Use of Personal Information. 7.1 The Subscriber hereby acknowledges and consents to: (i) the disclosure by the Subscriber and the Corporation of Personal Information concerning the Subscriber to a securities commission or other regulatory authority (a “Securities Commission”), or to a stock exchange and any of its affiliates, authorized agents, subsidiaries and divisions, (collectively referred to as “an Exchange”); and (ii) the collection, use and disclosure of Personal Information by an Exchange for the following purposes (or as otherwise identified by such Exchange, from time to time): (a) to conduct background checks; (b) to verify the Personal Information that has been provided about the Subscriber; (c) to consider the suitability of the Subscriber as a holder of securities of the Corporation; (d) to consider the eligibility of the Corporation to list on the Exchange; (e) to provide disclosure to market participants as the security holdings of the Corporation’s shareholders, and their involvement with any other reporting issuers, issuers subject to a cease trade order or bankruptcy, and information respecting penalties, sanctions or personal bankruptcies, and possible conflicts of interest with the Issuer; (f) to detect and prevent fraud; (g) to conduct enforcement proceedings; and (h) to perform other investigations as required by and to ensure compliance with all applicable rules, policies, rulings and regulations of an Exchange, securities legislation and other legal and regulatory requirements governing the conduct and protection of the public markets. 7.2 Herein, “Personal Information” includes any information about the Subscriber required to be disclosed to a Securities Commission or an Exchange, whether pursuant to a Securities Commission or Exchange form or a request made by a Securities Commission or an Exchange. 7.3 The Subscriber acknowledges and consents to: (i) the fact that the Corporation is collecting his Personal Information for the purpose of completing this Agreement; (ii) the Issuer retaining such Personal Information for as long as permitted or required by law or business practices; (iii) the fact that the Corporation may be required by securities laws, the rules and policies of any stock exchange to provide regulatory authorities with any Personal Information provided by the Subscriber in this Agreement.
Appears in 3 contracts
Samples: Subscription Agreement (Unity Wireless Corp), Subscription Agreement (Radview Software LTD), Subscription Agreement (Unity Wireless Corp)
Use of Personal Information. 7.1 9.1 The Subscriber hereby acknowledges and consents to: (i) the disclosure by the Subscriber and the Corporation Issuer of Personal Information (hereinafter defined) concerning the Subscriber to a securities commission or other regulatory authority (a “Securities Commission”), or to a stock exchange and any of its affiliates, authorized agents, subsidiaries and divisions, (collectively referred to as “an Exchange”)the Regulatory Authorities; and (ii) the collection, use and disclosure of Personal Information by an Exchange the Regulatory Authorities for the following purposes (or as otherwise identified by such Exchangethe Regulatory Authorities, from time to time):
(a) to conduct background checks;
(b) to verify the Personal Information that has been provided about the Subscriber;
(c) to consider the suitability of the Subscriber as a holder of securities of the CorporationIssuer;
(d) to consider the eligibility of the Corporation Issuer to list become listed on the Exchange;
(e) to provide disclosure to market participants as to the security holdings of the CorporationIssuer’s shareholders, and their involvement with any other reporting issuers, issuers subject to a cease trade order or bankruptcy, and information respecting penalties, sanctions or personal bankruptcies, and possible conflicts of interest with the Issuer;
(f) to detect and prevent fraud;
(g) to conduct enforcement proceedings; and
(h) to perform other investigations as required by and to ensure compliance with all applicable rules, policies, rulings and regulations of an Exchange, securities legislation and other legal and regulatory requirements governing the conduct and protection of the public marketsmarkets in Canada.
7.2 Herein, “Personal Information” includes any information about the Subscriber required to be disclosed to a Securities Commission or an Exchange, whether pursuant to a Securities Commission or Exchange form or a request made by a Securities Commission or an Exchange.
7.3 9.2 The Subscriber also acknowledges and consents tothat: (i) the fact Exchanges also collect additional Personal Information from other sources, including securities regulatory authorities in Canada or elsewhere, investigative law enforcement or self-regulatory organizations, and regulations service providers to ensure that the Corporation is collecting his Personal Information for the purpose of completing this Agreementpurposes set forth above can be accomplished; (ii) the Issuer retaining such Personal Information for an Exchange collects may also be disclosed to the agencies and organizations referred to above or as long as otherwise permitted or required by law or business practiceslaw, and they may use it in their own investigations for the purposes described above; (iii) the fact that the Corporation Personal Information may be required disclosed on that Exchange’s website or through printed materials published by securities lawsor pursuant to the direction of that Exchange; and (iv) an Exchange may from time to time use third parties to process information and provide other administrative services, and may share the rules and policies of any stock exchange to provide regulatory authorities information with any Personal Information provided by the Subscriber in this Agreementsuch providers.
Appears in 2 contracts
Samples: Special Warrant Subscription Agreement, Special Warrant Subscription Agreement
Use of Personal Information. 7.1 The Subscriber Purchaser (on its own behalf and, if applicable, on behalf of any person for whose benefit the Purchaser is subscribing) acknowledges and consents to the fact the Issuer is collecting the Purchaser's (and any beneficial purchaser's) personal information for the purpose of completing the Purchaser's subscription. The Purchaser (on its own behalf and, if applicable, on behalf of any person for whose benefit the Purchaser is subscribing) acknowledges and consents to the Issuer retaining the personal information for as long as permitted or required by applicable law or business practices. The Purchaser (on its own behalf and, if applicable, on behalf of any person for whose benefit the Purchaser is subscribing) further acknowledges and consents to the fact the Issuer may be required by applicable securities laws, stock exchange rules, and Investment Dealers Association rules to provide regulatory authorities any personal information provided by the Purchaser respecting itself (and any beneficial purchaser). The Purchaser represents and warrants that it has the authority to provide the consents and acknowledgements set out in this paragraph on behalf of all beneficial purchasers.
7.2 The Purchaser hereby acknowledges and consents to: (i) the disclosure by the Subscriber Purchaser and the Corporation Issuer of Personal Information (defined in section 9.5) concerning the Subscriber Purchaser to a securities commission the Commissions or other regulatory authority (a “Securities Commission”)authority, or to a stock exchange the Exchange and any of its affiliates, authorized agentsagent, subsidiaries and divisions, (collectively referred to as “an Exchange”); and (ii) the collection, use and disclosure of Personal Information by an the Exchange for the following purposes (or as otherwise identified by such the Exchange, from time to time):
(a) to conduct background checks;
(b) to verify the Personal Information that has been provided about the SubscriberPurchaser;
(c) to consider the suitability of the Subscriber Purchaser as a holder of securities of the CorporationIssuer;
(d) to consider the eligibility of the Corporation Issuer to continue to list on the Exchange;
(e) to provide disclosure to market participants as the security holdings of the Corporation’s Issuer's shareholders, and their involvement with any other reporting issuers, issuers subject to a cease trade order or bankruptcy, and information respecting penalties, sanctions or personal bankruptcies, and possible conflicts of interest with the Issuer;
(f) to detect and prevent fraud;
(g) to conduct enforcement proceedings; and
(h) to perform other investigations as required by and to ensure compliance with all applicable rules, policies, rulings and regulations of an the Exchange, securities legislation and other legal and regulatory requirements governing the conduct and protection of the public marketsmarkets in Canada.
7.2 Herein7.3 The Purchaser also acknowledges that: (i) the Exchange also collects additional Personal Information from other sources, “including securities regulatory authorities in Canada or elsewhere, investigative law enforcement or self-regulatory organizations, and regulations service providers to ensure that the purposes set forth above can be accomplished; (ii) the Personal Information” includes any Information the Exchange collects may also be disclosed to the agencies and organizations referred to above or as otherwise permitted or required by law, and they may use it in their own investigations for the purposes described above; (iii) the Personal Information may be disclosed on the Exchange's website or through printed materials published by or pursuant to the direction of the Exchange; and (iv) the Exchange may from time to time use third parties to process information and provide other administrative services, and may share the information with such providers.
7.4 If the Purchaser is resident in Ontario, the public official who can answer questions about the Subscriber Ontario Securities Commission's indirect collection of Personal Information is the Administrative Assistant to the Director of Corporate Finance, Ontario Securities Commission, Suite 1903, Box 55, 20 Queen Street West, Toronto, Ontario, M5H 3S8, Xxxxxxxxx 000-000-0000.
0.0 Xxxxxx, "Xxxxxxxx Information" means xxx xxxxxxxtion about the Purchaser required to be disclosed to a Securities the Commission or an the Exchange, whether pursuant to a Securities Commission or Exchange form or a request made by a Securities Commission or an the Exchange, including the Corporate Placee Registration Form attached hereto.
7.3 The Subscriber acknowledges and consents to: (i) the fact that the Corporation is collecting his Personal Information for the purpose of completing this Agreement; (ii) the Issuer retaining such Personal Information for as long as permitted or required by law or business practices; (iii) the fact that the Corporation may be required by securities laws, the rules and policies of any stock exchange to provide regulatory authorities with any Personal Information provided by the Subscriber in this Agreement.
Appears in 1 contract
Use of Personal Information. 7.1 11.1 The Subscriber (on its own behalf and, if applicable, on behalf of any Disclosed Principal) acknowledges and consents to the fact the Issuer and the Agents are collecting the Subscriber’s (and any Disclosed Principal) personal information for the purpose of completing the Subscriber’s subscription. The Subscriber (on its own behalf and, if applicable, on behalf of any Disclosed Principal) acknowledges and consents to the Issuer and the Agents retaining the personal information for as long as permitted or required by applicable law or business practices. The Subscriber (on its own behalf and, if applicable, on behalf of any Disclosed Principal) further acknowledges and consents to the fact the Issuer or the Agents may be required by applicable securities laws, stock exchange rules, and Investment Industry Regulatory Organization of Canada rules to provide regulatory authorities any personal information provided by the Subscriber respecting itself (and any Disclosed Principal). The Subscriber represents and warrants that it has the authority to provide the consents and acknowledgements set out in this section on behalf of all Disclosed Principals.
11.2 The Subscriber and each Disclosed Principal, if applicable, hereby acknowledges and consents to: (i) the disclosure by the Subscriber and the Corporation Issuer of Personal Information (defined in section 11.5) concerning the Subscriber to a securities commission or other regulatory authority (a “Securities Commission”), or to a stock exchange the TSX-V and any of its affiliates, authorized agentsagent, subsidiaries and divisions, (collectively referred to as “an Exchange”); and (ii) the collection, use and disclosure of Personal Information by an Exchange the TSX-V for the following purposes (or as otherwise identified by such Exchangethe TSX-V, from time to time):
(a) to conduct background checks;
(b) to verify the Personal Information that has been provided about the Subscriber;
(c) to consider the suitability of the Subscriber as a holder of securities of the CorporationIssuer;
(d) to consider the eligibility of the Corporation Issuer to continue to list on the ExchangeTSX-V;
(e) to provide disclosure to market participants as to the security holdings of the CorporationIssuer’s shareholders, and their involvement with any other reporting issuers, issuers subject to a cease trade order or bankruptcy, and information respecting penalties, sanctions or personal bankruptcies, and possible conflicts of interest with the Issuer;
(f) to detect and prevent fraud;
(g) to conduct enforcement proceedings; and
(h) to perform other investigations as required by and to ensure compliance with all applicable rules, policies, rulings and regulations of an Exchangethe TSX-V, securities legislation and other legal and regulatory requirements governing the conduct and protection of the public marketsmarkets in Canada.
7.2 Herein, “Personal Information” includes any information about the Subscriber required to be disclosed to a Securities Commission or an Exchange, whether pursuant to a Securities Commission or Exchange form or a request made by a Securities Commission or an Exchange.
7.3 11.3 The Subscriber also acknowledges and consents tothat: (i) the fact TSX-V also collects additional Personal Information from other sources, including securities regulatory authorities in Canada or elsewhere, investigative law enforcement or self-regulatory organizations to ensure that the Corporation is collecting his Personal Information for the purpose of completing this Agreementpurposes set forth above can be accomplished; (ii) the Issuer retaining such Personal Information for the TSX-V collects may also be disclosed to the agencies and organizations referred to above or as long as otherwise permitted or required by law or business practiceslaw, and they may use it in their own investigations for the purposes described above; (iii) the fact that the Corporation Personal Information may be required disclosed on the TSX-V’s website or through printed materials published by or pursuant to the direction of the TSX-V; and (iv) the TSX-V may from time to time use third parties to process information and provide other administrative services, and may share the information with such providers.
11.4 If the Subscriber is resident in or otherwise subject to the securities lawslaws applicable in Ontario, the rules and policies of any stock exchange to provide regulatory authorities with any Personal Information information provided by the Subscriber on the face page of this Agreement identifying the name, address and telephone number of the Subscriber, the number of Special Warrants being purchased hereunder and the total purchase price as well as the Closing Date and the exemption that the Subscriber is relying on in this Agreementpurchasing the Special Warrants will be disclosed to the Ontario Securities Commission, and such information is being indirectly collected by the Ontario Securities Commission under the authority granted to it under securities legislation. This information is being collected for the purposes of the administration and enforcement of the securities legislation of Ontario. Each Subscriber (for certainty including each Disclosed Principal) hereby authorizes the indirect collection of such information to the Ontario Securities Commission. In the event the Subscriber has any questions with respect to the indirect collection of such information by the Ontario Securities Commission, the public official who can answer questions about the Ontario Securities Commission’s indirect collection of Personal Information is the Administrative Assistant to the Director of Corporate Finance, Ontario Securities Commission, Xxxxx 0000, Xxx 00, 00 Xxxxx Xxxxxx Xxxx, Xxxxxxx, Xxxxxxx, X0X 0X0, Telephone 000-000-0000.
11.5 Herein, “
Appears in 1 contract
Samples: Subscription Agreement (IntelGenx Technologies Corp.)
Use of Personal Information. 7.1 8.1 The Subscriber hereby acknowledges and consents to: (i) the disclosure by the Subscriber and the Corporation Issuer of Personal Information concerning the Subscriber to a securities commission or other regulatory authority (a “"Securities Commission”"), or to a stock exchange the TSX Venture Exchange Inc. and any of its affiliates, authorized agents, subsidiaries and divisions, including the TSX Venture Exchange (collectively referred to as “an "the Exchange”"); and (ii) the collection, use and disclosure of Personal Information by an the Exchange for the following purposes (or as otherwise identified by such the Exchange, from time to time):
(a) to conduct background checks;
(b) to verify the Personal Information that has been provided about the Subscriber;
(c) to consider the suitability of the Subscriber as a holder of securities of the Corporation;Issuer,
(d) to consider the eligibility of the Corporation Issuer to continue to list on the Exchange;
(e) to provide disclosure to market participants as the security holdings of the Corporation’s Issuer's shareholders, and their involvement with any other reporting issuers, issuers subject to a cease trade order or bankruptcy, and information respecting penalties, sanctions or personal bankruptcies, and possible conflicts of interest with the Issuer;
(f) to detect and prevent fraud;
(g) to conduct enforcement proceedings; and
(h) to perform other investigations as required by and to ensure compliance with all applicable rules, policies, rulings and regulations of an the Exchange, securities legislation and other legal and regulatory requirements governing the conduct and protection of the public marketsmarkets in Canada.
7.2 Herein, “Personal Information” includes any information about the Subscriber required to be disclosed to a Securities Commission or an Exchange, whether pursuant to a Securities Commission or Exchange form or a request made by a Securities Commission or an Exchange.
7.3 8.2 The Subscriber also acknowledges and consents tothat: (i) the fact Exchange also collects additional Personal Information from other sources, including securities regulatory authorities in Canada or elsewhere, investigative law enforcement or self regulatory organizations, and regulations service providers to ensure that the Corporation is collecting his Personal Information for the purpose of completing this Agreementpurposes set forth above can be accomplished; (ii) the Issuer retaining such Personal Information for the Exchange collects may also be disclosed to the agencies and organizations referred to above or as long as otherwise permitted or required by law or business practiceslaw, and they may use it in their own investigations for the purposes described above; (iii) the fact that the Corporation Personal Information may be required disclosed on the Exchange's website or through printed materials published by securities lawsor pursuant to the direction of the Exchange; and (iv) the Exchange may from time to time use third parties to process information and provide other administrative services, and may share the rules and policies of any stock exchange to provide regulatory authorities information with any Personal Information provided by the Subscriber in this Agreementsuch providers.
Appears in 1 contract
Use of Personal Information. 7.1 The Subscriber hereby acknowledges and consents to: (i) the disclosure by the Subscriber and the Corporation of Personal Information concerning the Subscriber to a securities commission or other regulatory authority (a “Securities Commission”), or to a stock exchange and any of its affiliates, authorized agents, subsidiaries and divisions, (collectively referred to as “an Exchange”); and (ii) the collection, use and disclosure of Personal Information by an Exchange for the following purposes (or as otherwise identified by such Exchange, from time to time):
(a) to conduct background checks;
(b) to verify the Personal Information that has been provided about the Subscriber;
(c) to consider the suitability of the Subscriber as a holder of securities of the Corporation;
(d) to consider the eligibility of the Corporation to list on the Exchange;
(e) to provide disclosure to market participants as the security holdings of the Corporation’s 's shareholders, and their involvement with any other reporting issuers, issuers subject to a cease trade order or bankruptcy, and information respecting penalties, sanctions or personal bankruptcies, and possible conflicts of interest with the Issuer;
(f) to detect and prevent fraud;
(g) to conduct enforcement proceedings; and
(h) to perform other investigations as required by and to ensure compliance with all applicable rules, policies, rulings and regulations of an Exchange, securities legislation and other legal and regulatory requirements governing the conduct and protection of the public markets.
7.2 Herein, “Personal Information” includes any information about the Subscriber required to be disclosed to a Securities Commission or an Exchange, whether pursuant to a Securities Commission or Exchange form or a request made by a Securities Commission or an Exchange.
7.3 The Subscriber acknowledges and consents to: (i) the fact that the Corporation is collecting his Personal Information for the purpose of completing this Agreement; (ii) the Issuer retaining such Personal Information for as long as permitted or required by law or business practices; (iii) the fact that the Corporation may be required by securities laws, the rules and policies of any stock exchange to provide regulatory authorities with any Personal Information provided by the Subscriber in this Agreement.
Appears in 1 contract
Use of Personal Information. 7.1 26.1 The Subscriber Purchaser (on its own behalf and, if applicable, on behalf of any person for whose benefit the Purchaser is subscribing) acknowledges and consents to the fact the Issuer is collecting the Purchaser’s (and any beneficial purchaser’s) personal information for the purpose of completing the Purchaser’s subscription. The Purchaser (on its own behalf and, if applicable, on behalf of any person for whose benefit the Purchaser is subscribing) acknowledges and consents to the Issuer retaining the personal information for as long as permitted or required by applicable law or business practices. The Purchaser (on its own behalf and, if applicable, on behalf of any person for whose benefit the Purchaser is subscribing) further acknowledges and consents to the fact the Issuer may be required by applicable securities laws, stock exchange rules, and Investment Dealers Association rules to provide regulatory authorities any personal information provided by the Purchaser respecting itself (and any beneficial purchaser). The Purchaser represents and warrants that it has the authority to provide the consents and acknowledgements set out in this paragraph on behalf of all beneficial purchasers.
26.2 The Purchaser and Disclosed Principal, if applicable, hereby acknowledges and consents to: (i) the disclosure by the Subscriber Purchaser and the Corporation Issuer of Personal Information (defined in section 26.5) concerning the Subscriber Purchaser to a securities commission or other regulatory authority (a “Securities Commission”), or to a stock exchange the Exchange and any of its affiliates, authorized agents, subsidiaries and divisions, (collectively referred to as “an Exchange”); and (ii) the collection, use and disclosure of Personal Information by an the Exchange for the following purposes (or as otherwise identified by such the Exchange, from time to time):
(a) to conduct background checks;
(b) to verify the Personal Information that has been provided about the SubscriberPurchaser;
(c) to consider the suitability of the Subscriber Purchaser as a holder of securities of the CorporationIssuer;
(d) to consider the eligibility of the Corporation Issuer to continue to list on the Exchange;
(e) to provide disclosure to market participants as the security holdings of the CorporationIssuer’s shareholders, and their involvement with any other reporting issuers, issuers subject to a cease trade order or bankruptcy, and information respecting penalties, sanctions or personal bankruptcies, and possible conflicts of interest with the Issuer;
(f) to detect and prevent fraud;
(g) to conduct enforcement proceedings; and
(h) to perform other investigations as required by and to ensure compliance with all applicable rules, policies, rulings and regulations of an the Exchange, securities legislation and other legal and regulatory requirements governing the conduct and protection of the public marketsmarkets in Canada.
7.2 Herein, “Personal Information” includes any information about the Subscriber required to be disclosed to a Securities Commission or an Exchange, whether pursuant to a Securities Commission or Exchange form or a request made by a Securities Commission or an Exchange.
7.3 26.3 The Subscriber Purchaser also acknowledges and consents tothat: (i) the fact Exchange also collects additional Personal Information from other sources, including securities regulatory authorities in Canada or elsewhere, investigative law enforcement or self-regulatory organizations, and regulations service providers to ensure that the Corporation is collecting his Personal Information for the purpose of completing this Agreementpurposes set forth above can be accomplished; (ii) the Issuer retaining such Personal Information for the Exchange collects may also be disclosed to the agencies and organizations referred to above or as long as otherwise permitted or required by law or business practiceslaw, and they may use it in their own investigations for the purposes described above; (iii) the fact that the Corporation Personal Information may be required disclosed on the Exchange’s website or through printed materials published by securities lawsor pursuant to the direction of the Exchange; and (iv) the Exchange may from time to time use third parties to process information and provide other administrative services, and may share the information with such providers.
26.4 If the Purchaser is resident in Ontario, the rules and policies public official who can answer questions about the Ontario Securities Commission’s indirect collection of any stock exchange to provide regulatory authorities with any Personal Information provided by is the Subscriber in this AgreementAdministrative Assistant to the Director of Corporate Finance, Ontario Securities Commission, Xxxxx 0000, Xxx 00, 00 Xxxxx Xxxxxx Xxxx, Xxxxxxx, Xxxxxxx, X0X 0X0, Telephone: 000-000-0000.
Appears in 1 contract
Samples: Subscription Agreement
Use of Personal Information. 7.1 8.1 The Subscriber hereby acknowledges acknowledges, authorizes and consents to: (i) the collection by the Issuer of the Subscriber’s (and any beneficial Purchaser’s) Personal Information for the purpose of completing the Subscriber’s subscription and retaining said information for as long as permitted or required by applicable law; (ii) the disclosure by the Subscriber Underwriters and the Corporation Issuer of Personal Information concerning the Subscriber to a securities commission the Commissions or any other regulatory authority (a “Securities Commission”under the authority granted by securities legislation, where applicable), or to a stock exchange the TSX Venture Exchange Inc. and any of its affiliates, authorized agents, subsidiaries and divisions, including the TSX Venture Exchange (collectively referred to in this section as “an Exchangethe Securities Authorities”); and (iiiii) the indirect collection, use and disclosure of Personal Information by an Exchange the Securities Authorities for the following purposes (or as otherwise identified by such Exchangethe Securities Authorities, from time to time):
(a) to conduct background checks;
(b) to verify the Personal Information that has been provided about the Subscriber;
(c) to consider the suitability of the Subscriber as a holder of securities of the CorporationIssuer;
(d) to consider the eligibility of the Corporation Issuer to continue to list on the Exchange;
(e) to provide disclosure to market participants as to the security holdings of the CorporationIssuer’s shareholders, and their involvement with any other reporting issuers, issuers subject to a cease trade order or bankruptcy, and information respecting penalties, sanctions or personal bankruptcies, and possible conflicts of interest with the Issuer;
(f) to detect and prevent fraud;
(g) to conduct enforcement proceedingsproceedings or otherwise administer and enforce securities legislation; and
(h) to perform other investigations as required by and to ensure compliance with all applicable rules, policies, rulings and regulations of an Exchangethe Securities Authorities, securities legislation and other legal and regulatory requirements governing the conduct and protection of the public marketsmarkets in Canada, and the Subscriber represents and warrants that it has the authority to provide the consent and acknowledgement set out in this paragraph on behalf of all beneficial purchasers.
7.2 8.2 The Subscriber also acknowledges that: (i) the Exchange also collects additional Personal Information from other sources, including securities regulatory authorities in Canada or elsewhere, investigative law enforcement or self-regulatory organizations, and regulations service providers to ensure that the purposes set forth above can be accomplished; (ii) the Personal Information the Exchange collects may also be disclosed to the agencies and organizations referred to above or as otherwise permitted or required by law, and they may use it in their own investigations for the purposes described above; (iii) the Personal Information may be disclosed on the Exchange’s website or through printed materials published by or pursuant to the direction of the Exchange; and (iv) the Exchange may from time to time use third parties to process information and provide other administrative services, and may share the information with such providers.
8.3 The public official who can answer questions about the Ontario Securities Commission’s indirect collection of Personal Information is the Administrative Assistant to the Director of Corporate Finance, Ontario Securities Commission, Suite 1903, Box 00, 00 Xxxxx Xxxxxx Xxxx, Xxxxxxx, Xxxxxxx, X0X 0X0, Telephone 000-000-0000.
8.4 Herein, “Personal Information” includes means any information about the Subscriber required to be disclosed to a Securities Commission or an the Exchange, whether pursuant to a Securities Commission or Exchange form or a request made by a Securities Commission or an the Exchange.
7.3 The Subscriber acknowledges and consents to: (i) , including the fact that the Corporation is collecting his Personal Information for the purpose of completing this Agreement; (ii) the Issuer retaining such Personal Information for Corporate Placee Registration Form attached hereto as long as permitted or required by law or business practices; (iii) the fact that the Corporation may be required by securities laws, the rules and policies of any stock exchange to provide regulatory authorities with any Personal Information provided by the Subscriber in this Agreement.Appendix I.
Appears in 1 contract
Samples: Subscription Agreement (Stockgroup Information Systems Inc)
Use of Personal Information. 7.1 The Subscriber hereby acknowledges and consents to: (i) the disclosure by the Subscriber and the Corporation of Personal Information concerning the Subscriber to a securities commission or other regulatory authority (a “Securities Commission”)any Regulatory Authorities, or to a stock exchange and any of its affiliates, authorized agents, subsidiaries and divisions, (collectively referred to as “an Exchange”); and (ii) the collection, use and disclosure of Personal Information by an Exchange for the following purposes (or as otherwise identified by such Exchange, from time to time):
(a) to conduct background checks;
(b) to verify the Personal Information that has been provided about the Subscriber;
(c) to consider the suitability of the Subscriber as a holder of securities of the Corporation;
(d) to consider the eligibility of the Corporation to list on the Exchange;
(e) to provide disclosure to market participants as the security holdings of the Corporation’s shareholders, and their involvement with any other reporting issuers, issuers subject to a cease trade order or bankruptcy, and information respecting penalties, sanctions or personal bankruptcies, and possible conflicts of interest with the Issuer;
(f) to detect and prevent fraud;
(g) to conduct enforcement proceedings; and
(h) to perform other investigations as required by and to ensure compliance with all applicable rules, policies, rulings and regulations of an Exchange, securities legislation and other legal and regulatory requirements governing the conduct and protection of the public markets.
7.2 Herein, “Personal Information” includes any information about the Subscriber required to be disclosed to a Securities Commission Regulatory Authority or an Exchange, whether pursuant to a Securities Commission Regulatory Authority or Exchange form or a request made by a Securities Commission Regulatory Authority or an Exchange.
7.3 The Subscriber acknowledges and consents to: (i) the fact that the Corporation is collecting his Personal Information for the purpose of completing this Agreement; (ii) the Issuer Corporation retaining such Personal Information for as long as permitted or required by law or business practices; (iii) the fact that the Corporation may be required by securities laws, the rules and policies of any stock exchange to provide regulatory authorities Regulatory Authorities with any Personal Information provided by the Subscriber in this Agreement.
Appears in 1 contract
Use of Personal Information. 7.1 6.1 The Subscriber Purchaser (on its own behalf and, if applicable, on behalf of any person for whose benefit the Purchaser is subscribing) acknowledges and consents to the fact the Issuer is collecting the Purchaser's (and any beneficial purchaser's) personal information for the purpose of completing the Purchaser's subscription. The Purchaser (on its own behalf and, if applicable, on behalf of any person for whose benefit the Purchaser is subscribing) acknowledges and consents to the Issuer retaining the personal information for as long as permitted or required by applicable law or business practices. The Purchaser (on its own behalf and, if applicable, on behalf of any person for whose benefit the Purchaser is subscribing) further acknowledges and consents to the fact the Issuer may be required by applicable securities laws, stock exchange rules, and Investment Dealers Association rules to provide regulatory authorities any personal information provided by the Purchaser respecting itself (and any beneficial purchaser). The Purchaser represents and warrants that it has the authority to provide the consents and acknowledgements set out in this paragraph on behalf of all beneficial purchasers.
6.2 The Purchaser hereby acknowledges and consents to: (i) the disclosure by the Subscriber Purchaser and the Corporation Issuer of Personal Information (defined in section 9.5) concerning the Subscriber Purchaser to a securities commission the Commissions or other regulatory authority (a “Securities Commission”)authority, or to a stock exchange the Exchange and any of its affiliates, authorized agentsagent, subsidiaries and divisions, (collectively referred to as “an Exchange”); and (ii) the collection, use and disclosure of Personal Information by an the Exchange for the following purposes (or as otherwise identified by such the Exchange, from time to time):
(a) to conduct background checks;
(b) to verify the Personal Information that has been provided about the SubscriberPurchaser;
(c) to consider the suitability of the Subscriber Purchaser as a holder of securities of the CorporationIssuer;
(d) to consider the eligibility of the Corporation Issuer to continue to list on the Exchange;
(e) to provide disclosure to market participants as the security holdings of the Corporation’s Issuer's shareholders, and their involvement with any other reporting issuers, issuers subject to a cease trade order or bankruptcy, and information respecting penalties, sanctions or personal bankruptcies, and possible conflicts of interest with the Issuer;
(f) to detect and prevent fraud;
(g) to conduct enforcement proceedings; and
(h) to perform other investigations as required by and to ensure compliance with all applicable rules, policies, rulings and regulations of an the Exchange, securities legislation and other legal and regulatory requirements governing the conduct and protection of the public marketsmarkets in Canada.
7.2 Herein6.3 The Purchaser also acknowledges that: (i) the Exchange also collects additional Personal Information from other sources, “including securities regulatory authorities in Canada or elsewhere, investigative law enforcement or self-regulatory organizations, and regulations service providers to ensure that the purposes set forth above can be accomplished; (ii) the Personal Information” includes any Information the Exchange collects may also be disclosed to the agencies and organizations referred to above or as otherwise permitted or required by law, and they may use it in their own investigations for the purposes described above; (iii) the Personal Information may be disclosed on the Exchange's website or through printed materials published by or pursuant to the direction of the Exchange; and (iv) the Exchange may from time to time use third parties to process information and provide other administrative services, and may share the information with such providers.
6.4 If the Purchaser is resident in Ontario, the public official who can answer questions about the Subscriber Ontario Securities Commission's indirect collection of Personal Information is the Administrative Assistant to the Director of Corporate Finance, Ontario Securities Commission, Suite 1903, Box 55, 20 Queen Street West, Toronto, Ontario, M5H 3S8, Xxxxxxxxx 000-000-0000.
0.0 Xxxxxx, "Xxxxxxxx Information" means xxx xxxxxxxtion about the Purchaser required to be disclosed to a Securities the Commission or an the Exchange, whether pursuant to a Securities Commission or Exchange form or a request made by a Securities Commission or an the Exchange, including the Corporate Placee Registration Form attached hereto.
7.3 The Subscriber acknowledges and consents to: (i) the fact that the Corporation is collecting his Personal Information for the purpose of completing this Agreement; (ii) the Issuer retaining such Personal Information for as long as permitted or required by law or business practices; (iii) the fact that the Corporation may be required by securities laws, the rules and policies of any stock exchange to provide regulatory authorities with any Personal Information provided by the Subscriber in this Agreement.
Appears in 1 contract
Use of Personal Information. 7.1 (a) The Subscriber Investor hereby acknowledges and consents to: (i) the disclosure by the Subscriber Investor and the Corporation of Personal Information concerning the Subscriber Investor to a the securities commission or other regulatory authority (a “Securities Commission”), commissions or to a stock exchange the TSX Group Inc. and any of its affiliates, authorized agents, subsidiaries and divisions, including the Toronto Stock Exchange (collectively referred to as the “an ExchangeRegulatory Group”); and (ii) the collection, use and disclosure of Personal Information by an Exchange the Regulatory Group for the following purposes (or as otherwise identified by such Exchangethe Regulatory Group, from time to time):
(ai) to conduct background checks;
(bii) to verify the Personal Information that has been provided about the SubscriberInvestor;
(ciii) to consider the suitability of the Subscriber Investor as a holder of securities of the Corporation;
(div) to consider the eligibility of the Corporation to continue to list on the Exchange;
(ev) to provide disclosure to market participants as the security holdings of the Corporation’s shareholders, and their involvement with any other reporting issuers, issuers subject to a cease trade order or bankruptcy, and information respecting penalties, sanctions or personal bankruptcies, and possible conflicts of interest with the IssuerCorporation;
(fvi) to detect and prevent fraud;
(gvii) to conduct enforcement proceedings; and
(hviii) to perform other investigations as required by and to ensure compliance with all applicable rules, policies, rulings and regulations of an Exchangethe Regulatory Group, securities legislation and other legal and regulatory requirements governing the conduct and protection of the public marketsmarkets in Canada.
7.2 Herein, “Personal Information” includes any information about the Subscriber required to be disclosed to a Securities Commission or an Exchange, whether pursuant to a Securities Commission or Exchange form or a request made by a Securities Commission or an Exchange.
7.3 (b) The Subscriber Investor also acknowledges and consents tothat: (i) the fact Regulatory Group also collects additional Personal Information from other sources, including securities regulatory authorities in Canada or elsewhere, investigative law enforcement or self-regulatory organizations, and regulations service providers to ensure that the Corporation is collecting his Personal Information for the purpose of completing this Agreementpurposes set forth above can be accomplished; (ii) the Issuer retaining such Personal Information for the Regulatory Group collects may also be disclosed to the agencies and organizations referred to above or as long as otherwise permitted or required by law or business practices; (iii) law, and they may use it in their own investigations for the fact that the Corporation may be required by securities laws, the rules and policies of any stock exchange to provide regulatory authorities with any Personal Information provided by the Subscriber in this Agreement.purposes described above;
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Samples: Investment Agreement
Use of Personal Information. 7.1 The Subscriber (a) Trexs hereby acknowledges and consents to: (i) the disclosure by the Subscriber and the Corporation of Personal Information concerning Trexs to the Subscriber to a securities commission or other regulatory authority (a “Securities Commission”), commissions or to a stock exchange the CSE and any of its affiliates, authorized agents, subsidiaries and divisions, including the CSE (collectively referred to as the “an ExchangeRegulatory Group”); and (ii) the collection, use and disclosure of Personal Information by an Exchange the Regulatory Group for the following purposes (or as otherwise identified by such Exchangethe Regulatory Group, from time to time):
(ai) to conduct background checks;
(bii) to verify the Personal Information that has been provided about the SubscriberTrexs;
(ciii) to consider the suitability of the Subscriber Trexs as a holder of securities New CVRs, New Notes and 10% Notes of the Corporation;
(div) to consider the eligibility of the Corporation to continue to list on the ExchangeCSE;
(ev) to provide disclosure to market participants as the security holdings of the Corporation’s shareholdersShareholders, and their involvement with any other reporting issuers, issuers subject to a cease trade order or bankruptcy, and information respecting penalties, sanctions or personal bankruptcies, and possible conflicts of interest with the IssuerCorporation;
(fvi) to detect and prevent fraud;
(gvii) to conduct enforcement proceedings; and
(hviii) to perform other investigations as required by and to ensure compliance with all applicable rules, policies, rulings and regulations of an Exchangethe Regulatory Group, securities legislation and other legal and regulatory requirements governing the conduct and protection of the public marketsmarkets in Canada.
7.2 Herein(b) Trexs also acknowledges that: (i) the Regulatory Group also collects additional Personal Information from other sources, including securities regulatory authorities in Canada or elsewhere, investigative law enforcement or self- regulatory organizations, and regulations service providers to ensure that the purposes set forth above can be accomplished; (ii) the Personal Information the Regulatory Group collects may also be disclosed to the agencies and organizations referred to above or as otherwise permitted or required by law, and they may use it in their own investigations for the purposes described above; (iii) the Personal Information may be disclosed on the websites maintained by Regulatory Group members or through printed materials published by or pursuant to the direction of a member of the Regulatory Group; and (iv) the Regulatory Group may from time to time use third parties to process information and provide other administrative services, and may share the information with such providers.
(c) In this Agreement, “Personal Information” includes means any information about the Subscriber Trexs required to be disclosed by the Corporation to a Securities Commission the securities commissions or an Exchangethe CSE, whether pursuant to a Securities Commission request from the securities commissions or Exchange form or a request made by a Securities Commission or an Exchangethe CSE.
7.3 The Subscriber acknowledges and consents to: (i) the fact that the Corporation is collecting his Personal Information for the purpose of completing this Agreement; (ii) the Issuer retaining such Personal Information for as long as permitted or required by law or business practices; (iii) the fact that the Corporation may be required by securities laws, the rules and policies of any stock exchange to provide regulatory authorities with any Personal Information provided by the Subscriber in this Agreement.
Appears in 1 contract
Samples: Investment and Backstop Agreement
Use of Personal Information. 7.1 The Subscriber hereby acknowledges and consents to: (i) the disclosure by the Subscriber and the Corporation of Personal Information concerning the Subscriber to a securities commission or other regulatory authority (a “"Securities Commission”"), or to a stock exchange and any of its affiliates, authorized agents, subsidiaries and divisions, (collectively referred to as “"an Exchange”"); and (ii) the collection, use and disclosure of Personal Information by an Exchange for the following purposes (or as otherwise identified by such Exchange, from time to time):
(a) to conduct background checks;
; (b) to verify the Personal Information that has been provided about the Subscriber;
; (c) to consider the suitability of the Subscriber as a holder of securities of the Corporation;
; (d) to consider the eligibility of the Corporation to list on the Exchange;
; (e) to provide disclosure to market participants as the security holdings of the Corporation’s 's shareholders, and their involvement with any other reporting issuers, issuers subject to a cease trade order or bankruptcy, and information respecting penalties, sanctions or personal bankruptcies, and possible conflicts of interest with the Issuer;
; (f) to detect and prevent fraud;
; (g) to conduct enforcement proceedings; and
and (h) to perform other investigations as required by and to ensure compliance with all applicable rules, policies, rulings and regulations of an Exchange, securities legislation and other legal and regulatory requirements governing the conduct and protection of the public markets.
7.2 Herein, “"Personal Information” " includes any information about the Subscriber required to be disclosed to a Securities Commission or an Exchange, whether pursuant to a Securities Commission or Exchange form or a request made by a Securities Commission or an Exchange.
7.3 The Subscriber acknowledges and consents to: (i) the fact that the Corporation is collecting his Personal Information for the purpose of completing this Agreement; (ii) the Issuer retaining such Personal Information for as long as permitted or required by law or business practices; (iii) the fact that the Corporation may be required by securities laws, the rules and policies of any stock exchange to provide regulatory authorities with any Personal Information provided by the Subscriber in this Agreement.
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Use of Personal Information. 7.1 The Subscriber hereby acknowledges and consents to: (i) the disclosure by the Subscriber and the Corporation of Personal Information concerning the Subscriber to a securities commission or other regulatory authority (a “Securities Commission”), or to a stock exchange and any of its affiliates, authorized agents, subsidiaries and divisions, (collectively referred to as “an Exchange”); and (ii) the collection, use and disclosure of Personal Information by an Exchange for the following purposes (or as otherwise identified by such Exchange, from time to time):Confidant agrees:
(a) for the purposes of this Deed to conduct background checksbe subject to the obligations in the Privacy Xxx 0000 ("Privacy Act") for a "contracted service provider" under a "Commonwealth contract";
(b) to verify use or disclose personal information obtained during the Personal Information that has been provided about course of providing services in connection with the SubscriberAgreement, only for the purposes of providing services in connection with the Agreement;
(c) not to consider the suitability do any act or engage in any practice that would breach an IPP contained in Section 14 of the Subscriber as Privacy Act, which if done or engaged in by an agency, would be a holder breach of securities of the Corporationthat IPP;
(d) to consider carry out and discharge the eligibility of obligations contained in the Corporation to list on IPPs as if it were an agency under the ExchangePrivacy Act;
(e) to provide disclosure to market participants as notify individuals whose personal information the security holdings Confidant holds, that complaints about acts or practices of the Corporation’s shareholders, and their involvement with any other reporting issuers, issuers subject Confidant may be investigated by the Privacy Commissioner who has power to a cease trade order or bankruptcy, and information respecting penalties, sanctions or personal bankruptcies, and possible conflicts of interest with award compensation against the IssuerConfidant in appropriate circumstances;
(f) not to detect and prevent frauduse or disclose personal information or engage in an act or practice that would breach Section 16F (direct marketing), a National Privacy Principle (NPP) or an Approved Privacy Code (APC) where that section, NPP or APC is applicable to the Confidant unless the act or practice is engaged in for the purpose of discharging, directly or indirectly, an obligation in the course of providing services in connection with the Agreement;
(g) to conduct enforcement proceedings; anddisclose in writing to any person who asks, the content of the provisions of the Agreement (if any) that are inconsistent with an NPP or an APC binding a Party to the Agreement;
(h) to perform other investigations as required by and to ensure compliance with all applicable rules, policies, rulings and regulations immediately notify the agency if the Confidant becomes aware of an Exchange, securities legislation and other legal and regulatory requirements governing the conduct and protection a breach or possible breach of any of the public markets.
7.2 Hereinobligations in, “Personal Information” includes any information about the Subscriber required or referred to be disclosed to a Securities Commission or an Exchangein, this Clause 2, whether pursuant to a Securities Commission by the Confidant or Exchange form or a request made by a Securities Commission or an Exchange.any subcontractor;
7.3 The Subscriber acknowledges and consents to: (i) to comply with any directions by the fact agency or guidelines issued by the Privacy Commissioner with respect to the handling of personal information; and
(j) that any third person who undertakes work on behalf of the Corporation Confidant who is collecting his Personal Information required to deal with personal information for the purpose purposes of completing this Agreement; (ii) the Issuer retaining such Personal Information for as long as permitted or required by law or business practices; (iii) Agreement is made aware of the fact that obligations of the Corporation may be required by securities laws, the rules and policies of any stock exchange to provide regulatory authorities with any Personal Information provided by the Subscriber Confidant set out in this AgreementClause 2.
Appears in 1 contract
Samples: Funding Agreement
Use of Personal Information. 7.1 The Subscriber Purchaser hereby acknowledges and consents to: (ia) the disclosure by the Subscriber Purchaser and the Corporation Company of Personal Information concerning the Subscriber Purchaser to a securities commission or other regulatory authority (a “Securities Commission”), or to a stock exchange AMEX or TSX and any of its affiliates, authorized agents, subsidiaries and divisions, divisions (collectively referred to in this section as the “an Exchange”), and any subsequent public disclosure of Personal Information concerning the Purchaser made by a Securities Commission or by an Exchange; and (iib) the collection, use and disclosure of Personal Information by an the Exchange for the following purposes (or as otherwise identified by such the Exchange, from time to time):
): (ai) to conduct background checks;
; (bii) to verify the Personal Information that has been provided about the Subscriber;
Purchaser; (ciii) to consider the suitability of the Subscriber Purchaser as a holder of securities of the Corporation;
Company; (div) to consider the eligibility of the Corporation Company to continue to list on the Exchange;
; (ev) to provide disclosure to market participants as the security holdings of the CorporationCompany’s shareholders, and their involvement with any other reporting issuers, issuers subject to a cease trade order or bankruptcy, and information respecting penalties, sanctions or personal bankruptcies, and possible conflicts of interest with the Issuer;
Company; (fvi) to detect and prevent fraud;
; (gvii) to conduct enforcement proceedings; and
and (hviii) to perform other investigations as required by and to ensure compliance with all applicable rules, policies, rulings and regulations of an the Exchange, securities legislation and other legal and regulatory requirements governing the conduct and protection of the public markets.
7.2 Hereinmarkets in the United States and Canada. The Purchaser also acknowledges that: (c) the Exchange may also collect additional Personal Information from other sources, “including securities regulatory authorities or elsewhere, investigative law enforcement or self regulatory organizations, and regulations service providers to ensure that the purposes set forth above can be accomplished; (d) the Personal Information” includes any information about Information the Subscriber required to Exchange collects may also be disclosed to a Securities Commission the agencies and organizations referred to above or an Exchange, whether pursuant to a Securities Commission or Exchange form or a request made by a Securities Commission or an Exchange.
7.3 The Subscriber acknowledges and consents to: (i) the fact that the Corporation is collecting his Personal Information for the purpose of completing this Agreement; (ii) the Issuer retaining such Personal Information for as long as otherwise permitted or required by law or business practiceslaw, and they may use it in their own investigations for the purposes described above; (iiie) the fact that the Corporation Personal Information may be required disclosed on the Exchange’s website or through printed materials published by securities lawsor pursuant to the direction of the Exchange; and (f) the Exchange may from time to time use third parties to process information and provide other administrative services, and may share the rules and policies information with such providers. Without limiting the generality of any stock exchange to provide regulatory authorities with any the foregoing, Purchaser acknowledges that Personal Information provided will be delivered to the Ontario Securities Commission (the “OSC”) and that such personal information is being collected indirectly by the Subscriber OSC under the authority granted to it in this Agreement.securities legislation for the purposes of the administration and enforcement of the securities legislation of Ontario. The Purchaser authorizes such indirect collection of personal information by the OSC, and acknowledges that questions about such indirect collection of personal information should be
Appears in 1 contract
Samples: Series B Note Purchase Agreement (Storm Cat Energy CORP)