Transactions in Securities. 31.1 Transactions in securities not requiring instructions from the Client
31.2 Transactions in securities requiring a prior instruction from the Client
Transactions in Securities. 4.1 The Client authorizes EISHK to instruct such executing brokers and overseas brokers and dealers (including XXXXX’x Associate) as EISHK may in its absolute discretion deem fit to execute any Transactions in Securities and acknowledges that the terms of business of such executing brokers and overseas brokers and dealers and the applicable Rules of any relevant exchange and/or Clearing System on and through which such Transactions in Securities are executed and settled shall apply to such Transactions in Securities.
4.2 All Transactions in Securities which EISHK effects on the Client's instructions shall be effected in accordance with all laws, rules and regulatory directions applying to EISHK. All actions taken by EISHK in accordance with such laws, rules and directions shall be binding on the Client.
4.3 If EISHK solicit the sale of or recommend any financial product or any product including any virtual assets to the Client, the financial product or product must be reasonably suitable for the Client having regard to the Client’s financial situation, investment experience and investment objectives. No other provision of this Agreement or any other document EISHK may ask the Client to sign and no statement EISHK may ask the Client to make derogates from this clause.
4.4 In relation to virtual assets related complex products which may also involve into trading that falls outside the jurisdiction of the Securities & Futures Commission (“SFC”), unless otherwise stipulated by the SFC, the Client shall only place order or give instruction if it has fulfilled the applicable requirements, including:
(a) with regard to the assessment of ensuring the Client is a professional investor as defined under the SFO and/or in accordance with the“Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission” (“Code of Conduct”) together with the Securities and Futures (Professional Investor) Rules (“Professional Investor”);
(b) with regard to the passing of knowledge test, suitability assessment and net worth assessment of the Client in connection to virtual assets related products; and
(c) with regard to the Client’s understanding of the nature and risks of investing in virtual assets related products and has read and understood the “Risk Disclosure Statements for Virtual Assets Related Products” set out in the Sixth Schedule.
4.5 If applicable, the Client shall not deposit or withdraw virtual assets (if any) from its Securities Account ...
Transactions in Securities. The Company has questioned its directors and executive officers concerning known stock transfers since December 31, 1999 and based upon that investigation the Company has not, and to the Company's knowledge (a) no director or officer of the Company or the Company's Subsidiaries, (b) no Person related to any such director or officer by blood, marriage or adoption and residing in the same household and (c) no Person who has been knowingly provided material nonpublic information by any one or more of these Persons, has purchased or sold, or caused to be purchased or sold, any shares of Company Common Stock or other securities issued by the Company (i) during any period when the Company was in possession of material nonpublic information or (ii) in violation of any applicable provision of the Exchange Act.
Transactions in Securities. 35 5.31. DISCLOSURE..........................................................35
Transactions in Securities. During the period from the commencement of negotiations between such Purchaser and the Company with respect to the transactions contemplated by this Agreement and the date hereof, such Purchaser has not established a short position with respect to the Company’s Common Stock.
Transactions in Securities. (i) Since December 31, 2019, all offers and sales of Company Capital Stock by the Company were at all relevant times exempt from, or complied with, the registration requirements of the Securities Act.
(ii) Neither the Company, none of its Subsidiaries, nor, to the Company’s Knowledge, (A) any director or executive officer of the Company or any of its Subsidiaries, (B) any Person related to any such director or officer by blood, marriage or adoption and residing in the same household and (C) any Person who has been knowingly provided material nonpublic information by any one or more of these Persons, has purchased or sold, or caused to be purchased or sold, any shares of Company Common Stock or other securities issued by the Company (1) during any period when the Company was in possession of material nonpublic information, or (2) in violation of any applicable provision of federal or state securities laws, rules or regulations.
(iii) With respect to all contracts pursuant to which the Company or any of its Subsidiaries has purchased securities subject to an agreement to resell, if any, the Company or such Subsidiary has a valid, perfected first lien or security interest in the government securities or other collateral securing the repurchase agreement, and the value of such collateral is reasonably believed to equal or exceed the amount of debt secured thereby.
Transactions in Securities. (i) Since January 1, 2020, all offers and sales of TCFC Common Stock by TCFC were at all relevant times exempt from, or complied with, the registration requirements of the Securities Act.
(ii) Neither TCFC, none of its Subsidiaries, nor, to TCFC’s Knowledge, (A) any director or executive officer of TCFC or any of its Subsidiaries, (B) any Person related to any such director or officer by blood, marriage or adoption and residing in the same household and (C) any Person who has been knowingly provided material nonpublic information by any one or more of these Persons, has purchased or sold, or caused to be purchased or sold, any shares of TCFC Common Stock or other securities issued by TCFC (1) during any period when TCFC was in possession of material nonpublic information, or (2) in violation of any applicable provision of federal or state securities laws, rules or regulations.
Transactions in Securities. (i) Since January 1, 2020, all offers and sales of SHBI Common Stock by SHBI were at all relevant times exempt from, or complied with, the registration requirements of the Securities Act.
(ii) Neither SHBI, none of its Subsidiaries, nor, to SHBI’s Knowledge, (A) any director or executive officer of SHBI or any of its Subsidiaries, (B) any Person related to any such director or officer by blood, marriage or adoption and residing in the same household and (C) any Person who has been knowingly provided material nonpublic information by any one or more of these Persons, has purchased or sold, or caused to be purchased or sold, any shares of SHBI Common Stock or other securities issued by SHBI (1) during any period when SHBI was in possession of material nonpublic information, or (2) in violation of any applicable provision of federal or state securities laws, rules or regulations.
Transactions in Securities. (i) All offers and sales of First Mutual Common Stock by First Mutual were at all relevant times exempt from or complied with the registration requirements of the Securities Act.
(ii) Neither First Mutual, none of First Mutual’s Subsidiaries, nor, to First Mutual’s knowledge, (a) any director or executive officer of First Mutual or of a First Mutual Subsidiary, (b) any person related to any such director or officer by blood, marriage or adoption and residing in the same household and (c) any person who has been knowingly provided material nonpublic information by any one or more of these persons, has purchased or sold, or caused to be purchased or sold, any shares of First Mutual Common Stock or other securities issued by First Mutual (i) during any period when First Mutual was in possession of material nonpublic information or (ii) in violation of any applicable provision of the Exchange Act or the rules and regulations of the SEC thereunder.
Transactions in Securities. All offers and sales of capital stock or debt instruments of Stewardship by Stewardship (including offers and sales pursuant to the Stewardship Equity Incentive Plan and the Stewardship Dividend Reinvestment Plan) were at all relevant times exempt from, or complied with, the registration requirements of the Securities Act and any applicable state securities Laws.
