USA Patriot Act Information. To help the government fight the funding of terrorism and money laundering activities, federal law requires all financial institutions to obtain, verify and record information that identifies each person who opens an account. For a non-individual person such as a business entity, a charity, a trust or other legal entity the Escrow Agent will ask for documentation to verify its formation and existence as a legal entity. The Escrow Agent may also ask to see financial statements, licenses, identification and authorization documents from individuals claiming authority to represent the entity or other relevant documentation. The Company agrees to provide all such information and documentation as requested by Escrow Agent to ensure compliance with United States federal law.
USA Patriot Act Information. The Company and each other Party shall provide to the Escrow Agent such other information as the Escrow Agent may reasonably require to permit the Escrow Agent to comply with its obligations under the federal USA Patriot Act. The Escrow Agent shall not credit any amount of interest or investment proceeds earned on the Subscription Payments, or make any payment of all or a portion of monies held in the escrow account pursuant to this Agreement, to any person unless and until such person has provided to the Escrow Agent such documents as the Escrow Agent may require to permit the Escrow Agent to comply with its obligations under such Act.
USA Patriot Act Information. Provide to the Agent and Purchasers all documentation and other information about the Note Parties required under applicable “know your customer” and anti-money laundering rules and regulations, including the USA PATRIOT Act, that has been requested by the Agent or any of the Purchasers.
USA Patriot Act Information. The Agent and the Purchasers shall have received, at least five (5) days prior to the Closing Date, all documentation and other information about the Note Parties required under applicable “know your customer” and anti-money laundering rules and regulations, including the USA PATRIOT Act, that has been requested by the Agent and/or the Purchasers at least 10 days prior to the Closing Date.
USA Patriot Act Information. The Lenders shall have received, sufficiently in advance of the Closing Date, all documentation and other information that may be required by the Lenders in order to enable compliance with applicable “know your customer” and anti-money laundering rules and regulations, including the United States PATRIOT Act (Title III of Pub. L. 107-56 (signed into law October 26, 2001)) including the information described in Section 9.13.
USA Patriot Act Information. Federal law requires all financial institutions to obtain, verify, and record information that identifies each person who opens an account in an effort to help fight funding of terrorism and money laundering. What this means to you: When you request that an XXX be established in your name, we will require that you provide us with certain information before opening your Account. This includes your name, home address, social security number, and date of birth. We may also ask to see your driver's license or other identifying documents. We are required to compare your identity to lists of persons and organizations maintained by any federal agency designated by the Department of the Treasury. If your name appears on any of these lists we must do each of the following: 1) refuse to open your Account; 2) close your Account if it is already open; and 3) notify federal authorities and follow all federal directives. If you attempt to falsify or conceal your identity, we may be required to file a Suspicious Activity Report. We may also use independent sources to verify identifying information. Federal law requires us to retain the identification information for a certain period of time, and may require that we provide this information to federal authorities without notice to you. This notice is in addition to our Privacy Disclosure and may describe potential disclosures of non‐public personal information that were not known to us at the time that the Privacy Disclosure was prepared. With respect to an Automatic Rollover IRA, federal regulators have provided guidance (Notice 2005‐5) stating that we will not be required to implement our Customer Identification Program (“CIP”) until a lost participant of an employer plan first contacts us to assert ownership or exercise control over the Account. Accordingly, CIP compliance is not required at the time an employer or plan administrator establishes an IRA on behalf of a former employee for purposes of a complying with the automatic rollover requirements of § 401(a)(31)(B).
USA Patriot Act Information. Is this a private banking account? Yes No Is this an account for a foreign bank? Yes* No *Broker/Dealer does not accept foreign bank accounts. If this is a foreign bank account we respectfully request that you seek the services of another broker/dealer. Are you or anyone with an interest in this account either: (1) a senior military, governmental, or political official in a non-U.S. country, or (2) closely associated with an immediate family member of such an official? * If yes, complete the information below:
USA Patriot Act Information. To help the government fight the funding of terrorism and money laundering activities, federal law may require the Purchaser to obtain, verify and record certain information. Each member of the GFN Group agrees to provide all such information and documentation as to themselves as requested by the Purchaser to ensure compliance with federal law.
USA Patriot Act Information. Promptly following the Administrative Agent’s or any Lender’s request therefor, all documentation and other information that the Administrative Agent or any Lender reasonably requests in order to comply with its on-going obligations under applicable “know your customer” and anti-money laundering rules and regulations, including the USA PATRIOT Act.
USA Patriot Act Information. Source of funds for this account [ ] Annuity (ies) [ ] Gift [ ] Income from earnings [ ] Inheritance [ ] Insurance Proceeds [ ] Investment Proceeds [ ] Legal Settlement [ ] Lottery/Gaming [ ] Pension/IXX/Retirement [ ] Sale of business [ ] Spouse/Parent [ ] Other ______________ Is this account a private banking account defined under the USA Patriot Act? [ ] Yes [ ] No Is this an account for a foreign bank as defined under the USA Patriot Act? [ ] Yes [ ] No Are you or anyone with an interest in this account either: (1) a senior military, governmental, or political official in a non-US country, or (2) closely associated with an immediate family member of such an official? [ ] Yes [ ] No If yes, identify the name of the official, office held, and country _______________________________________________ Are you an employee of Syndicated Capital, Inc.? [ ] Yes [ ] No Are your related to an employee of Syndicated Capital, Inc. ? [ ] Yes [ ] No If yes, specify relationship to the employee Are you an employee of another broker dealer? [ ] Yes [ ] No If yes, name of the broker dealer Are you related to an employee of another broker dealer? [ ] Yes [ ] No If yes, specify relationship to the employee Are you maintaining other brokerage accounts? [ ] Yes [ ] No If yes, specify financial institution Are you or any member of your immediate family affiliated with or employed by a member a stock exchange or the FINRA? [ ] Yes [ ] No If yes, employer authorization is required. Are you a senior officer, director, or 10% or more shareholder of a public company? [ ] Yes [ ] No If yes, specify company _____________________________________________ I/we acknowledge that purchasing an investment product that has certain fees and risks as well as features and benefits associated with it. My registered investment professional has reviewed and explained, where applicable. I/we are subscribing to the following: CARDINAL ENERGY GROUP: $_________________________________ = __________ Units CLIENT INITIALS I/We have received and read the prospectus or offering memorandum. I/We have reviewed and understand the risk sections of this Offering documents.
