The Broker must Sample Clauses

The Broker must. (a) take all reasonable steps that a prudent operator in a similar situation would take to prevent unauthorised access, damage and interference to the Site and the Broker's System; (b) have formal procedures in place to: (i) provide protection (eg Firewall) against intrusion and uncontrolled access to any Location Information Product through the Internet; (ii) prevent unauthorised downloading of Location Information Products before payment has been secured; and (iii) ensure any Location Information Products are properly secured from interference when they are being transferred across the Internet.
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The Broker must. 2.4.1. make transactions and operations with securities and other financial instruments of the Client in accordance with the terms of this Agreement, the Broker's internal documents, and the Legislation; 2.4.2. make every possible effort for the best execution of the Client’s request when making a transaction with securities and other financial instruments; 2.4.3. store information contained in the Broker’s accounting system and allowing to establish or restore the sequence of changes introduced to the Client’s Personal Account; 2.4.4. keep trade secret about the Client's Personal Account, and maintain confidentiality of the Client's data and information received from the Client, except for the cases established by the Legislation and the cases associated with provision of Services to the Client hereunder, and implementation of the rights and obligations of the Broker hereunder; 2.4.5. at the Client's demand, provide original statements of the Personal Account and reports on the execution of requests/orders, and other reports provided for by the Agreement, certificates of services provided, and other documents, from the moment of receipt of a written request from the Client. In this case, originals of the above documents shall be received by the Client or his authorized representative independently at the Broker's location. If it is necessary to send the above documents with the use of a courier and/or mail service, the costs of sending and delivery of the documents shall be reimbursed by the Client upon the Broker's first demand. Submission of a claim for reimbursement of the above costs is the right and not the obligation of the Broker, and if it was not submitted by the Broker, it shall not be subject to accrual and payment. 2.4.6. within the entire period of this Agreement, notify the Client within 3 (three) business days from the date of occurrence of a ground for sending such a notice, by posting information on the Broker's corporate online resource, about sanctions, except for administrative penalties applied by the competent authority against the Broker within the latest 12 (twelve) consecutive calendar months. For sanctions in the form of an administrative penalty, information about imposition of an administrative penalty on the Broker shall be provided for the latest 12 (twelve) consecutive calendar months from the date of completion of the execution of the judgment on imposition of the administrative penalty. 2.4.7. notify the Client about restr...
The Broker must. (1) obtain and maintain for the period of this Agreement and for a period of 3 years after the end of this Agreement, professional indemnity insurance for an insured amount of not less than $5 million for any one claim and in the annual aggregate; (2) ensure that the professional indemnity insurance required under clause 8.3(1): (a) specifically includes the conducting of a water broking business, or similar water market activity, within the scope of the insured coverage; and (b) includes an automatic right of reinstatement of the annual aggregate; (3) provide to the Department within 14 days of the Commencement Date, and otherwise within a reasonable time of a request by the Department: (a) evidence of the insurance required under clause 8.3(1) (including the payment of any premiums); and (b) a certificate of currency for such insurance (which must specifically refer to the conducting of a water broking business, or similar water market activity, being within the scope of the insured coverage).
The Broker must. (a) not allow any End User access to any Title Product unless they have entered into an appropriate Related Contract, the terms and conditions of which have first been approved in writing by Xxxxxxxx; (b) ensure any variation in the terms and conditions of the Related Contract are approved in writing by Landgate if required (except for price changes or any other clauses that may be excluded in writing by Landgate) before the variations take effect; and (c) take all steps necessary to enforce the Related Contract with the End User (including executing documents and legal proceedings if required).
The Broker must. (a) keep and maintain a Register from the Commencement Date and for five years after termination of this Agreement, containing the details specified in Item 15; (b) provide the Register to Landgate for inspection within 7 days if requested by Xxxxxxxx; (c) permit Landgate or any person authorised by Landgate to inspect and audit the Register when and as required by Landgate; and (d) vary the contents of the Register if required by Landgate, within 30 days of written notice.

Related to The Broker must

  • The Broker Dealer understands and agrees that in performing the services covered by this Agreement, it is acting in the capacity of an independent contractor and not as an agent or employee of PEPCO, and that it is not authorized to act for, or make any representation on behalf of, PEPCO or the Insurer except as specified herein. Broker-Dealer understands and agrees that PEPCO shall execute telephone transfer orders only in accordance with the terms and conditions of the then current prospectus applicable to the contracts and/or policies and agrees that, in consideration for the Broker-Dealer's right to exercise the telephone transfer privilege, neither PEPCO nor the Insurer will be liable for any loss, injury or damage incurred as a result of acting upon, nor will they be held responsible for the authenticity of, any telephone instructions containing unauthorized, incorrect or incomplete information. Broker-Dealer agrees to indemnify and hold harmless PEPCO and the Insurer against any loss, injury or damage resulting from any telephone exchange instruction containing unauthorized, incorrect or incomplete information received from Broker-Dealer or any of its registered representatives. (Telephone instructions are recorded on tape.)

  • Selling Broker Dealer -- A person registered as a broker-dealer and licensed as a life insurance agent or affiliated with a person so licensed, and authorized to distribute the Contracts pursuant to a sales agreement as provided for in Section 4 of this Agreement.

  • INTRODUCING BROKERS 18.1 The Client may have been referred to Tickmill Ltd by an Introducing Broker. If so, Tickmill Ltd shall not be responsible for any agreement made between the Client and the Client's Introducing Broker. The Client acknowledges that any such Introducing Broker will either be acting as an independent intermediary or an Agent for the Client and that no such Introducing Broker shall be authorised to make any representations concerning Tickmill Ltd or Tickmill Ltd’s Services. 18.2 The Client is specifically made aware that the Client's agreement with its Introducing Broker may result in additional costs as Tickmill Ltd may pay fees or commission to such person. 18.3 The Client is also specifically made aware that the Client's agreement with its Introducing Broker may result in additional costs for the client because the Introducing Broker can deduct commissions and fees as well as price or interest/financing rate adjustments for any trade conducted on or allocated to the Clients account either by the Introducing Broker or the Client. 18.4 If the Introducing Broker undertakes any deductions from the Client's Trading Account according to any agreement between the Client and the Introducing Broker, Tickmill Ltd has no responsibility as to the existence or validity of such an agreement. 18.5 Tickmill Ltd shall have no responsibility or liability to the Client in following the instructions given by the Introducing Broker. Tickmill Ltd is under no obligation to supervise or otherwise know or review the payment instructions or any other acts, including but not limited to the trading, of the Introducing Broker. 18.6 The client acknowledges and accepts that frequent transactions may result in a sum total of commissions, fees, price or interest/financing rate adjustments for trades conducted that may be substantial and not necessarily be offset by the net profits, if any, achieved from the relevant trades. The responsibility for correctly assessing whether the size of the total commissions, fees, price or interest/financing rate adjustments for trades conducted paid from the Client's account makes trading commercially viable, is the combined responsibility of the Client and the Introducing Broker. Tickmill Ltd only acts as the custodian and principal broker, and therefore is not responsible for the size of the commissions and fees as well as price or interest rate paid by the Client. 18.7 Any commissions, fees, price or interest/financing rate adjustments for trades conducted may be shared between the Introducing Broker, Tickmill Ltd and third parties according to the Introducing Broker's written instructions and/or at Tickmill Ltd’s discretion.

  • Affiliated Brokers The Adviser or any of its affiliates may act as broker in connection with the purchase or sale of securities or other investments for a Fund, subject to: (i) the requirement that the Adviser seek to obtain best execution and price within the policy guidelines determined by the Board and set forth in the Fund’s current prospectus and SAI; (ii) the provisions of the 1940 Act; (iii) the provisions of the Advisers Act; (iv) the provisions of the 1934 Act; and (v) other provisions of applicable law. These brokerage services are not within the scope of the duties of the Adviser under this Agreement. Subject to the requirements of applicable law and any procedures adopted by the Board, the Adviser or its affiliates may receive brokerage commissions, fees or other remuneration from a Fund for these services in addition to the Adviser’s fees for services under this Agreement.

  • No Broker Neither Seller nor any Affiliate of Seller has dealt with any broker, investment banker, agent or other Person, except for Buyer or an Affiliate of Buyer, who may be entitled to any commission or compensation in connection with any Transaction.

  • REAL ESTATE BROKER Tenant represents to Landlord that Tenant has not dealt with any real estate broker with respect to this Lease except for any broker(s) listed in the Schedule, and no other broker is in any way entitled to any broker's fee or other payment in connection with this Lease. Tenant shall indemnify and defend Landlord against any claims by any other broker or third party for any payment of any kind in connection with this Lease.

  • Finders and Brokers Except as set forth on Schedule 3.17, no broker, finder or investment banker is entitled to any brokerage, finder’s or other fee or commission from the Purchaser, the Target Companies or any of their respective Affiliates in connection with the transactions contemplated hereby based upon arrangements made by or on behalf of the Purchaser.

  • Agreement to Provide Shareholder Information 1. Each Intermediary agrees to provide the Fund, upon written request, the following shareholder information with respect to Covered Transactions involving the Funds: a. The taxpayer identification number (“TIN”) or any other government issued identifier, if known, that would provide acceptable assurances of the identity of each shareholder that has purchased, redeemed, transferred or exchanged shares of a Fund through an account directly maintained by the Intermediaries during the period covered by the request; b. The amount and dates of, and the Variable Product(s) associated with, such shareholder purchases, redemptions, transfers and exchanges; and c. Any other data mutually agreed upon in writing. 2. Under this Agreement the term “Covered Transactions” are those transactions which the Intermediaries consider when determining whether trading activity is excessive as described in their Excessive Trading Policy. 3. Requests to provide shareholder information shall set forth the specific period for which transaction information is sought. However, unless otherwise agreed to by the Intermediaries, any such request will not cover a period of more than 90 consecutive calendar days from the date of the request. 4. Each Intermediary agrees to provide the requested shareholder information promptly upon receipt of the request, but in no event later than 15 business days after receipt of such request, provided that such information resides in its books and records. If shareholder information is not on the Intermediary’s books and records, the Intermediary agrees to use reasonable efforts to obtain and transmit or have transmitted the requested information from the holder of the account.

  • Participating Broker Dealer’s acceptance of this Agreement constitutes a representation and warranty to the Company and the Dealer Manager that Participating Broker-Dealer has established and implemented an anti-money laundering compliance program (“AML Program”) in accordance with applicable law, including applicable FINRA Rules, rules promulgated by the SEC and the Uniting and Strengthening America by Providing Appropriate Tools Required to Intercept and Obstruct Terrorism Act (USA PATRIOT Act) of 2001, as amended by the USA Patriot Improvement and Reauthorization Act of 2005 (the “USA PATRIOT Act”), specifically including, but not limited to, Section 352 of the International Money Laundering Abatement and Anti-Terrorist Financing Act of 2001 (the “Money Laundering Abatement Act” and together with the USA PATRIOT Act, the “AML Rules”), reasonably expected to detect and cause the reporting of suspicious transactions in connection with the sale of Primary Shares. Participating Broker-Dealer covenants that it will perform all activities it is required to perform by applicable AML Rules and its AML Program with respect to all customers on whose behalf Participating Broker-Dealer submits orders to the Company. To the extent permitted by applicable law, Participating Broker-Dealer will share information with the Dealer Manager and the Company for purposes of ascertaining whether a suspicious activity report is warranted with respect to any suspicious transaction involving the purchase or intended purchase of Primary Shares. Upon request by the Dealer Manager at any time, Participating Broker-Dealer hereby agrees to (i) furnish a written copy of its AML Program and relevant legal requirements to the Dealer Manager for review, and (ii) furnish a copy of the findings and any remedial actions taken in connection with Participating Broker-Dealer’s most recent independent testing of its AML Program. Participating Broker-Dealer further represents and warrants that (i) it is currently in compliance with all AML Rules, specifically including, but not limited to, the Customer Identification Program requirements under Section 326 of the Money Laundering Abatement Act and Participating Broker-Dealer will remain in compliance with such requirements, (ii) it has Know Your Customer (KYC) policies and procedures in place, (iii) the Participating Broker-Dealer’s AML Program has been adopted by a person with sufficient authority to oversee the AML policies and procedures, and (iv) the Participating Broker-Dealer’s AML Program has education and/or training programs for officers and employees regarding AML policies and procedures. Participating Dealer shall, upon request by the Dealer Manager, provide a certification to Dealer Manager that, as of the date of such certification (i) its AML Program is consistent with the AML Rules, (ii) it has continued to implement its AML Program and has complied with the provisions of its AML Program, and (iii) it is currently in compliance with all AML Rules, specifically including, but not limited to, the Customer Identification Program requirements under Section 326 of the Money Laundering Abatement Act.

  • No Broker Fees No broker’s or finder’s fee or commission will be payable with respect hereto or any of the transactions contemplated thereby; and the Borrower hereby agrees to indemnify the Administrative Agent and the Lenders against, and agree that they will hold the Administrative Agent and the Lenders harmless from, any claim, demand, or liability for any such broker’s or finder’s fees alleged to have been incurred in connection herewith or therewith and any expenses (including reasonable attorneys’ fees) arising in connection with any such claim, demand, or liability.

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