Response to Enquiries from Regulators Sample Clauses

Response to Enquiries from Regulators. Where you have received an enquiry from SEHK and/or the SFC (collectively the "Hong Kong regulators") or request from a stockbroker/licensed person/intermediary in response to the enquiry from any of the Hong Kong regulators, and I/we have notified you in writing that I am/we are trading on behalf of other person, I/we shall, upon your request (which request shall include the relevant contact details of the Hong Kong regulators), inform you and/or the Hong Kong regulators of the identity, address, occupation and contact details of the client for whose account the dealing was undertaken and (so far as known to me/us) of the person with the ultimate beneficial interest in the relevant dealing. I/We shall also inform you and/or the Hong Kong regulators of the identity, address, occupation and contact details of any third party (if different from the client/the ultimate beneficiary who originated the dealing). You may also comply with such requests directly without reference to me/us if you are in possession of the relevant information.
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Response to Enquiries from Regulators. Where the Customer has received a request from the Securities and Futures Commission and/or the SEHK (collectively, the "Regulators"), or a request from the Bank in response to an enquiry from any of the Regulators, and the Customer has notified the Bank in writing that the Customer is trading on behalf of other person, the Customer shall, upon the Bank's request (which request should include the relevant contact details of the Regulators), inform the Regulators of the identity, address, occupation and contact details of the client for whose account the relevant transaction was effected and (so far as known to the Customer) of the person with the ultimate beneficial interest in the relevant transaction. The Customer shall also inform the Regulators of the identity, address and occupation and contact details of any third party(ies) (if different from the client/the ultimate beneficiary who‐originated the transaction). The Customer may also comply with such requests directly without reference to the Bank if they are in possession of the relevant information.
Sample 1

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