Subscriber Compliance Sample Clauses

Subscriber Compliance. Except as otherwise provided herein, it is the sole responsibility of Subscriber to ensure compliance, by itself, its customers and its representatives, with all applicable U.S. federal and state laws, rules, and regulations as well as those of FINRA or any other SRO of which the Subscriber is a member. In particular, Subscriber is solely responsible for compliance with the SEC’s short sale rule and Subscriber will not submit any order to the IEX ATS that would constitute an illegal short sale pursuant to applicable SEC rules and regulations. If Subscriber intends to submit a sell order that would constitute a short sale, Subscriber must indicate the order as such. All orders submitted to the IEX ATS must have an appropriate Market Participant Identifier (“MPID”). Subscriber and its Authorized Personnel will comply with all policies and procedures related to the Services, including, without limitation, the IEX Subscriber Manual located on IEX’s Website (which Subscriber hereby acknowledges receipt of), and any other policies and procedures communicated to Subscriber by IEX in writing from time to time. IEX agrees to provide Subscriber with commercially reasonable notice prior to the effectiveness of any material changes to IEX’s Subscriber Manual or other policies and/or procedures applicable to Subscriber. Subscriber will cooperate in connection with any inquiry regarding Subscriber’s use of the Services by the SEC, FINRA and/or any other applicable SRO.
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Subscriber Compliance. You are responsible for compliance with your requirements under the applicable Data Protection Laws with respect to Customer Data and the instructions you provide us related to such Customer Data. Without limiting the generality of the foregoing, you are solely responsible for: (i) the accuracy, quality, integrity, and legality of your Customer Data and the means by which you acquire Customer Data; (ii) ensuring you have the right to transfer, or provide access to, Customer Data in order for us to provide the Integrations; and (iii) ensuring that any instructions that you provide to us regarding the Processing of Customer Data comply with all applicable laws. You will inform us without undue delay if you are not able to comply with your responsibilities under this section or applicable Data Protection Laws.
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Subscriber Compliance. Except as otherwise provided herein, it is the sole responsibility of Subscriber to ensure compliance, by itself, its customers and its representatives, with all applicable U.S. federal and state laws, rules, and regulations as well as those of FINRA or any other SRO of which the Subscriber is a member. In particular, Subscriber understands and agrees as follows: (i) the FIND is considered Direct Market Access (“DMA”) platform; (ii) pursuant to FINRA Rule 5310, Subscriber is solely responsible for compliance with its best execution obligations and should have written policies and procedures addressing how it will determine the best market for a security, which may include obtaining quotations from other sources; (iii) as FIND permits real time quote updates, to the extent Subscriber displays priced quotations on other quotation mediums it will must comply with FINRA Rule 6438; (iv) Subscriber is solely responsible for any requirement to comply with prospectus delivery or other documentation (e.g., Rule 144) requirements. Purchases and sales of securities subject to such requirements should not be made through the FIND. FIND does not issue “broker’s letters” or otherwise assist Subscriber in complying with prospectus delivery or other documentation requirements for restricted securities; and (vi) with respect to short sales on behalf of Subscriber’s customers, to make an affirmative determination that the security is in the customer’s account or borrowable. Subscriber is solely responsible for compliance with the SEC’s short sale rule and Subscriber will not submit any order to the FIND that would constitute an illegal short sale pursuant to applicable SEC rules and regulations. If Subscriber intends to submit a sell order that would constitute a short sale, Subscriber must indicate the order as such. All orders submitted to the FIND must have an appropriate Market Participant Identifier (“MPID”). Subscriber and its Authorized Personnel will comply with all policies and procedures related to the Services communicated to Subscriber by FIND in writing from time to time. Subscriber will cooperate in connection with any inquiry regarding Subscriber’s use of the Services by the SEC, FINRA and/or any other applicable SRO. Rule 15c3-5 Require brokers or dealers with access to trading securities directly on an alternative trading system (“ATS”), including those providing sponsored or direct market access to customers or other person that provide access to trading s...
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Subscriber Compliance. The Distributor shall be under no affirmative obligation to AFX to monitor Subscribers' on-going compliance with the specific terms of their respective subscription agreements. However, in the event that it should come to the attention of an officer of the Distributor, or if AFX should notify the Distributor, Subscriber is then using the Service other than as permitted under the terms of that Subscriber's subscription agreement for the Service, the Distributor shall, upon becoming so aware or upon receipt take prompt corrective action, if appropriate. Unless such breach is cured within a reasonable period by the Subscriber after notice by the Distributor, the Distributor shall so notify AFX, and upon receiving appropriate written instructions from AFX, the Distributor shall discontinue providing the Service to such Subscriber and shall take such further action on behalf of AFX as is reasonably requested by AFX to protect its proprietary rights in the Service; provided that any litigation initiated against any such Subscriber shall be initiated in the name and at the sole expense of AFX; and provided, further, that;
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Subscriber Compliance. Subscriber is solely responsible for compliance with all statutes, acts, laws, by-laws, rules and regulations, ordinances and judicial, governmental or administrative order decrees or rulings, applicable to the operation of its business, its card programs and the Cardholder Accounts, including, without limitation, usury laws, state laws, rules and regulations (“State Laws”), the rules, regulations and bylaws of the Associations (“Operating Regulations”), the Truth-in-Lending-Act, the Fair Credit Billing Act, the Fair Credit Reporting Act, the Electronic Funds Transfer Act, the Truth in *** Confidential material redacted and filed separately with the Commission Savings Act, Electronic Signatures in Global and National Commerce Act, the National Automated Clearing House Association (NACHA), the Xxxxx-Xxxxx-Xxxxxx Act, and all associated rules and regulations (collectively, the “Subscriber Legal Requirements”).
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Subscriber Compliance. Pursuant and in addition to Section 4-280-290(B) of the Cable Ordinance, the Grantee shall promptly respond to and resolve all subscriber complaints; provided, however, that nothing herein shall require the Grantee to maintain or repair any equipment not provided by the Grantee, maintain records with respect thereto nor respond to or resolve subscriber complaints relating thereto. The Grantee shall maintain records of such complaints setting forth the date and nature of the company and any action taken in response thereto. Such records shall be available to the City during the Grantees normal business hours and retained in the Grantee's files for not less than three (3) years. A statistical summary of such records shall be prepared by the Grantee and submitted to the Cable Commission monthly commencing thirty (30) days after commencement of construction and continuing until construction of the Grantee's cable television system is complete in accordance with Exhibit E-2 to this Agreement. Thereafter, such records shall be submitted to the Cable Commission annually.
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Subscriber Compliance. Subscriber is solely responsible for compliance with all statutes, acts, laws, by-laws, rules and regulations, ordinances and judicial, governmental or administrative order decrees or rulings, applicable to the operation of its business, its card programs and the Cardholder Accounts, including, without limitation, usury laws, state laws, rules and regulations (“State Laws”), the rules, regulations and bylaws of the Associations (“Operating Regulations”), the Truth-in-Lending-Act, the Fair Credit Billing Act, the Fair Credit Reporting Act, the Electronic Funds Transfer Act, the Truth in Savings Act, Electronic Signatures in Global and National Commerce Act, the National Automated Clearing House Association (NACHA), the Xxxxx-Xxxxx-Xxxxxx Act, and all associated rules and regulations (collectively, the “Subscriber Legal Requirements”).
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Subscriber Compliance. The User is at all times obligated to ensure its users, subscribers, customers, or clients comply with all provisions of the law regarding the use of information provided to the User under this contract.
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Related to Subscriber Compliance

  • Subscriber’s Compliance Nothing in this Section 4 shall affect in any way Subscriber’s obligations and agreements to comply with all applicable securities laws upon resale of the Securities.

  • Y2K Compliance PFPC further represents and warrants that any and all electronic data processing systems and programs that it uses or retains in connection with the provision of services hereunder on or before January 1, 1999 will be year 2000 compliant.

  • FINRA Compliance You represent and warrant that you are (a) a broker or dealer (as defined in Section 3(a)(4) or 3(a)(5) of the 0000 Xxx) that is a member in good standing of FINRA, (b) a non-U.S. bank, broker, dealer or other non-U.S. institution that is not eligible for membership in FINRA and is not required to be registered as a broker or dealer under the 1934 Act (a “non-member non-U.S. dealer”), or (c) only in the case of Offerings of Securities that are exempted securities (as defined in Section 3(a)(12) of the 1934 Act), and such other Securities as from time to time may be sold by a “bank” (as defined in Section 3(a)(6) of the 1934 Act (a “Bank”)), that you are a Bank that is acting in connection with the Offering in accordance with an applicable exception or exemption from the definitions of broker and dealer under Sections 3(a)(4) and 3(a)(5) of the 1934 Act. You further represent, warrant and agree that, in connection with any purchase or sale of the Securities wherein a selling concession, discount or other allowance is received or granted by or to you:

  • SAFE Compliance The Company shall comply with the SAFE Rules and Regulations, and shall use commercially reasonable efforts to cause its shareholders and option holders that are, or that are directly or indirectly owned or controlled by, PRC residents or PRC citizens, to comply with the SAFE Rules and Regulations applicable to them in connection with the Company, including without limitation, requesting each shareholder and option holder, that is, or is directly or indirectly owned or controlled by, a PRC resident or PRC citizen to complete any registration and other procedures required under applicable SAFE Rules and Regulations.

  • CRA Compliance Neither Seller nor any Seller Subsidiary has received any notice of non-compliance with the applicable provisions of the CRA and the regulations promulgated thereunder. As of the date hereof, Seller Sub’s most recent examination rating under the CRA was “satisfactory” or better. Seller knows of no fact or circumstance or set of facts or circumstances which would be reasonably likely to cause Seller or any Seller Subsidiary to receive any notice of non-compliance with such provisions of the CRA or cause the CRA rating of Seller or any Seller Subsidiary to decrease below the “satisfactory” level.

  • HSR Compliance The applicable waiting period under the HSR Act shall have expired or been terminated.

  • FCPA Compliance The Company has not and, to the Company’s actual knowledge, none of its employees or agents at any time during the last five years have (i) made any unlawful contribution to any candidate for foreign office, or failed to disclose fully any contribution in violation of law, or (ii) made any payment to any federal or state governmental officer or official, or other person charged with similar public or quasi-public duties, other than payments required or permitted by the laws of the United States or any jurisdiction thereof.

  • FUND COMPLIANCE 3.1 The Fund and the Adviser acknowledge that any failure (whether intentional or in good faith or otherwise) to comply with the requirements of Subchapter M of the Code or the diversification requirements of Section 817(h) of the Code may result in the Contracts not being treated as variable contracts for federal income tax purposes, which would have adverse tax consequences for Contract owners and could also adversely affect the Company's corporate tax liability. The Fund and the Adviser further acknowledge that any such failure may result in costs and expenses being incurred by the Company in obtaining whatever regulatory authorizations are required to substitute shares of another investment company for those of the failed Fund or as well as fees and expenses of legal counsel and other advisors to the Company and any federal income taxes, interest or tax penalties incurred by the Company in connection with any such failure.

  • Reporting Compliance The Company is subject to, and is in compliance in all material respects with, the reporting requirements of Section 13 and Section 15(d), as applicable, of the Exchange Act.

  • FDA Compliance The Company: (A) is and at all times has been in material compliance with all statutes, rules or regulations of the FDA and other comparable governmental entities applicable to the ownership, testing, development, manufacture, packaging, processing, use, distribution, marketing, labeling, promotion, sale, offer for sale, storage, import, export or disposal of any product under development, manufactured or distributed by the Company (“Applicable Laws”); (B) has not received any FDA Form 483, notice of adverse finding, warning letter, untitled letter or other correspondence or notice from the FDA or any governmental entity alleging or asserting material noncompliance with any Applicable Laws or any licenses, certificates, approvals, clearances, exemptions, authorizations, permits and supplements or amendments thereto required by any such Applicable Laws (“Authorizations”); (C) possesses all material Authorizations and such Authorizations are valid and in full force and effect and the Company is not in material violation of any term of any such Authorizations; (D) has not received notice of any claim, action, suit, proceeding, hearing, enforcement, investigation, arbitration or other action from the FDA or any governmental entity or third party alleging that any product operation or activity is in material violation of any Applicable Laws or Authorizations and has no knowledge that the FDA or any governmental entity or third party is considering any such claim, litigation, arbitration, action, suit, investigation or proceeding; (E) has not received notice that the FDA or any governmental entity has taken, is taking or intends to take action to limit, suspend, modify or revoke any material Authorizations and has no knowledge that the FDA or any governmental entity is considering such action; and (F) has filed, obtained, maintained or submitted all material reports, documents, forms, notices, applications, records, claims, submissions and supplements or amendments as required by any Applicable Laws or Authorizations and that all such reports, documents, forms, notices, applications, records, claims, submissions and supplements or amendments were materially complete and correct on the date filed (or were corrected or supplemented by a subsequent submission).

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