our rights or property. Except as described herein, we will not use your personal information for any other purpose, unless we describe how such information will be used at the time you disclose it to us or we obtain your permission. We, Our Associates or a Third Party Service Provider may disclose Personal Data about you to those who provide services to us, to any person to whom we, our Associates or a Third Party Service Provider transfers or proposes to transfer any of our or its rights or obligations under these Terms, and to licensed credit reference agencies or other organizations that help us, our Associates or Third Party Service Providers and others to make credit decisions and reduce the incidence of fraud or in the course of carrying out identity, fraud prevention or credit control checks.

Regulatory Disclosure. The statements included in the Registration Statement, the Pricing Disclosure Package and the Prospectus under the caption “Business—Government regulation and product approval” fairly summarize the matters described therein in all material respects and with respect to applicable laws of the FDA (or foreign equivalents) which as of the date hereof are material to the businesses of the Company and its subsidiaries.

Regulatory Disclosure. (a) The Company agrees and gives consent to the disclosure by any Finance Party of all or any: (i) information and data relating to the Company; (ii) the information or data relating to the Debentures or the Debt and the Company’s obligations in under the Transaction Documents; and (iii) default, if any, committed by the Company in discharge of any obligation under the Transaction Documents; as the Finance Party may deem appropriate and necessary, to disclose and furnish to CIBIL, any information utility formed under Applicable Law and any other agency authorized in this behalf by the RBI or any other Governmental Authority. (b) The Company further declares that the information, data and documents (including faxed copies and by electronic means) furnished by the Company to any Debenture Holders or the Trustee or any of its consultants and advisors is/shall be true, correct, complete and the copies conform in all respects to the originals and further undertakes and declares that: (i) CIBIL, SEBI, RBI, any information utility formed under Applicable Law and any other agency so authorized may use, process the said information and data disclosed by any Finance Party in the manner as deemed fit by them; and (ii) CIBIL, any information utility formed under Applicable Law and any other agency so authorized may furnish for consideration, the processed information and data or products thereof prepared by them to banks/financial institutions and other credit grantors or registered users, as may be specified by the RBI in this behalf. (c) Upon the occurrence of any Event of Default, any Finance Party may disclose the name of the Company and the directors of the Company as defaulters to the RBI, CIBIL or any credit information company registered with the RBI, any information utility formed under Applicable Law, or any other credit information bureau. The Company acknowledges and also hereby provides its consent to the Finance Parties, RBI, CIBIL or any other credit information bureau to publish its name and the names of its directors (including their photographs) as defaulters in such manner and through such medium as the Finance Parties, RBI, CIBIL or any other credit information bureau may in their absolute discretion think fit.

Regulatory Disclosure. The statements incorporated by reference in the Registration Statement, the Pricing Disclosure Package and the Prospectus under the captions “Risk factors—Risks related to regulatory approval of our product candidates and other legal compliance matters” from the Company’s Quarterly Report on Form 10-Q for the three months ended September 30, 2019 and “Business—Government regulation and product approvals” from the Company’s Annual Report on Form 10-K for the year ended December 31, 2018, in each case, fairly summarize the matters described therein in all material respects.

Regulatory Disclosure. The statements included in the Registration Statement, the General Disclosure Package and the Prospectus under the caption “Business—Regulatory Matters” fairly summarize the matters described therein in all material respects.

Regulatory Disclosure. Lender acknowledges that Borrower may be required to disclose to insurance or securities regulatory authorities or other governmental entities certain information concerning Lender and its owners, and, if required by applicable insurance or securities Law or orders or by any insurance or securities commission or other regulatory authority, Lender will, in a timely manner, execute, deliver, file and otherwise assist Borrower in filing, such reports, undertakings and other documents with respect to the issuance and sale of the Preferred Stock and the Loans as may be required or requested by Borrower to enable Borrower to comply with applicable insurance or securities Law.