Transaction Reporting. To the extent that we might transaction report, we will only provide this service on your behalf subject to an express agreement in writing between us, separate to these terms (and in accordance with the provisions of section 5, Appendix A where applicable). Where we do so, we are required to report whether relevant transactions (such as transactions in equities) were short sales or otherwise. Where we have this information you agree that we will include whether such transaction was a short sale or otherwise in the transaction report, to satisfy our obligations under Applicable Regulations. Where we do not have such information and you have not confirmed whether such sale is a short sale or otherwise, we will report to the relevant regulator, as part of the transaction report, that such information has not been disclosed to us.
Appears in 12 contracts
Samples: Professional Client Agreement, Eligible Counterparty Agreement, Professional Client Agreement
