REPORTING TRANSACTIONS AND ACCOUNT STATEMENTS Sample Clauses

REPORTING TRANSACTIONS AND ACCOUNT STATEMENTS. Trade Confirmations
Sample 1Sample 2Sample 3See All (6)
AutoNDA by SimpleDocs
REPORTING TRANSACTIONS AND ACCOUNT STATEMENTS. Trade Confirmations: Following the execution of a dealing Instruction for the Client’s Account, we shall send the Client an electronic confirmation concerning the said Transaction and/or Contract as soon as reasonably feasible, and in any case within the time defined by relevant laws and regulations, by posting a trade confirmation (“Trade Confirmation”) on our Online Trading Facility. Nevertheless, failure to do so shall not affect the validity of the transaction. Settlement/Trade Confirmations shall normally be available instantly following the execution of the Transaction on our Online Trading Facility. Additionally, we shall send the Client a monthly statement in relation to the activity of his/her account(s) (“Account Statement”), including, details of the contents and value of his/her Account, open positions and any other information required to be disclosed under the relevant laws and regulations. Trade Confirmations and Account Statements are electronically transmitted or otherwise sent to the Client at his/her latest known email address kept in our records and shall be deemed to have been received by the Client when sent to the respective address. Trade Confirmations and Account Statements shall be deemed to be conclusive and binding on the Client if not objected to immediately upon receipt. The objection should be confirmed in writing (including e-mail or electronic mail) not later than the close of business on the same business day (provided this being a day, other than a Saturday, Sunday or public holiday, when banks in Cyprus are open for business) - (a “Business Day”) following the day on which the Trade Confirmation has been posted on our Online Trading Facility. In the event where you have reasons to believe the Client has entered into a Transaction or Contract, which should have produced a Trade Confirmation or Account Statement or otherwise a posting on his/her Account, without receiving such confirmation, the Client must inform the Company immediately. In the absence of such provision of notification, the Transaction and/or Contract may, at our reasonable discretion, be deemed to be nonexistent.
Sample 1Sample 2Sample 3
REPORTING TRANSACTIONS AND ACCOUNT STATEMENTS. 13.1. The Client acknowledges that confirmation of Transactions’ execution on each trading day will be available through the Company’s Trading Platform and through the clients registeredemail as each Transaction is executed. If orders were placed through the Company’s Online 13.2. Trading Platform, confirmation of execution and statements of the Client’s trading account, in the absence of manifest error, shall be deemed correct, conclusive, and binding upon the Client, if not objected to within three (3) days by e-mail. 13.3. The Client acknowledges that in cases where prevailing market represents prices different from the prices posted online by the Company’s Trading Platform, the Company will attempt, on a best-efforts basis and in good faith, to execute Market Orders on or close to the prevailing market prices. This may or may not adversely affect Client’s realized and unrealized gains and losses.
Sample 1Sample 2
REPORTING TRANSACTIONS AND ACCOUNT STATEMENTS. 22.1 We will send out an electronic confirmation in respect of each Transaction as soon as reasonably practicable and in any event within the time required by the FCA Rules. 22.2 After executing a trade which closes out an Open Position, your confirmation will include a difference account, showing your profit or loss arising from the closing out which will be credited to or debited from your Account and due for immediate settlement. 22.3 Confirmations of Transactions are electronically transmitted or otherwise sent to you at your last known address, email address or fax number in our records will be deemed to have been received by you when sent to the relevant address. 22.4 Unless otherwise agreed we will send you a monthly statement of every account comprised in your Account which includes or may include uncovered Open Positions. Performance measurement will not be provided other than by special arrangement. The statement shall include details of the contents and value of your Account and Open Positions and such other information as may be agreed from time to time by us or as is required to be disclosed under the FCA Rules. 22.5 Any confirmation, statement of Account, report or certificate issued by us in respect of any Transaction or other matter shall be conclusive and binding on you unless objection in writing is received by us within 10 Business Days of the actual or deemed delivery date. 22.6 Occasionally (whether due to human or technical errors), discrepancies may occur in our confirmations, statements of Account, reports or certificates. Provided that we advise you of such errors and / or discrepancies as soon as practical you will be bound by the relevant confirmation, statement of Account, report or certificate (as so corrected) irrespective of when the relevant error or discrepancy is discovered by us. 22.7 Where we are required under Applicable Law to report transactions with you to the FCA or otherwise, you will need to obtain and provide us with a valid Legal Entity Identifier (LEI) or your national insurance number or such other information as we may require to determine your national client identifier, before you can place Orders via our Platform or through our dealing room. 22.8 Depreciation of initial value of your Transaction/Order: As per the applicable regulations, we will notify you if the initial value of any Transaction/Order on any Financial Instrument, placed to create an Open Transaction/Order, depreciates by at least 10% and th...
Sample 1
REPORTING TRANSACTIONS AND ACCOUNT STATEMENTS. 8.11.1. Trade Confirmations Confirmations for all Transactions that we have executed on your behalf on that trading day will be available on the mobile app and are updated online as each Transaction is executed. Confirmation of execution and statements of your Account(s), in the absence of manifest error, shall be deemed correct, conclusive and binding upon you, if not objected to within three days by email, if orders were placed through the Company’s Online Trading Platform. In cases where the prevailing market represents prices different from the prices posted online by the Company on the Website and the mobile app, the Company will attempt, on a best efforts basis and in good faith, to execute Market Orders on or close to the prevailing market prices. This may or may not adversely affect Client’s realized and unrealized gains and losses. The Client might request to receive the Account statement monthly or quarterly via email, by providing such a request to the Client Support Department (xxxxxxx@xxxxxxx.xxx).
Sample 1
REPORTING TRANSACTIONS AND ACCOUNT STATEMENTS. 14.1. dŚĞ ůŝĞŶƚ ĂĐŬŶŽǁůĞĚŐĞƐ ƚŚĂƚ ĐŽŶĨŝƌŵĂƚŝŽŶ ŽĨ ǁŝůů ďĞ ĂǀĂŝůĂďůĞ ƚŚƌŽƵŐŚ ƚŚĞ ŽŵƉĂŶLJ͛Ɛ dƌĂĚ email as each Transaction is executed. If orders were placed through the ŽŵƉĂOŶnlLJine͛Ɛ 14.2. dƌĂĚŝŶŐ WůĂƚĨŽƌŵ͕ ĐŽŶĨŝƌŵĂƚŝŽŶ ŽĨ ĞdžĞĐƵƚŝŽŶ in the absence of manifest error, shall be deemed correct, conclusive, and binding upon the Client, if not objected to within three (3) days by e-mail.
Sample 1
REPORTING TRANSACTIONS AND ACCOUNT STATEMENTS 
Sample 1Sample 2
AutoNDA by SimpleDocs

Related to REPORTING TRANSACTIONS AND ACCOUNT STATEMENTS

  • Master Servicer’s Financial Statements and Related Information For each year this Agreement is in effect, the Master Servicer shall submit to the Trustee, any NIMS Insurer, each Rating Agency and the Depositor a copy of its annual unaudited financial statements on or prior to March 15 of each year, beginning March 15, 2006. Such financial statements shall include a balance sheet, income statement, statement of retained earnings, statement of additional paid-in capital, statement of changes in financial position and all related notes and schedules and shall be in comparative form, certified by a nationally recognized firm of Independent Accountants to the effect that such statements were examined and prepared in accordance with generally accepted accounting principles applied on a basis consistent with that of the preceding year.

  • Tax and Accounting Treatment Each party to this Agreement acknowledges that it is its intent for purposes of U.S. federal, state and local income and franchise taxes, and for accounting purposes, to treat each Transaction as indebtedness of Seller that is secured by the Purchased Mortgage Loans and that the Purchased Mortgage Loans are owned by Seller in the absence of a Default by Seller. All parties to this Agreement agree to such treatment and agree to take no action inconsistent with this treatment, unless required by applicable Requirements of Law or GAAP.

  • Foreign Asset/Account Reporting Information Italian residents who, at any time during the fiscal year, hold foreign financial assets (including cash and Shares) which may generate income taxable in Italy are required to report these assets on their annual tax returns (UNICO Form, RW Schedule) for the year during which the assets are held, or on a special form if no tax return is due. These reporting obligations will also apply to Italian residents who are the beneficial owners of foreign financial assets under Italian money laundering provisions.

  • Financial Statements; Absence of Undisclosed Liabilities (a) Parent has made available to Buyer copies of (i) the combined audited balance sheets of the Business as of December 31, 2016 and 2015, and related audited statements of income, changes in equity and cash flows for the years then ended (the “Annual Financial Statements”) and (ii) the unaudited combined pre-tax balance sheet of the Business as of June 30, 2017, in each case excluding the Medical Device Business (the “Interim Balance Sheet”). The Annual Financial Statements (A) are derived from, and have been prepared in accordance with, the consolidated financial statements and books and records of Parent and its Affiliates, (B) fairly present, in all material respects, the financial position of the Business (excluding the Medical Device Business) as of the dates indicated, and (C) fairly present, in all material respects, the assets and liabilities, the results of the operations, changes in equity and cash flows of the Business (excluding the Medical Device Business) for the periods then ended. The Annual Financial Statements have been prepared in accordance with GAAP applied on a consistent basis throughout the periods indicated. The Interim Balance Sheet is derived from, and has been prepared in accordance with, the consolidated financial statements and books and records of Parent and its Affiliates, except that it does not include footnote disclosure and does not include income tax-related accruals and disclosures. (b) There are no material Liabilities of Parent or any of its Affiliates (to the extent relating to the Business) or of any Transferred Subsidiary or the Business (whether accrued, absolute, contingent or otherwise) required by GAAP to be set forth on a combined balance sheet of the Business, except (i) Liabilities expressly reflected, reserved for or disclosed in the Interim Balance Sheet, (ii) Liabilities incurred or accrued in the ordinary course of business consistent with past practice since the Balance Sheet Date, (iii) Liabilities incurred in connection with the transactions contemplated hereby, or (iv) Excluded Liabilities. (c) Parent maintains systems of internal accounting controls sufficient to provide reasonable assurances regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with GAAP in all material respects, including internal accounting controls sufficient to provide reasonable assurance that: (i) transactions are executed in accordance with management’s general or specific authorization, and (ii) transactions are recorded as necessary to permit the preparation of financial statements of the Business in conformity with GAAP and maintain accountability for assets. There are no material weaknesses or significant deficiencies (as such terms are defined in Regulation S-X) in Parent’s internal controls likely to adversely affect its ability to record, process, summarize and report financial information of the Business and there has not been any fraud, whether or not material, that involves management or other employees of the Business who have a significant role in Parent’s internal controls over financial reporting.

  • Annual Independent Public Accountants' Servicing Statement; Financial Statements On or before 120 days after the end of the Master Servicer's fiscal year, commencing with its 2002 fiscal year, the Master Servicer at its expense shall cause a nationally or regionally recognized firm of independent public accountants (who may also render other services to the Master Servicer, the Seller or any affiliate thereof) which is a member of the American Institute of Certified Public Accountants to furnish a statement to the Trustee and the Depositor to the effect that such firm has examined certain documents and records relating to the servicing of the Mortgage Loans under this Agreement or of mortgage loans under pooling and servicing agreements substantially similar to this Agreement (such statement to have attached thereto a schedule setting forth the pooling and servicing agreements covered thereby) and that, on the basis of such examination, conducted substantially in compliance with the Uniform Single Attestation Program for Mortgage Bankers or the Audit Program for Mortgages serviced for FNMA and FHLMC, such servicing has been conducted in compliance with such pooling and servicing agreements except for such significant exceptions or errors in records that, in the opinion of such firm, the Uniform Single Attestation Program for Mortgage Bankers or the Audit Program for Mortgages serviced for FNMA and FHLMC requires it to report. In rendering such statement, such firm may rely, as to matters relating to direct servicing of mortgage loans by Subservicers, upon comparable statements for examinations conducted substantially in compliance with the Uniform Single Attestation Program for Mortgage Bankers or the Audit Program for Mortgages serviced for FNMA and FHLMC (rendered within one year of such statement) of independent public accountants with respect to the related Subservicer. Copies of such statement shall be provided by the Trustee to any Certificateholder upon request at the Master Servicer's expense, provided that such statement is delivered by the Master Servicer to the Trustee.

  • SEC Filings; Financial Statements; Information Provided (a) All forms, reports and other documents required to be filed by the Company with the SEC since January 1, 2001 (including those that the Company may file after the date hereof until the Closing) are referred to herein as the “Company SEC Reports.” Except as set forth in Section 3.4 of the Company Disclosure Schedule, the Company SEC Reports (i) were or will be filed on a timely basis and (ii) were or will be prepared in compliance in all material respects with the applicable requirements of the Securities Act, and the Exchange Act, as the case may be, applicable to such Company SEC Reports. None of the Company SEC Reports when filed, after giving effect to any amendments and supplements thereto filed prior to the date hereof, contained any untrue statement of a material fact or omitted to state any material fact required to be stated therein or necessary in order to make the statements therein, in light of the circumstances under which they were made, not misleading. None of the Company’s Subsidiaries has filed, or is obligated to file, any forms, reports, schedules, statements or other documents with the SEC. As used in this Section 3.4(a), the term “filed” shall be broadly construed to include any manner in which a document or information is furnished, supplied or otherwise made available to the SEC. (b) Each of the consolidated financial statements (including, in each case, any related notes and schedules) contained or to be contained in the Company SEC Reports (i) complied or will comply as to form in all material respects with applicable accounting requirements and the published rules and regulations of the SEC with respect thereto, (ii) were or will be prepared in accordance with generally accepted accounting principles (“GAAP”) applied on a consistent basis throughout the periods involved (except as may be indicated in the notes to such financial statements or, in the case of unaudited statements, as permitted by the SEC on Form 10-Q under the Exchange Act or for normal year-end adjustments) and (iii) fairly presented or will fairly present the financial position of the Company as of the dates thereof and the results of its operations and cash flows for the periods indicated, except that the unaudited interim financial statements were or are subject to normal and recurring year-end adjustments that have not been and are not expected to be material to the Company. The unaudited balance sheet of the Company as of June 30, 2004 is referred to herein as the “Company Balance Sheet.” (c) The information to be supplied by the Company for inclusion in the registration statement on Form S-4 pursuant to which the Company Series A Preferred Stock issued in the Merger and the Company Common Stock issuable upon conversion of the Company Series A Preferred Stock will be registered under the Securities Act (including any amendments or supplements, the “Registration Statement”), shall not at the time the Registration Statement is declared effective by the SEC contain any untrue statement of a material fact or omit to state any material fact required to be stated in the Registration Statement or necessary in order to make the statements in the Registration Statement not misleading. The information to be supplied by the Company for inclusion in the joint proxy statement/prospectus (the “Proxy Statement”) to be sent to the stockholders of the Company in connection with the meeting of the Company’s stockholders to consider the adoption of this Agreement and the Merger (the “Company Meeting”) and the Partners in connection with the Fund Consent Solicitation (as herein defined) shall not, on the date the Proxy Statement is first mailed to stockholders of the Company and the Partners, at the time of the Company Meeting and at the Effective Time, contain any statement which, at such time and in light of the circumstances under which it shall be made, is false or misleading with respect to any material fact, or omit to state any material fact necessary in order to make the statements made in the Proxy Statement not false or misleading; or omit to state any material fact necessary to correct any statement in any earlier communication with respect to the solicitation of proxies for the Company Meeting or the solicitation of consents in connection with the Fund Consent Solicitation which has become false or misleading. If at any time prior to the Effective Time any event relating to the Company, any Affiliate (as defined below) of the Company, or any officers or directors of any of them, should be discovered by the Company which should be set forth in an amendment to the Registration Statement or a supplement to the Proxy Statement, the Company shall promptly inform the Fund. As used in this Agreement, the term

  • Foreign Asset/Account Reporting Notice Argentine residents must report any Shares acquired under the Plan and held by the resident on December 31st of each year on their annual tax return for that year. In addition, when the Employee acquires, sells, transfers or otherwise disposes of Shares, the Employee must register the transaction with the Federal Tax Administration. Argentine residents should consult with their personal tax advisor to determine their personal reporting obligations.

  • Definitions and Accounting Matters Section 1.01 Terms Defined Above 1 Section 1.02 Certain Defined Terms 1 Section 1.03 Types of Loans and Borrowings 20 Section 1.04 Terms Generally; Rules of Construction 20 Section 1.05 Accounting Terms and Determinations; GAAP 21

  • Foreign Assets/Account Reporting Information Italian residents who, during the fiscal year, hold investments abroad or foreign financial assets (e.g., cash, Shares and RSUs) which may generate income taxable in Italy are required to report such on their annual tax returns (UNICO Form, RW Schedule) or on a special form if no tax return is due. The same reporting obligations apply to Italian residents who, even if they do not directly hold investments abroad or foreign financial assets (e.g., cash, Shares and RSUs), are beneficial owners of the investment pursuant to Italian money laundering provisions.

  • Books Records Reports and Bank Accounts 8.1 Maintenance of Books 45 8.2 Reports 46 8.3 Information Rights 46 8.4 Bank Accounts 46 8.5 Fiscal Year 46

Draft better contracts in just 5 minutes Get the weekly Law Insider newsletter packed with expert videos, webinars, ebooks, and more!