Common use of Transaction Reporting Clause in Contracts

Transaction Reporting. (a) To enable CESL to comply with transaction reporting obligations under Applicable Law, the Client agrees to promptly deliver to CESL any information that CESL may from time to time request to enable CESL to complete and submit transaction reports to the FCA. The Client agrees that CESL may provide information about the Client or, where applicable, a principal, and Transactions executed with or for the Client or, where applicable, a principal, to competent authorities in the course of submitting transaction reports and to it making public relevant details of quotes provided to you and Transactions executed for you in accordance with Applicable Law. (b) The Client acknowledges that the Client may be separately required to submit transaction reports regarding certain Transactions. CESL will not submit transaction reports to the FCA on behalf of the Client, and CESL will not reference the Client’s underlying clients. (c) The Client will be solely responsible for assessing and determining whether the Client is subject to any transaction reporting obligations in relation to any Transaction that is executed by or through CESL, and the Client will be solely responsible for complying with any such transaction reporting obligations that the Client is subject to. (d) The Client acknowledges that the disclosures made in the context of CESL’s trade or transaction reporting may be made to recipients in a jurisdiction other than CESL’s or the Client’s, (i) to the extent that applicable non-disclosure, confidentiality, bank secrecy, or other law imposes non-disclosure requirements on Transaction and similar information required or permitted to be disclosed as contemplated herein but permits a Party to waive such requirements by consent, the consent and acknowledgements provided herein shall be your consent for purposes of such law; and (ii) any agreement between CESL and the Client to maintain confidentiality of information contained in this Agreement or in any non-disclosure, confidentiality or other agreement shall continue to apply to the extent that such agreement is not inconsistent with the disclosure of information in connection with this provision; and (iii) nothing herein is intended to limit the scope of any other consent to disclosure separately given by each Party to the other Party.

Transaction Reporting. In accordance with the Markets in Financial Instruments Regulation (aMiFIR), Regulation (EU) To enable CESL No 600/2014 of the European Parliament and of the Council of 15 May 2014 on markets in financial instruments and amending Regulation (EU) No 648/2012, we are obliged to comply with transaction reporting obligations under Applicable Lawreport transactions on financial instruments that are admitted for Trading on a Trading Venue (“ToTV”) or for which a request for admission to trading has been made, financial instruments where the Client agrees underlying is a financial instrument ToTV; and financial instruments where the underlying is an index or a basket composed of financial instruments ToTV. In this respect, you are irrevocably authorizing us to promptly deliver to CESL any information that CESL may from time to time request to enable CESL to complete and submit transaction reports report all of your reportable transactions to the FCA. The Client agrees For the purposes of facilitating Transaction Reporting, you should provide us, among other, with the following supporting documentation, in an acceptable by us format: Natural Person: Depending on the country of your residence, you should provide us with such supporting documentation as required by the Annex II of the Delegated Regulation (EU) 2017/590 regarding national client identifiers for natural persons to be used in transaction reports, including but not limited to the passport number or identity card number or concatenation (CONCAT) number. Legal Person: You should provide us with the Legal Entity Identifier (“LEI”), the 20-digit, alphanumeric code that CESL may enables clear and unique identification of legal entities participating in financial transactions. It is emphasized that we will not be in a position to provide information about a service triggering the Client orobligation for us to submit a transaction report for a transaction entered into on your behalf, where applicableprior obtaining the LEI from your side. Failure to renew your LEI on an annual basis will result to the termination of this Agreement, a principal, and Transactions executed with or for the Client or, where applicable, a principal, to competent authorities in the course of submitting transaction reports and to it making public relevant details of quotes provided to you and Transactions executed for you in accordance with Applicable Law. (b) The Client acknowledges that the Client provisions of Clause 17. You should also provide us with any additional information and/or supporting documentation may be separately requested from time to time, required under MiFIR or any other applicable laws and regulations, in order to submit transaction reports regarding certain Transactionscomply with our reporting obligation. CESL will not submit transaction reports In case of refusal or failure to provide us with the FCA on behalf of required information and/or supporting documentation, we have the Client, absolute right to refuse you to trade with us and CESL will not reference the Client’s underlying clients. (c) The Client will be solely responsible for assessing and determining whether the Client is subject to any transaction reporting obligations in relation to any Transaction that is executed by suspend your Account or through CESL, and the Client will be solely responsible for complying with any such transaction reporting obligations that the Client is subject to. (d) The Client acknowledges that the disclosures made in the context of CESL’s trade or transaction reporting may be made to recipients in a jurisdiction other than CESL’s or the Client’s, (i) to the extent that applicable non-disclosure, confidentiality, bank secrecy, or other law imposes non-disclosure requirements on Transaction and similar information required or permitted to be disclosed as contemplated herein but permits a Party to waive such requirements by consent, the consent and acknowledgements provided herein shall be your consent for purposes of such law; and (ii) any agreement between CESL and the Client to maintain confidentiality of information contained in terminate this Agreement or in any non-disclosure, confidentiality or other agreement shall continue to apply to the extent that such agreement is not inconsistent accordance with the disclosure provisions of information in connection with this provision; and (iii) nothing herein is intended to limit the scope of any other consent to disclosure separately given by each Party to the other PartyClause 17.

Transaction Reporting. (a) To enable CESL CIL to comply with transaction reporting obligations under Applicable Law, the Client agrees to promptly deliver to CESL CIL any information that CESL CIL may from time to time- to-time request to enable CESL CIL to complete and submit transaction reports to the FCA. The Client agrees that CESL CIL may provide information about the Client or, where applicable, a principal, and Transactions executed with or for the Client or, where applicable, a principal, to competent authorities in the course of submitting transaction reports and to it making public relevant details of quotes provided to you and Transactions executed for you in accordance with Applicable Law. (b) The Client acknowledges that the Client may be separately required to submit transaction reports regarding certain Transactions. CESL CIL will not submit transaction reports to the FCA relevant competent authority on behalf of the Client, and CESL CIL will not reference the Client’s underlying clients. (c) The Subject to Applicable Law, the Client will be solely responsible for assessing and determining whether the Client is subject to any transaction reporting obligations in relation to any Transaction that is executed by or through CESLCIL, and the Client will be solely responsible for complying with any such transaction reporting obligations that the Client is subject to. (d) The Client acknowledges that the disclosures made in the context of CESLCIL’s trade or transaction reporting may be made to recipients in a jurisdiction other than CESLCIL’s or the Client’s, : (i) to the extent that applicable non-disclosure, confidentiality, bank secrecy, or other law imposes non-disclosure requirements on Transaction and similar information required or permitted to be disclosed as contemplated herein but permits a Party to waive such requirements by consent, the consent and acknowledgements provided herein shall be your consent for purposes of such law; and and (ii) any agreement between CESL CIL and the Client to maintain confidentiality of information contained in this Agreement or in any non-disclosure, confidentiality or other agreement shall continue to apply to the extent that such agreement is not inconsistent with the disclosure of information in connection with this provision; and and (iii) nothing herein is intended to limit the scope of any other consent to disclosure separately given by each Party to the other Party.

Transaction Reporting. (a) To enable CESL to comply with transaction reporting obligations under Applicable Law, the Client agrees to promptly deliver to CESL any information that CESL may from time to time request to enable CESL to complete and submit transaction reports to the FCA. The Client agrees that CESL may provide information about the Client or, where applicable, a principal, and Transactions executed with or for the Client or, where applicable, a principal, to competent authorities in the course of submitting transaction reports and to it making public relevant details of quotes provided to you and Transactions executed for you in accordance with Applicable Law. (b) The Client acknowledges that the Client may be separately required to submit transaction reports regarding certain Transactions. CESL will not submit transaction reports to the FCA on behalf of the Client, Client and CESL will not reference the Client’s underlying clients. (c) The Client will be solely responsible for assessing and determining whether the Client is subject to any transaction reporting obligations in relation to any Transaction that is executed by or through CESL, and the Client will be solely responsible for complying with any such transaction reporting obligations that the Client is subject to. (d) The Client acknowledges that the disclosures made in the context of CESL’s trade or transaction reporting may be made to recipients in a jurisdiction other than CESL’s or the Client’s, (i) to the extent that applicable non-disclosure, confidentiality, bank secrecy, or other law imposes non-disclosure requirements on Transaction and similar information required or permitted to be disclosed as contemplated herein but permits a Party to waive such requirements by consent, the consent and acknowledgements provided herein shall be your consent for purposes of such law; and (ii) any agreement between CESL and the Client to maintain confidentiality of information contained in this Agreement or in any non-disclosure, confidentiality or other agreement shall continue to apply to the extent that such agreement is not inconsistent with the disclosure of information in connection with this provision; and (iii) nothing herein is intended to limit the scope of any other consent to disclosure separately given by each Party to the other Party.