Related Registrants Sample Clauses

Related Registrants. Member acknowledges that individuals who are members of the Exchange’s Board may be employees, officers, directors or partners of registrants under applicable Ontario and other securities laws. The Exchange has developed policies and procedures to address real or perceived conflicts of interest arising as a result of any real, perceived or potential conflicts of interest that may arise as a result of such relationships.

Related Registrants. Where XXX has a principal shareholder, director or officer that is a principal shareholder, director or officer of another registrant, XXX shall adopt policies and procedures to minimize the potential for conflict of interest resulting from such relationship(s). XXX is also required to disclose to clients in writing, initially before making a trade for or providing advice to the client, and in a timely manner thereafter and, if possible, before making the next trade for or providing advice to the client, if there are any significant changes to this disclosure, the details of the relationship(s) and the policies and procedures adopted to minimize the potential for conflicts of interest resulting from such relationships. Sprott Private Wealth LP (“SPW”), a registrant, is related to XXX, by virtue of each of XXX and SPW having SI as a direct or indirect holder of 100% of the voting securities of each general partner of XXX and SPW.

Related Registrants. Where SXX has a principal shareholder, director or officer that is a principal shareholder, director or officer of another registrant, SXX shall adopt policies and procedures to minimize the potential for conflict of interest resulting from such relationship(s). SXX is also required to disclose to clients in writing, initially before making a trade for or providing advice to the client, and in a timely manner thereafter and, if possible, before making the next trade for or providing advice to the client, if there are any significant changes to this disclosure, the details of the relationship(s) and the policies and procedures adopted to minimize the potential for conflicts of interest resulting from such relationships. SPW, a registrant, is related to SXX, by virtue of each of SXX and SPW having SI as a direct or indirect holder of 100% of the voting securities of each general partner of SXX and SPW. The principal business activity of SXX is to act as a portfolio manager for separately managed investment accounts of its clients (a “SXX Managed Account”) and investment funds it manages (a “SXX Investment Fund”). SAM’s activities as a dealer are primarily the marketing of SXX Investment Funds to clients of SXX or to investment dealers or mutual fund dealers. In providing trading and advisory services to our clients it is important that our clients understand our interests in the service or transaction. We must make certain disclosures where we: (a) act as your dealer/broker; (b) advise you; or (c) exercise discretion on your behalf, with respect to securities issued by us, by a related issuer or, in the course of a distribution, by a connected issuer (collectively, “Related Securities”). In these situations, we must disclose our relationship with the issuer of the securities. We must also make disclosure to you where we know or should know that, as a result of our acting as your dealer/broker or adviser, or of our exercising discretion on your behalf, Related Securities will be purchased or sold by you through us. The following is a list of the time and manner in which these disclosures must be made: · Where we purchase or sell securities for your account, a disclosure will be contained in the confirmation of trade and monthly statement, which we prepare and send to you. · Where we advise you with respect to the purchase, sale or holding of securities, the disclosure must be made prior to our giving the advice. · If there is a significant change to the infor...