Trading obligations Clause Samples
The Trading Obligations clause defines the specific duties and requirements that parties must fulfill when engaging in trading activities under the agreement. It typically outlines the types of trades permitted, the standards or procedures to be followed, and any compliance requirements, such as adhering to regulatory rules or using designated trading platforms. By clearly setting out these expectations, the clause ensures both parties understand their responsibilities, thereby reducing the risk of disputes and promoting orderly and compliant trading operations.
Trading obligations. The Tenant must:
(a) not change the name of the Premises without the Landlord's consent,
(b) not permit or suffer any smell to emanate from the Premises in a manner which is a legal nuisance or causes a legal nuisance or disturbance to any person, and
(c) not play or use any musical instrument, record player, amplifier, loud speaker or similar apparatus in such a manner as to cause a nuisance to adjoining premises.
Trading obligations. The Executive understands and acknowledges that he is subject to the Company’s ▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇ policies and procedures (the “▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇ Procedures”) and, as such, may not trade in the Company’s securities in accordance therewith until any material, nonpublic information he possesses has become public or is no longer material. For avoidance of doubt, the Executive understands and acknowledges that he shall be deemed for purposes of this paragraph to continue to possess material, non-public information until at least the third business day after the Company’s public announcement in its Annual Report on Form 10-K for the fiscal year ended March 31, 2025 (expected to be filed in May 2025) and he shall thereafter remain subject to the general ▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇ limitations applicable under the ▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇ Procedures and other Company policies through the Separation Date. Notwithstanding the foregoing, the Executive shall comply with all federal and state securities laws applicable to the trading of the Company’s securities with knowledge of material non- public information regarding the Company.
Trading obligations. 5.14.1. Where the Company executes or transmits a Client’s Order in shares admitted to trading on a Regulated Market or traded on a trading venue, the Company shall ensure that the execution takes place on a regulated market, Multilateral Trading Facility (MTF) or with a systematic internaliser or a third-country trading venue assessed as equivalent in accordance to the applicable law.
5.14.2. The Company may not need to follow the above rules if such trades are:
a) non-systematic, ad-hoc, irregular and infrequent, or
b) are carried out between eligible and/or professional counterparties and it do not contribute to the price discovery process.
5.14.3. The trading obligation shall also apply when the Company enters into derivatives transaction pertaining to a class of derivatives that has been declared subject to the trading obligation with financial counterparties as defined in Regulation (EU) No 648/2012 and non-financial counterparties that meet the conditions referred to in Article 10(1)(b) of Regulation (EU) No 648/2012, which are neither intragroup transactions nor transactions covered by the transitional provisions in Article 89 of that Regulation, as well as with third-country financial institutions or other third-country entities that would be subject to the clearing obligation if they were established in the Union. Where the Company enters into a transaction for a Client’s Order for a class of derivatives that has been declared subject to the trading obligation in accordance with the procedure set out in Article 32 of Regulation (EU) 600/2017 and listed in the register referred to in Article 34 of Regulation (EU) 600/2017, execution should only take place on regulated markets, Multilateral Trading Facilities (MTFs), Organised Trading Facilities OTFs or third-country equivalent trading venues.
Trading obligations. The Individual understands and acknowledges that he is subject to the Company’s i▇▇▇▇▇▇ ▇▇▇▇▇▇▇ policies and procedures (the “I▇▇▇▇▇▇ ▇▇▇▇▇▇▇ Procedures”) and, as such, may not trade in the Company’s securities in accordance therewith until any material, nonpublic information he possesses has become public or is no longer material. For avoidance of doubt, the Individual understands and acknowledges that he shall be deemed for purposes of this paragraph to continue to possess material, non-public information until at least the third business day after the Company’s public announcement in its SEC Form 10-Q of its results for the quarter ended April 30, 2022 and he shall thereafter remain subject to the I▇▇▇▇▇▇ ▇▇▇▇▇▇▇ Procedures and any other applicable insider-trading requirements under Company policies. Notwithstanding the foregoing, the Individual shall comply with all federal and state securities laws applicable to the trading of the Company’s securities with knowledge of material non-public information regarding the Company.
Trading obligations. The Tenant must:
(a) not change the name of the Property without the Landlord’s prior written consent,
(b) store goods in accordance with the manufacturer’s recommendations,
(c) not use any recycled beer or overspill or residue from beer sold to the public,
(d) not damage any beer dispensing equipment,
(e) comply with routine cleaning and maintenance requirements for beer dispensing equipment,
(f) display notices and advertisements, including price lists, as reasonably required by the Landlord or as required by law
Trading obligations. The Individual understands and acknowledges that he is subject to the ▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇ policies and procedures (the “▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇ Procedures”) of REPX and, as such, may not trade in REPX’s securities in accordance therewith until any material, nonpublic information he possesses has become public or is no longer material. For avoidance of doubt, the Individual understands and acknowledges that he shall remain subject to the general ▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇ limitations applicable under the ▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇ Procedures of REPX, including the trading window, blackout and pre-clearance procedures, until at least the third business day after REPX’s public announcement of financial results for the fiscal year ended December 31, 2023. Notwithstanding the foregoing, the Individual shall comply with all federal and state securities laws applicable to the trading of REPX’s securities with knowledge of material non-public information regarding REPX.
Trading obligations. The Individual understands and acknowledges that she is subject to the ▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇ policies and procedures (the “▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇ Procedures”) of the Company and, as such, may not trade in the Company’s securities in accordance therewith until any material, nonpublic information she possesses has become public or is no longer material. For avoidance of doubt, the Individual understands and acknowledges that she shall remain subject to the general ▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇ limitations applicable under the ▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇ Procedures of the Company, including the trading window, blackout and pre-clearance procedures, until at least the third business day after the Company’s public announcement of financial results for the quarter ended June 30, 2024. Notwithstanding the foregoing, the Individual shall comply with all federal and state securities laws applicable to the trading of the Company’s securities with knowledge of material non-public information regarding the Company.