REQUESTS FOR ASSISTANCE OR INFORMATION Sample Clauses

REQUESTS FOR ASSISTANCE OR INFORMATION. 4.1 This Memorandum does not affect the ability of the Authorities to obtain information from Persons on a voluntary basis, provided that the Authorities observe procedures in the Jurisdiction of each Authority for the obtaining of such information. 4.2 A Requesting Authority will make requests for assistance or information in writing through an original signed document addressed to the Requested Authority's contact person listed in Appendix A. 4.3 The request will include: (a) A general description of the factual circumstances surrounding the request and the Regulated Entity concerned, the subject matter of the request, and the purpose for which the assistance or information is sought; (b) A description of the assistance, documents or information sought by the Requesting Authority; (c) Any information in the possession of the Requesting Authority that might assist the Requested Authority in identifying the Persons, or entities believed by the Requesting Authority to possess the information sought, or the places where the Requested Authority may obtain such information requested; (d) The legal provisions concerning the matter that is the subject matter of the request and the relevance of the requested assistance or information to the specified Laws, Regulations or Rules; (e) Whether any other authority, governmental or non-governmental is cooperating with the Requesting Authority or seeking information from the confidential files of the Requesting Authority and to whom onward disclosure of information is likely to be necessary; (f) An indication of any special precautions that should be taken in collecting the information due to investigatory considerations, including the sensitivity of the information; and (g) The Laws, Regulations and Rules that may have been violated and that relate to the subject matter of the request. 4.4 The Authorities should advise each other of any changes to the relevant contact person listed in Appendix A as soon as reasonably practicable. 4.5 In urgent circumstances, the Requested Authority will accept a request for assistance by electronic mail or facsimile. Such urgent communications must be confirmed in writing within seven (7) days by the Requesting Authority.
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REQUESTS FOR ASSISTANCE OR INFORMATION. 4.1. This Memorandum does not affect the ability of the Authorities to obtain information from Persons on a voluntary basis, provided that the Authorities observe procedures in the Jurisdiction of each Authority for the obtaining of such information. 4.2. A Requesting Authority will make requests for assistance or information in writing through an original signed document addressed to the Requested Authority’s contact person listed in Appendix A. 4.3. The request will include: (a) A description of both the subject matter of the request and the purpose for which the assistance or information is sought; (b) A description of the assistance, documents or information sought by the Requesting Authority; (c) Any information in the possession of the Requesting Authority that might assist the Requested Authority in identifying the persons, bodies or entities believed by the Requesting Authority to possess the information sought, or the places where the Requested Authority may obtain such information; (d) The legal provisions concerning the matter that is the subject matter of the request and the relevance of the requested assistance or information to the specified laws or regulatory requirements. (e) The names of any third parties to whom the Requesting Authority is bound to or expects to release the requested information. 4.4. All Authorities should advise the other parties to this Memorandum of any change to the relevant contact person as soon as is reasonably practicable. 4.5. In urgent circumstances, the Requested Authority will accept a request for assistance or information effected by means of communication other than that required by Clause 4.2 above. Such urgent communication must be confirmed within five (5) business days through an original signed document addressed to the Requested Authority’s contact person.
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REQUESTS FOR ASSISTANCE OR INFORMATION. 4.1. Requests for assistance will be made in writing, signed by the contact person of the Requesting Authority, and addressed to the contact person of the Requested Authority listed in Annex A.
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REQUESTS FOR ASSISTANCE OR INFORMATION a. The Authorities may consult at any time, about a request or proposed request. b. Requests for information or assistance will be made in writing in English. In urgent cases, requests may be in summary form to be followed within five business days by a full request. The full request will be signed by one of the contact persons set out in Annex A. c. Requests for information or assistance will specify the following: (i) a general description of the information requested (including the identity of persons, etc.); (ii) a general description of the nature of the case and the conduct or suspected conduct which gives rise to the request; (iii) the purpose for which the information is sought (including details of the laws or regulatory requirements pertaining to the matter which is the subject of the request); (iv) the link between the specified laws or regulatory requirements and the regulatory function of the requesting Authority; (v) the relevance of the requested information to the specified laws or regulatory requirements; and (vi) to whom, if anyone, onward disclosure of information is likely to be necessary and the reason for such disclosure. d. Each request will be addressed by the requested Authority to determine whether information can be provided under the terms of this Memorandum. In any case where the request cannot be accepted completely, the requested Authority will consider whether there may be any other relevant information which can be given. If the requested Authority believes that other regulatory organizations may possess the information requested or that it may be more appropriate to provide the assistance requested, or if it is requested to do so by the requesting authority, it may refer the request to such regulatory organizations and notify the requesting Authority accordingly. e. In deciding whether to accept or decline a request the requested Authority will take account of: (i) matters specified by the laws and regulations in the territory of the requested Authority; and
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REQUESTS FOR ASSISTANCE OR INFORMATION. Requests for assistance or information will be sent to the correspondent(s) designated by each Authority. Each request will be examined on a case-by-case basis by the Requested Authority to determine whether information and/or assistance must be provided in application of the present Memorandum. If the request cannot be satisfied in full, the Requested Authority will transmit what it can provide in reply to the Requesting Authority within the framework of the legislation applicable to it. Depending on the subject of the request, the correspondents designated in each of the Authorities will determine between them the most efficient way of replying to it, which may take the form of: - a written response, - an e-mail, - verbal information provided by telephone or at a meeting organised between the two Authorities, - the designation of a person within the Requested Authority to assist the Requesting Authority in the course of a given audit mission or investigation. As an example, the information and analyses that might be provided are notably: - data enabling the reconstitution of transactions conducted on the market in products mentioned in Article II; - information enabling the reconstitution of the trading venue order book and developments therein; - data identifying the final owner and the person having effective control for each transaction or order transmitted to the market; - any explanatory information to inform the analysis of a suspicious situation (e.g. an unusual price change), such as the identification of atypical orders (multiple cancellations, repeated buying and selling…) and the analysis of their impact on the market, pinpointing unusual operations by a market participant compared with their usual operating mode; - the minutes of the hearing of a person or, if authorised, of the testimony under oath of a person, relating to the questions mentioned in the request for assistance; - data necessary for the reconstitution of all the transactions conducted in the products mentioned in Article II by the players concerned; - data relating to the actual production and consumption of the products underlying the products mentioned in Article II, notably in the case of electricity producers and their trading subsidiaries; - information of an operational nature (breakdowns, industrial action) concerning infrastructures (electricity production facilities, electricity or gas transport networks) likely to influence the transactions of the players concerned.
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Related to REQUESTS FOR ASSISTANCE OR INFORMATION

  • Requests for Assistance 1. Requests for assistance shall be made in writing, signed by the Chairman of the Requesting authority and addressed to the contact person of the Requested Authority listed in Annex A. 2. The Request should specify the following: a. a description of the subject matter of the request and the purpose for which the information is sought and the reasons why this information will be of assistance; b. a description of the specific information requested by the Requesting Authority; c. a description of the facts that constitute the grounds for the suspicion that the offence that is the subject of the request has been committed, and of the connection between these facts and the assistance requested; d. a short description of the relevant provisions that may have been violated and, if known to the Requesting Authority, a list of the persons or institutions believed by the Requesting Authority to possess the information sought or the places where such information may be obtained and the details that support this belief, to the best of the Requesting Authority’s knowledge; e. in so far as the request concerns information relating to transactions in specific securities • a description of the securities in question as precise as possible (including e.g. the securities code), • the names of those firms with whose dealings in the securities the Requesting Authority is concerned, • the dates between which transactions in the securities are considered relevant for the purposes of the request, • the names of any persons on whose behalf relevant transactions in the securities are believed or suspected to have been entered into; f. in so far as the request relates to information concerning the business or activities of any person, such precise information as the Requesting Authority is able to provide so as to enable such persons to be identified; g. an indication of the sensitivity of the information contained in the request and whether the Requesting Authority agrees that the request shall be disclosed to persons whom the Requested Authority may need to approach for information; h. whether the Requesting Authority is or has been in contact with any other authority or law enforcement agency in the State of the Requested Authority in relation to the subject matter of the request; i. any other securities authority of another state whom the Requesting Authority is aware has an active interest in the subject matter of the request; j. an indication of the urgency of the request, or the desired time period for the reply. x. a declaration that any information or document transferred to the Requesting authority pursuant to the request shall be used solely for the purpose for which it was delivered;

  • Requests for Information (RFI) In the event the Contract Documents are not complete, definite, and clear, the Contractor shall request the Design Professional in writing for additional instructions and shall furnish the Owner a copy of the RFI. With reasonable promptness but not more than five days thereafter, the Design Professional shall furnish complete, definite, and clear instructions in writing, or by means of drawings, or both. In the event such additional instructions are given orally for expediency, they shall be confirmed in writing or by drawings or both within five days following the oral instructions. Any such additional instructions shall be consistent with the Contract Documents and reasonably inferable therefrom. The Work shall be executed in conformity with the aforesaid instructions. The Design Professional shall furnish the Owner a copy of all additional instructions issued to the Contractor. If, because of events beyond its reasonable control, the Design Professional is not able to meet the specified time period, then it is entitled to ask for additional time from the Owner.

  • Requests for Information The Grantee shall fully and promptly comply with all reporting requirements and requests for information issued by the Department or its authorized designee. The Grantee shall provide such information in the format requested by the Department. The Grantee shall ensure that its staff, interns, volunteers, and subcontractors comply in a timely and complete manner with all the Department’s requests for information. The Grantee shall comply in a timely manner with requests by the Department or its authorized designee for financial information, records, and documents related to evaluating costs of programs and ser vices provided by the Grantee’s probation department. The Grantee shall timely submit any files or records of the Grantee’s juvenile probation department, or any facility or program operated by or under the authority of the Grantee, requested by the Department or its authorized designee as a part of the monitoring, auditing, or investigatory process.

  • RESPONDING TO REQUESTS FOR INFORMATION To the extent authorized by the Participating Consumer(s) and to the extent such individual permission is required by law, the Competitive Supplier shall, during normal business hours (as set forth above), respond promptly and without charge therefore to reasonable requests of the Town for information or explanation regarding the matters covered by this ESA and the supply of electricity to Participating Consumers. Competitive Supplier agrees to designate a service representative or representatives (the “Service Contacts”) who shall be available for these purposes, and shall identify the office address and telephone number of such representative(s). Whenever necessary to comply with this Article 5.3, the Service Contacts shall call upon other employees or agents of the Competitive Supplier to obtain such information or explanation as may be reasonably requested. Nothing in this Article 5.3 shall be interpreted as limiting the obligation of the Competitive Supplier to respond to complaints or inquiries from Participating Consumers, or to comply with any regulation of the Department or AG regarding customer service.

  • Request for Information (RFI) means a written request by Contractor directed to A/E or ODR for a clarification of the information provided in the Contract Documents or for direction concerning information necessary to perform the Work that may be omitted from the Contract Documents.

  • Provision of further information Each Borrower will, as soon as practicable after receiving the request, provide the Agent with any additional financial or other information relating: (a) to that Borrower, the Ship owned by it, the Earnings or the Insurances; or (b) to any other matter relevant to, or to any provision of, a Finance Document, which may be requested by the Agent, the Security Trustee or any Lender at any time.

  • Supplemental Vendor Information Only) No response Optional. If Vendor desires that their logo be displayed on their public TIPS profile for TIPS and TIPS Member viewing, Vendor may upload that logo at this location. These supplemental documents shall not be considered part of the TIPS Contract. Rather, they are Vendor Supplemental Information for marketing and informational purposes only. Some participating public entities are required to seek Disadvantaged/Minority/Women Business & Federal HUBZone ("D/M/WBE/Federal HUBZone") vendors. Does Vendor certify that their entity is a D/M/WBE/Federal HUBZone vendor? If you respond "Yes," you must upload current certification proof in the appropriate "Response Attachments" location. NO Some participating public entities are required to seek Historically Underutilized Business (HUB) vendors as defined by the Texas Comptroller of Public Accounts Statewide HUB Program. Does Vendor certify that their entity is a HUB vendor? If you respond "Yes," you must upload current certification proof in the appropriate "Response Attachments" location. No Can the Vendor provide its proposed goods and services to all 50 US States? No

  • Company Creation and Use of Confidential Information The Executive understands and acknowledges that the Company has invested, and continues to invest, substantial time, money and specialized knowledge into developing its resources, creating a customer base, generating customer and potential customer lists, training its employees, and improving its product offerings in the field of financial services. The Executive understands and acknowledges that as a result of these efforts, the Company has created, and continues to use and create Confidential Information. This Confidential Information provides the Company with a competitive advantage over others in the marketplace.

  • Statement of Additional Information The Manager shall determine from time to time what securities and other investments will be purchased (including, as permitted in accordance with this paragraph, swap agreements, options and futures), retained, sold or exchanged by the Fund and what portion of the assets of the Funds portfolio will be held in the various securities and other investments in which the Fund invests, and shall implement those decisions (including the execution of investment documentation), all subject to the provisions of the Trusts Declaration of Trust and By-Laws (collectively, the Governing Documents), the 1940 Act, and the applicable rules and regulations promulgated thereunder by the Securities and Exchange Commission (the SEC) and interpretive guidance issued thereunder by the SEC staff and any other applicable federal and state law, as well as the investment objectives, policies and restrictions of the Fund referred to above, and any other specific policies adopted by the Board and disclosed to the Manager. The Manager is authorized as the agent of the Trust to give instructions to the custodian of the Fund as to deliveries of securities and other investments and payments of cash for the account of the Fund. Subject to applicable provisions of the 1940 Act and direction from the Board, the investment program to be provided hereunder may entail the investment of all or substantially all of the assets of the Fund in one or more investment companies. The Manager will place orders pursuant to its investment determinations for the Fund either directly with the issuer or with any broker or dealer, foreign currency dealer, futures commission merchant or others selected by it. In connection with the selection of such brokers or dealers and the placing of such orders, subject to applicable law, brokers or dealers may be selected who also provide brokerage and research services (as those terms are defined in Section 28(e) of the Securities Exchange Act of 1934, as amended (the Exchange Act)) to the Funds and/or the other accounts over which the Manager or its affiliates exercise investment discretion. The Manager is authorized to pay a broker or dealer who provides such brokerage and research services a commission for executing a portfolio transaction for the Fund which is in excess of the amount of commission another broker or dealer would have charged for effecting that transaction if the Manager determines in good faith that such amount of commission is reasonable in relation to the value of the brokerage and research services provided by such broker or dealer. This determination may be viewed in terms of either that particular transaction or the overall responsibilities which the Manager and its affiliates have with respect to accounts over which they exercise investment discretion. The Board may adopt policies and procedures that modify and restrict the Managers authority regarding the execution of the Funds portfolio transactions provided herein. The Manager shall also provide advice and recommendations with respect to other aspects of the business and affairs of the Fund, shall exercise voting rights, rights to consent to corporate action and any other rights pertaining to the Fund's portfolio securities subject to such direction as the Board may provide, and shall perform such other functions of investment management and supervision as may be directed by the Board. The Manager may execute on behalf of the Fund certain agreements, instruments and documents in connection with the services performed by it under this Agreement. These may include, without limitation, brokerage agreements, clearing agreements, account documentation, futures and option agreements, swap agreements, other investment related agreements, and any other agreements, documents or instruments the Manager believes are appropriate or desirable in performing its duties under this Agreement.

  • Maintenance of Confidential Information The Contractor acknowledges that in the course of its appointment hereunder the Contractor will, either directly or indirectly, have access to and be entrusted with information (whether oral, written or by inspection) relating to the Company or its respective affiliates, associates or customers (the “Confidential Information”). For the purposes of this Agreement, “Confidential Information” includes, without limitation, any and all Developments (as defined herein), trade secrets, inventions, innovations, techniques, processes, formulas, drawings, designs, products, systems, creations, improvements, documentation, data, specifications, technical reports, customer lists, supplier lists, distributor lists, distribution channels and methods, retailer lists, reseller lists, employee information, financial information, sales or marketing plans, competitive analysis reports and any other thing or information whatsoever, whether copyrightable or uncopyrightable or patentable or unpatentable. The Contractor acknowledges that the Confidential Information constitutes a proprietary right, which the Company is entitled to protect. Accordingly the Contractor covenants and agrees that during the Term and thereafter until such time as all the Confidential Information becomes publicly known and made generally available through no action or inaction of the Contractor, the Contractor will keep in strict confidence the Confidential Information and shall not, without prior written consent of the Company in each instance, disclose, use or otherwise disseminate the Confidential Information, directly or indirectly, to any third party.

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