Common use of Request for Information Clause in Contracts

Request for Information. 1. Requests for information by the Requesting Authority should be in writing, or in accordance with paragraph 2 where it is urgent, and include the following elements: (a) the Authorities involved, the field of supervision concerned and the purpose for which the information is sought; (b) the name of the person or Regulated Entity concerned; (c) details of the request which may include a description of the facts underlying the request, specific questions under investigation, and an indication of any sensitivity about the request; (d) the information requested; (e) the date by which the information is requested and any relevant legal deadlines; and (f) if relevant, whether, how, and to whom any of the information may be passed consistent with Article 7. 2. For urgent requests, a request can be presented orally, and should be followed by written confirmation without undue delay. 3. The Requested Authority should handle the request as follows: (a) The Requested Authority should confirm receipt of the request. (b) The Requested Authority should assess each request on a case-by-case basis to determine the fullest extent of information that can be provided under the terms of this Memorandum of Understanding and the procedures applicable in the jurisdiction of the Requested Authority. In deciding whether and to what extent to fulfil a request, the Requested Authority may take into account: (i) whether the request conforms with the Memorandum of Understanding; (ii) whether compliance with the request would be so burdensome as to disrupt the proper performance of the Requested Authority’s functions; (iii) whether it would be otherwise contrary to the essential interest of the Requested Authority’s jurisdiction to provide the information requested; (iv) any other matters specified by the Applicable Law of the Requested Authority’s jurisdiction (in particular those relating to confidentiality and professional secrecy, data protection and privacy, and procedural fairness); and (v) whether complying with the request may otherwise be prejudicial to the performance by the Requested Authority of its functions. (c) Where a Requested Authority denies or is unable to provide all or part of the requested Information, the Requested Authority should, to the extent practical and appropriate subject to Applicable Law, explain its reasons for not providing the information and consider possible alternative ways to meet the supervisory objective of the Requesting Authority. A request for Information may, in particular, be denied by the Requested Authority where the request would require the Requested Authority to act in a manner that would violate its Applicable Law.

Request for Information. 1. Requests for Upon request and in accordance with Paragraph 7 below, each Authority will use its reasonable endeavours to provide the other Authority with assistance: (a) in obtaining information not otherwise available to the Requesting Authority; and (b) to enable the Requesting Authority to interpret and assess a Covered Entity’s compliance with Domestic Law that is administered or made by the Requesting Authority. 2. The information exchanged may, subject to any restriction on the disclosure or sharing of information under Domestic Law, include: (a) information which would enable the Requesting Authority should to verify that a Covered Entity is in compliance with the relevant obligations and requirements of the Domestic Law in the Requesting Authority’s jurisdiction that is administered or made by the Requesting Authority; (b) information relevant to the financial and operational condition of a Covered Entity, including, for example, reports on capital reserves, liquidity or other prudential measures, and internal control procedures, where this is held and can be easily obtained; (c) relevant supervisory information and reports a Covered Entity is required to submit to an Authority including, for example: interim and annual financial statements and early warning notices; (d) any inspection findings formally communicated to a Covered Entity in writing; (e) information relevant for monitoring and responding to the potential implications of the activities of Covered Entities to ensure the proper functioning of the financial markets; (f) other information which is relevant to a Covered Fund; and (g) enforcement action against any Covered Management Company which has, had or may have significant impact on the operations of such Covered Management Company in the Requesting Authority’s jurisdiction. 3. Each Authority intends, upon request of the other Authority, to provide information relating to a Covered Fund, including the status, additional terms and conditions, and any waiver granted, in respect of the authorisation or approval of a Covered Fund. 4. For the avoidance of doubt, this Paragraph 6 does not apply to the disclosure or sharing of non- public information for any Enforcement Purposes in the jurisdiction of the Requesting Authority, which will be governed by the terms and conditions of the IOSCO MMoU. 1. A request for information in accordance with paragraph 2 where it is urgent, Paragraph 6 above would be made in writing and include addressed to the following elementsrelevant contact point set out in Appendix A. 2. A request would specify the following: (a) the Authorities involvedinformation sought by the Requesting Authority, including specific questions to be asked and indications of any sensitivity regarding the field request; (b) a concise description of supervision concerned the facts underlying the request and the supervisory purpose for which the information is sought; (b) , including the name of Domestic Law applicable to the person or Regulated Entity concerned;supervisory activity; and (c) details of the request which may include a description of desired time period for responding and, where appropriate, the facts underlying the request, specific questions under investigation, and an indication of any sensitivity about the request; (d) the information requested; (e) the date by which the information is requested and any relevant legal deadlines; and (f) if relevant, whether, how, and to whom any of the information may be passed consistent with Article 7. 2. For urgent requests, a request can be presented orally, and should be followed by written confirmation without undue delayurgency thereof. 3. The Requested Authority should handle the During Emergency Situations, requests for information may be made in any form, including orally, provided such a request is confirmed in writing as follows: (a) The Requested Authority should confirm receipt of the requestearly as possible thereafter. (b) The Requested Authority should assess each request on a case-by-case basis to determine the fullest extent of information that can be provided under the terms of this Memorandum of Understanding and the procedures applicable in the jurisdiction of the Requested Authority. In deciding whether and to what extent to fulfil a request, the Requested Authority may take into account: (i) whether the request conforms with the Memorandum of Understanding; (ii) whether compliance with the request would be so burdensome as to disrupt the proper performance of the Requested Authority’s functions; (iii) whether it would be otherwise contrary to the essential interest of the Requested Authority’s jurisdiction to provide the information requested; (iv) any other matters specified by the Applicable Law of the Requested Authority’s jurisdiction (in particular those relating to confidentiality and professional secrecy, data protection and privacy, and procedural fairness); and (v) whether complying with the request may otherwise be prejudicial to the performance by the Requested Authority of its functions. (c) Where a Requested Authority denies or is unable to provide all or part of the requested Information, the Requested Authority should, to the extent practical and appropriate subject to Applicable Law, explain its reasons for not providing the information and consider possible alternative ways to meet the supervisory objective of the Requesting Authority. A request for Information may, in particular, be denied by the Requested Authority where the request would require the Requested Authority to act in a manner that would violate its Applicable Law.

Request for Information. 1. Requests for information by the Requesting Authority should be in writing, or in accordance with paragraph 2 where it is urgent, and include the following elements: (a) the Authorities involved, the field of supervision concerned and the purpose for which the information is sought; (b) the name of the person or Regulated Entity concerned; (c) details of the request which may include a description of the facts underlying the request, specific questions under investigation, and an indication of any sensitivity about the request; (d) the information requested; (e) the date by which the information is requested and any relevant legal deadlines; and (f) if relevant, whether, how, and to whom any of the information may be passed consistent with Article 7. 2. For urgent requests, a request can be presented orally, and should be followed by written confirmation without undue delay. 3. The Requested Authority should handle the request as follows: (a) The Requested Authority should confirm receipt of the request. (b) The Requested Authority should assess each request on a case-by-case basis to determine the fullest extent of information that can be provided under the terms of this Memorandum of Understanding and the procedures applicable in the jurisdiction of the Requested Authority. In deciding whether and to what extent to fulfil a request, the Requested Authority may take into account: (i) whether the request conforms with the Memorandum of Understanding; (ii) whether compliance with the request would be so burdensome as to disrupt the proper performance of the Requested Authority’s functions; (iii) whether it would be otherwise contrary to the essential interest of the Requested Authority’s jurisdiction to provide the information requested; (iv) any other matters specified by the Applicable Law of the Requested Authority’s jurisdiction (in particular those relating to confidentiality and professional secrecy, data protection and privacy, and procedural fairness); and (v) whether complying with the request may otherwise be prejudicial to the performance by the Requested Authority of its functions. (c) Where a Requested Authority denies or is unable to provide all or part of the requested Informationinformation, the Requested Authority should, to the extent practical and appropriate subject to Applicable Law, explain its reasons for not providing the information and consider possible alternative ways to meet the supervisory objective of the Requesting Authority. A request for Information information may, in particular, be denied by the Requested Authority where the request would require the Requested Authority to act in a manner that would violate its Applicable Law.

Request for Information. 1. Requests for information by the Requesting Authority should be in writing, or in accordance with paragraph 2 where it is urgent, and include the following elements: (a) : the Authorities involved, the field of supervision concerned and the purpose for which the information is sought; (b) ; the name of the person or Regulated Entity concerned; (c) ; details of the request which may include a description of the facts underlying the request, specific questions under investigation, and an indication of any sensitivity about the request; (d) ; the information requested; (e) ; the date by which the information is requested and any relevant legal deadlines; and (f) and if relevant, whether, how, and to whom any of the information may be passed consistent with Article 7. 2. For urgent requests, a request can be presented orally, and should be followed by written confirmation without undue delay. 3. The Requested Authority should handle the request as follows: (a) : The Requested Authority should confirm receipt of the request. (b) . The Requested Authority should assess each request on a case-by-case basis to determine the fullest extent of information that can be provided under the terms of this Memorandum of Understanding and the procedures applicable in the jurisdiction of the Requested Authority. In deciding whether and to what extent to fulfil a request, the Requested Authority may take into account: (i) whether the request conforms with the Memorandum of Understanding; (ii) whether compliance with the request would be so burdensome as to disrupt the proper performance of the Requested Authority’s functions; (iii) whether it would be otherwise contrary to the essential interest of the Requested Authority’s jurisdiction to provide the information requested; (iv) any other matters specified by the Applicable Law of the Requested Authority’s jurisdiction (in particular those relating to confidentiality and professional secrecy, data protection and privacy, and procedural fairness); and (v) whether complying with the request may otherwise be prejudicial to the performance by the Requested Authority of its functions. (c) . Where a Requested Authority denies or is unable to provide all or part of the requested Information, the Requested Authority should, to the extent practical and appropriate subject to Applicable Law, explain its reasons for not providing the information and consider possible alternative ways to meet the supervisory objective of the Requesting Authority. A request for Information may, in particular, be denied by the Requested Authority where the request would require the Requested Authority to act in a manner that would violate its Applicable Law.

Request for Information. 1. Requests for information by the Requesting Authority should be in writing, or in accordance with paragraph 2 where it is urgent, and include the following elements: (a) the Authorities involved, the field of supervision concerned and the purpose for which the information is sought; (b) the name of the person or Regulated Entity concerned; (c) details of the request which may include a description of the facts underlying the request, specific questions under investigation, and an indication of any sensitivity about the request; (d) the information requested; (e) the date by which the information is requested and any relevant legal deadlines; and (f) if relevant, whether, how, and to whom any of the information may be passed consistent with Article 7. 2. For urgent requests, a request can be presented orally, and should be followed by written confirmation without undue delay. 3. The Requested Authority should handle the request as follows: (a) The Requested Authority should confirm receipt of the request. (b) The Requested Authority should assess each request on a case-by-case basis to determine the fullest extent of information that can be provided under the terms of this Memorandum of Understanding and the procedures applicable in the jurisdiction of the Requested Authority. In deciding whether and to what extent to fulfil a request, the Requested Authority may take into account: (i) whether the request conforms with the Memorandum of Understanding; (ii) whether compliance with the request would be so burdensome as to disrupt the proper performance of the Requested Authority’s 's functions; (iii) whether it would be otherwise contrary to the essential interest of the Requested Authority’s 's jurisdiction to provide the information requested; (iv) any other matters specified by the Applicable Law of the Requested Authority’s 's jurisdiction (in particular those relating to confidentiality and professional secrecy, data protection and privacy, and procedural fairness); and (v) whether complying with the request may otherwise be prejudicial to the performance by the Requested Authority of its functions. (c) Where a Requested Authority denies or is unable to provide all or part of the requested Information, the Requested Authority should, to the extent practical and appropriate subject to Applicable Law, explain its reasons for not providing the information and consider possible alternative ways to meet the supervisory objective of the Requesting Authority. A request for Information may, in particular, be denied by the Requested Authority where the request would require the Requested Authority to act in a manner that would violate its Applicable Law.