Trade Reporting. Under Applicable Regulations, we may be obliged to make information about certain Transactions public. You agree and acknowledge that any and all proprietary rights in such Transaction information are owned by us and you waive any duty of confidentiality attaching to the information which we reasonably disclose.
Trade Reporting. In accordance with MiFID II, either party may be obliged to make information about certain transactions concluded outside of a trading venue (as defined by MiFID II) public. Where you are an investment firm and we transact in financial instruments outside the rules of a trading venue, the responsibility, where applicable, for reporting the Transaction shall fall on the relevant party designated under MiFID II. Unless otherwise agreed in writing, where you are an investment firm we will not report such Transactions on your behalf. Where you are not an investment firm we will report the Transaction in such financial instrument. In either case, the relevant Transaction information will be made public in accordance with MiFID II and both parties waive any duty of confidentiality attaching to the information required to be disclosed. If we are required to report the Transaction we may rely upon third parties to undertake this task. Notwithstanding the other provisions in this clause, to the extent you separately notify us (and we agree), we may provide you with an assisted trade reporting service to facilitate your trade reporting obligation. In this case, you will use an Approved Publication Arrangement ("APA") of our choice, unless you notify us otherwise of your preferred APA. In either case, you agree to provide the APA with all the relevant information for them to accept trade reporting data from us, and you agree to provide us all with all relevant information to enable us to send data to the APA. You and we agree that this service is not an inducement, is not an outsourcing arrangement, and that you will remain responsible for reporting the transaction at all times, under Applicable Regulations.
Trade Reporting. The paragraph entitled "Transparency" shall be deleted in its entirety. You acknowledge that fixed income instruments may be illiquid and that the market price of any particular instrument may be difficult to ascertain. In accordance with our Best Execution Policy you accept that price may not be the primary factor in determining whether best execution has been achieved for orders we execute on your behalf.
Trade Reporting. By 7:30 a.m. ET each Business Day following Trade Date ("TD + 1), FIIOC will provide, via facsimile, to GMO's Shareholder Services Group instructions for the net purchase or net redemption of Shares of the Funds based on Orders accepted by FIIOC prior to Close of Trading on the prior Business Day. In the event that such instructions represent estimated trade activity, FIIOC shall provide final instructions to GMO's Shareholder Services Group by no later than 9:00 a.m. ET. Such purchase or redemption instructions shall be effected at the public offering price of the Shares of the respective Fund calculated as of the Close of Trading on the Business Day on which the Order was accepted by FIIOC. The detailed activity reporting procedures to be followed by GMO's Shareholder Services Group and FIIOC are outlined in Exhibit C attached hereto, as such Exhibit may be amended from time to time by the parties hereto.
Trade Reporting. 3.1 Following each matched NDF Trade, as requested by a Participant, the NDF Platform will send confirmation to the Participant, such Participant’s prime broker and/or its third-party clearing network, as identified by such Participant, setting forth the trade details either directly via a drop copy or via a clearing network (“XxX”).
3.2 Each Participant is responsible for reviewing all trade confirmations provided by the Platform and for timely notifying Platform Provider of any error in the trade confirmation or XxX in accordance with the Transaction Review Policy set forth in the NDF Rulebook.
3.3 The Participant is responsible to comply with all trade reporting requirements under Applicable Laws.
Trade Reporting. Based on Orders accepted by NFS or NFS’ Agent prior to Close of Trading on the prior Business Day, NFS will provide to Fund/Agent either summarized trading instructions for the net purchase or net redemption of Shares of the Funds or detailed trading instructions by 9:00 A.M. Eastern Time, or other mutually agreed upon time, each Business Day following Trade Date (“TD + 1”). NFS will provide summarized and/or detailed trading instructions in accordance with practices of, and agreement with, the National Securities Clearing Corporation’s (“NSCC”) procedures concerning orders of shares to funds or their agents, through the NSCC Defined Contribution Clearance and Settlement System (the “DCC&S” System). NFS will provide both summarized and detailed trading instructions to Fund/Agent on TD+1 via Fund/SERV. Such instructions shall be effected at the public offering price, or such other price as may apply to the transaction, of the Shares of the respective Fund calculated as of the Close of Trading on the Business Day on which the Order was accepted by NFS or NFS’ Agent.
Trade Reporting. Under Applicable Regulations, we may be obliged to make information about certain Transactions public. You agree and acknowledge that any and all proprietary rights in such Transaction information are owned by us and you waive any duty of confidentiality attaching to the information which we reasonably disclose. Additionally, under Applicable Regulations we are required to report transactions on Financial Instruments that are admitted for trading on a regulated market or a trading venue in the EEA, irrespective of whether these transactions take place on or off such regulated markets or trading venues. Accordingly, we shall, and you hereby irrevocably authorise us to, report all of your CFD Transactions where the underlying Financial Instruments are admitted for trading on a regulated market or on any trading venue in the EEA. You agree to provide to us on demand all and any information which may be required by us under MiFID or any other Applicable Regulations to comply with our reporting obligations. Without derogating from the generality of the foregoing, you have to provide to us the following documentation (in a format that we consider satisfactory):
(i) where you are a natural person, you will provide such identification as may be required by us, known as natural person identifiers; or
(ii) where you are a legal entity or body corporate, you will provide to us your active (at all the times while you have an Account with us) Legal Entity Identifier (LEI), a 20-digit, alpha-numeric code based on the ISO 17442 standard developed by the International Organization for Standardization (ISO). Should you fail to comply with the requirements of this Section 7.13, for instance but without limitation, if your LEI were to expire, we would not be permitted to trade with you and we would have a right, at our sole and absolute discretion and without notice, to:
(i) refuse to accept you as our client; and/or
(ii) suspend your Account(s) with us until you have complied with the aforesaid requirements; and/or
(iii) terminate this Agreement with immediate effect. You shall indemnify and hold us harmless for any and all losses, claims, damages and expenses that we may incur as a result of your failure to comply with the requirements of this Section 7.13. If you are (i) a legal entity or corporate body based in the EEA and (ii) a N on-Financial Counterparty minus (“NFC-”) as defined under EMIR REFIT please note that we, as a Financial Counterparty (as defined under EMIR ...
Trade Reporting. By 7:00 a.m. ET each Business Day following Trade --------------- Date ("TD + 1), FIIOC will provide, via facsimile, to Transfer Agent instructions for the net purchase or net redemption of Shares of the Funds based on Orders accepted by FIIOC prior to Close of Trading on the prior Business Day. In the event that such instructions represent estimated trade activity, FIIOC shall provide final instructions to Transfer Agent by no later than 9:00 a.m.
Trade Reporting. 13.1 Where Mirabaud effects a transaction on a trading venue, trade reports will be made in accordance with the rules of the trading venue.
13.2 In the event that Mirabaud executes a reportable transaction outside of a trading venue or Systematic Internaliser, Mirabaud will bring the transaction on-exchange in order to meet the MiFID II trading obligation, where applicable and when possible.
13.3 Mirabaud trade reporting does not mitigate any trade reporting obligations that you may have.
Trade Reporting. By 7:00 a.m. ET each Business Day following Trade -------------------- Date (,TD + 1), FIIOC shall provide, via EDT in FIIOC's format, to Transfer Agent instructions for the net purchase or net redemption of Shares of each Fund by Account based on Orders accepted by FIIOC prior to Close of Trading on the prior Business Day. In the event that such instructions represent estimated trade activity, FIIOC shall provide final instructions to Transfer Agent by no later than 9:00 a.m. ET. Transfer Agent shall issue a confirmation of EDT receipt to FIIOC by no later than 9:15 a.m. ET on TDI-1. Such instructions shall be effected at the public offering price of the Shares of the respective Fund calculated as of the Close of Trading on the Business Day on which the Order was accepted by FIIOC. The detailed activity reporting procedures to be followed by One Group or its Designee and FIIOC are outlined in Exhibit C attached hereto, as such Exhibit may be amended from time to time by the parties hereto.
