SELLING RESTRICTIONS COMPLIANCE. (i) Each Agent hereby certifies that such Agent has anti-money laundering policies and procedures in place in accordance with the requirements imposed by the Uniting and Strengthening America by Providing Appropriate Tools Required to Intercept and Obstruct Terrorism (USA PATRIOT Act) Act of 2001, Pub. L, 107-56, 115 Stat. 380 (October 26, 2001), or any rules or regulations promulgated thereunder, and will comply with legal measures administered by the Office of Foreign Assets Control of the United States Department of the Treasury. Each Agent also certifies that such Agent has implemented an anti-money laundering compliance program pursuant to NASD Rule 3011; and (ii) Each Agent will comply with all applicable laws and regulations in each country or jurisdiction outside of the United States in or from which it purchases, offers, sells or delivers Notes or has in its possession or distributes the Prospectus for such Notes or any other offering material and will obtain any consent, approval or permission required by it for the purchase, offer or sale by it of the Notes under the laws and regulations in force in any jurisdiction to which it is subject or in which it makes such purchases, offers or sales and the Company shall have no responsibility therefor.
Appears in 3 contracts
Samples: u.s. Distribution Agreement (General Electric Capital Corp), u.s. Distribution Agreement (General Electric Capital Corp), Selling Agent Agreement (General Electric Capital Corp)
SELLING RESTRICTIONS COMPLIANCE. (i) Each Agent Underwriter hereby certifies that such Agent Underwriter has anti-money laundering policies and procedures in place in accordance with the requirements imposed by the Uniting and Strengthening America by Providing Appropriate Tools Required to Intercept and Obstruct Terrorism (USA PATRIOT Act) Act of 2001, Pub. L, 107-56, 115 Stat. 380 (October 26, 2001), or any rules or regulations promulgated thereunder, and will comply with legal measures administered by the Office of Foreign Assets Control of the United States Department of the Treasury. Each Agent Underwriter also certifies that such Agent Underwriter has implemented an anti-money laundering compliance program pursuant to NASD Rule 3011; and (ii) Each Agent each Underwriter will comply with all applicable laws and regulations in each country or jurisdiction outside of the United States in or from which it purchases, offers, sells or delivers Notes Preferred Stock or has in its possession or distributes the Prospectus for such Notes Preferred Stock or any other offering material and will obtain any consent, approval or permission required by it for the purchase, offer or sale by it of the Notes Preferred Stock under the laws and regulations in force in any jurisdiction to which it is subject or in which it makes such purchases, offers or sales and the Company shall have no responsibility therefor.
Appears in 2 contracts
Samples: Underwriting Agreement (General Electric Capital Corp), Underwriting Agreement (General Electric Capital Corp)
SELLING RESTRICTIONS COMPLIANCE. (i) Each Agent hereby certifies that such Agent has anti-money laundering policies and procedures in place in accordance with the requirements imposed by the Uniting and Strengthening America by Providing Appropriate Tools Required to Intercept and Obstruct Terrorism (USA PATRIOT Act) Act of 2001, Pub. L, 107-56, 115 Stat. 380 (October 26, 2001), or any rules or regulations promulgated thereunder, and will comply with legal measures administered by the Office of Foreign Assets Control of the United States Department of the Treasury. Each Agent also certifies that such Agent has implemented an anti-money laundering compliance program pursuant to NASD FINRA Rule 30113310; and (ii) Each Agent will comply with all applicable laws and regulations in each country or jurisdiction outside of the United States in or from which it purchases, offers, sells or delivers Notes or has in its possession or distributes the Prospectus for such Notes or any other offering material and will obtain any consent, approval or permission required by it for the purchase, offer or sale by it of the Notes under the laws and regulations in force in any jurisdiction to which it is subject or in which it makes such purchases, offers or sales and the Company shall have no responsibility therefor.
Appears in 1 contract
Samples: u.s. Distribution Agreement (General Electric Capital Corp)
SELLING RESTRICTIONS COMPLIANCE. (i) Each Agent Underwriter hereby certifies that such Agent Underwriter has anti-money laundering policies and procedures in place in accordance with the requirements imposed by the Uniting and Strengthening America by Providing Appropriate Tools Required to Intercept and Obstruct Terrorism (USA PATRIOT Act) Act of 2001, Pub. L, 107-56107β56, 115 Stat. 380 (October 26, 2001), or any rules or regulations promulgated thereunder, and will comply with legal measures administered by the Office of Foreign Assets Control of the United States Department of the Treasury. Each Agent Underwriter also certifies that such Agent Underwriter has implemented an anti-money laundering compliance program pursuant to NASD Rule 3011; and (ii) Each Agent each Underwriter will comply with all applicable laws and regulations in each country or jurisdiction outside of the United States in or from which it purchases, offers, sells or delivers Notes Preferred Stock or has in its possession or distributes the Prospectus for such Notes Preferred Stock or any other offering material and will obtain any consent, approval or permission required by it for the purchase, offer or sale by it of the Notes Preferred Stock under the laws and regulations in force in any jurisdiction to which it is subject or in which it makes such purchases, offers or sales and the Company shall have no responsibility therefor.
Appears in 1 contract
Samples: Underwriting Agreement (General Electric Capital Corp)
SELLING RESTRICTIONS COMPLIANCE. Each Underwriter hereby certifies that (i) Each Agent hereby certifies that such Agent Underwriter has anti-money laundering policies and procedures in place in accordance with the requirements imposed by the Uniting and Strengthening America by Providing Appropriate Tools Required to Intercept and Obstruct Terrorism (USA PATRIOT Act) Act of 2001, Pub. L, 107-56, 115 Stat. 380 (October 26, 2001), or any rules or regulations promulgated thereunder, and will comply with legal measures administered by the Office of Foreign Assets Control of the United States Department of the Treasury. Each Agent also certifies that ; (ii) such Agent Underwriter has implemented an anti-money laundering compliance program pursuant to NASD Rule 3011; and (iiiii) Each Agent such Underwriter will comply with all applicable laws and regulations in each country or jurisdiction outside of the United States in or from which it purchases, offers, sells or delivers Notes Offered Securities or has in its possession or distributes the Prospectus for such Notes Offered Securities or any other offering material and will obtain any consent, approval or permission required by it for the purchase, offer or sale by it of the Notes Offered Securities under the laws and regulations in force in any jurisdiction to which it is subject or in which it makes such purchases, offers or sales and the Company shall have no responsibility therefor.
Appears in 1 contract
Samples: Underwriting Agreement (General Electric Capital Corp)