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.
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.
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...
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.
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.
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”).
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;
i) in no event shall the Distributor be under any obligation to AFX to initiate litigation in the Distributor's own name against any Subscriber; and
ii) in no event shall the Distributor have any obligation hereunder to pay royalties to AFX relating to the period prior to receipt of notice from AFX given under this Section for any such unpermitted use of the Service by any Subscriber of which an officer of the Distributor did not have actual knowledge or the Distributor could not reasonably prevent. AFX hereby agrees to indemnify the Distributor against any claims asserted against the Distributor by Subscribers whose subscriptions to receive the Service have been terminated by the Distributor at the instruction of AFX in so far as such claims relate to such termination.
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”).
