Statement of Related Registrants Sample Clauses

Statement of Related Registrants. Securities legislation requires a dealer or adviser to advise its customers of any of its principal shareholders, officers, partners, or directors who are also principal shareholders, officers, partners or directors of another dealer or adviser. As well, the dealer or adviser must provide to its customers details of the policies and procedures adopted to minimize the potential for conflict of interest resulting from the relationship. Qtrade may from time to time have directors and/or officers who are also directors and/or officers of Xxxxx’s other regulated entities. Each such entity is a separate legal entity that carries on its business independently. Each regulated entity may enter into arrangements with any of Aviso Wealth or the other regulated entities respecting such matters as the provision of support services, distribution of products and services, and customer referrals. It is the policy of Qtrade that, subject always to compliance with the provisions of applicable securities and corporate legislation, and subject to the terms of the individual registrations of Aviso Wealth’s regulated entities, they are prepared to act as principal or agent in sales or purchases to, from, or on behalf of other clients in respect of Securities of the NEI Funds, Fiera Capital Corporation and members of Xxxxxxxxxx Group which are all related or connected issuers of Qtrade.
Sample 1
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Statement of Related Registrants. The securities laws of certain provinces of Canada require securities dealers and advisers, when they trade in or advise with respect to their own securities or securities of other issuers to which they, or certain other parties related to them, are related or connected, to do so only in accordance with particular disclosure and other rules. These rules require dealers and advisers, prior to trading with or advising their client or customers, to inform them of the relevant relationships and connections with the issuer of the securities. Clients and customers should refer to the applicable laws for the particulars of these rules and their rights, or should consult with a legal adviser. CAM is a wholly-owned subsidiary of Credential Financial Inc. (CFI). CFI is owned by five provincial credit union centrals and The CUMIS Group Limited. Credential Securities Inc. (CSI) is a securities dealer and is also a wholly-owned subsidiary of CFI. Northwest & Ethical Investments L.P. is responsible for the management of mutual funds which may from time to time make up the families of NEI, Northwest and Ethical Funds which are offered in Canada. Northwest & Ethical Investments L.P. is owned as to 50% by the same five provincial credit union centrals which together own a 50% interest in CFI, and as to 50% by Fédération des caisses Xxxxxxxxxx du Québec. CAM, CSI and Northwest & Ethical Investments L.P. may utilize common resources and may enter into arrangements respecting such matters as the provision of shared services. Conflicts of interest resulting from the above relationships are minimized in a number of ways. Regulations, policies and procedures made by industry regulating bodies restrict the relationships among dealers and advisors and govern their relationship with clients. As well, CAM has its own extensive conflict of interest policies. Compliance with both internal and external regulations, policies and procedures are monitored at all levels of the company under the guidance of the company’s Compliance Department.
Sample 1

Related to Statement of Related Registrants

  • Demand Registration (a) Subject to the provisions hereof, at any time on or after the date that is 180 days after the Closing Date, the Holders of a majority of Registrable Securities shall have the right to require the Company to file a Registration Statement registering for sale all or part of their respective Registrable Securities under the Securities Act (a “Demand Registration”) by delivering a written request therefor to the Company (i) specifying the number of Registrable Securities to be included in such registration by such Holder or Holders, (ii) specifying whether the intended method of disposition thereof is pursuant to an Underwritten Offering (as defined below), and (iii) containing all information about such Holder required to be included in such Registration Statement in accordance with applicable Law. As soon as practicable after the receipt of such demand, the Company shall (x) promptly notify all Holders from whom the request for registration has not been received and (y) use reasonable best efforts to effect such registration (including, without limitation, appropriate qualification under applicable blue sky or other state securities Laws and appropriate compliance with applicable regulations issued under the Securities Act and any other governmental requirements or regulations) of the Registrable Securities that the Company has been so requested to register; provided, however, that (i) the Holders shall not make a request for a Demand Registration under this Section 3.2(a) for Registrable Securities having an anticipated aggregate offering price of less than $5,000,000, (ii) the Holders will not be entitled to require the Company to effect more than three (3) Demand Registrations in the aggregate under this Agreement, and (iii) the Company will not be obligated to effect more than one (1) Demand Registration in any six (6) month period.

  • Removal After Your Tax Filing Deadline If you are correcting an excess contribution after your tax filing deadline, including extensions, remove only the amount of the excess contribution. The six percent excess contribution penalty tax will be imposed on the excess contribution for each year it remains in the IRA. An excess withdrawal under this method will only be taxable to you if the total contributions made in the year of the excess exceed the annual applicable contribution limit.

  • Supported Initial and Renewal Registration Periods a. Initial registrations of Registered Names (where available according to functional specifications and other requirements) may be made in the registry for terms of up to ten years.

  • Public Offering The Company is advised by you that the Underwriters propose to make a public offering of their respective portions of the Securities as soon after the Registration Statement and this Agreement have become effective as in your judgment is advisable. The Company is further advised by you that the Securities are to be offered to the public upon the terms set forth in the Prospectus.

  • REGISTRATION WITH DEPARTMENT OF REVENUE The CONTRACTOR shall complete registration with the Washington State Department of Revenue and be responsible for payment of all taxes due on payments made under this contract.

  • Proposing Integration Activities in the Planning Submission No integration activity described in section 6.3 may be proposed in a CAPS unless the LHIN has consented, in writing, to its inclusion pursuant to the process set out in section 6.3(b).

  • Registration Statement The Registration Statement shall have become effective under the Securities Act and no stop order suspending the effectiveness of the Registration Statement shall have been issued and no proceedings for that purpose shall have been initiated or threatened by the SEC.

  • Initial Registration Periods Initial registrations of registered names may be made in the registry in one (1) year increments for up to a maximum of ten (10) years. For the avoidance of doubt, initial registrations of registered names may not exceed ten (10) years.

  • Publication of Registration Data Registry Operator shall provide public access to registration data in accordance with Specification 4 attached hereto (“Specification 4”).

  • How to File an Appeal of a Prescription Drug Denial For denials of a prescription drug claim based on our determination that the service was not medically necessary or appropriate, or that the service was experimental or investigational, you may request an appeal without first submitting a request for reconsideration. You or your physician may file a written or verbal prescription drug appeal with our pharmacy benefits manager (PBM). The prescription drug appeal must be submitted to us within one hundred and eighty (180) calendar days of the initial determination letter. You will receive written notification of our determination within thirty (30) calendar days from the receipt of your appeal. How to File an Expedited Appeal Your appeal may require immediate action if a delay in treatment could seriously jeopardize your health or your ability to regain maximum function, or would cause you severe pain. To request an expedited appeal of a denial related to services that have not yet been rendered (a preauthorization review) or for on-going services (a concurrent review), you or your healthcare provider should call: • our Grievance and Appeals Unit; or • our pharmacy benefits manager for a prescription drug appeal. Please see Section 9 for contact information. You will be notified of our decision no later than seventy-two (72) hours after our receipt of the request. You may not request an expedited review of covered healthcare services already received.

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