Client Disclosure Document definition

Client Disclosure Document means this Private Wealth Management Client Disclosure Document.
Client Disclosure Document means this Multi-Family Office Client Disclosure Document.

Examples of Client Disclosure Document in a sentence

  • However, registered intermediary will be ultimately responsible for CDD and undertaking enhanced due diligenceA risk-based approach will need to be adopted towards client identification in respect of any additional information that might be required in specific cases.The Company shall periodically update all documents, data or information of all Clients collected under the Client Disclosure Document (CDD) process.

  • The Chief Compliance Officer shall negotiate all referral arrangements and commission splitting arrangements on behalf of Altimum in advance, in a written document known as the Application and Client Disclosure Document Regarding Referral Arrangements and Commission Splitting, hereinafter referred to as the Disclosure Document.

  • The Company shall periodically (preferably yearly basis) update all documents, data or information of all Clients and Beneficial Owners collected under the Client Disclosure Document (CDD) process.

  • More detailed information about the features of a Basic Omnibus Indirect Client Account and Gross Omnibus Indirect Client Account at the Affected CCPs, and the risks associated with these accounts, is included in the Direct Client Disclosure Document.

  • Zuari Finserv Limited - PMLA Policy Version1.ç The Company shall periodically update all documents, data or information of all Clients and Beneficial Owners collected under the Client Disclosure Document (CDD) process.

  • Zuari Finserv Limited - PMLA Policy Version 1.4 Version1.¢ The Company shall periodically update all documents, data or information of all Clients and Beneficial Owners collected under the Client Disclosure Document (CDD) process.

  • Such arrangements are outside the scope of this document, and we will provide you with a separate Client Disclosure Document with respect to such arrangements.

Related to Client Disclosure Document

  • Disclosure Document means any registration statement (including the Form 10) filed with the SEC by or on behalf of any Party or any member of its Group, and also includes any information statement (including the Information Statement), prospectus, offering memorandum, offering circular, periodic report or similar disclosure document, whether or not filed with the SEC or any other Governmental Authority, in each case that describes the Separation or the Distribution or the SpinCo Group or primarily relates to the transactions contemplated hereby.

  • Subsequent Disclosure Documents means any financial statements, management’s discussion and analysis, information circulars, annual information forms, material change reports (other than confidential material change reports), business acquisition reports or other documents issued by the Corporation after the Execution Time which are, or are deemed to be, pursuant to applicable Securities Laws, incorporated by reference into the Final Prospectuses or any Prospectus Amendment;

  • Disclosure Documents is defined in Section 5.3.

  • Company Disclosure Documents is defined in Section 3.4(g) of the Agreement.

  • Public Disclosure Documents means, collectively, all of the documents which have been filed by or on behalf of the Borrower with the relevant Securities Regulators pursuant to the requirements of Securities Laws, including all documents publicly available on the Borrower’s SEDAR profile.

  • information document means the document set out in Annex I or Annex III, or in the corresponding Annex to a separate directive, or regulation, that prescribes the information to be supplied by an applicant, it being permissible to supply the information document in the form of an electronic file;

  • Parent Disclosure Letter means the disclosure letter delivered by Parent to the Company simultaneously with the execution of this Agreement.

  • Data Room Information means the information and documents listed in the index of documents contained in the Data Site attached to the Company Disclosure Letter;

  • Purchaser Confidential Information means all confidential or proprietary documents and information concerning the Purchaser or any of its Representatives; provided, however, that Purchaser Confidential Information shall not include any information which, (i) at the time of disclosure by the Company, the Seller Representative or any of their respective Representatives, is generally available publicly and was not disclosed in breach of this Agreement or (ii) at the time of the disclosure by the Purchaser or its Representatives to the Company, the Seller Representative or any of their respective Representatives, was previously known by such receiving party without violation of Law or any confidentiality obligation by the Person receiving such Purchaser Confidential Information. For the avoidance of doubt, from and after the Closing, Purchaser Confidential Information will include the confidential or proprietary information of the Target Companies.

  • Company Material Contract has the meaning set forth in Section 3.15(a).

  • Confidential Information Memorandum means the Confidential Information Memorandum of the Borrower dated December 2010 delivered to the Lenders in connection with this Agreement.

  • Buyer Confidential Information has the meaning set forth in Section 6.8(a).

  • Parent Disclosure Schedule means the disclosure schedule dated the date hereof regarding this Agreement that has been provided by Parent to the Company.

  • Seller Confidential Information has the meaning set forth in Section 6.4.3.

  • Disclosed Information means the information disclosed by a Party for the purpose of settlement, negotiation, Mediation or Arbitration;

  • Seller Disclosure Letter means the letter, dated as of the date hereof, delivered by Seller to Buyer prior to the execution of this Agreement and identified as the Seller Disclosure Letter.

  • Buyer Disclosure Letter means the letter, dated as of the date hereof, delivered by Buyer to Seller prior to the execution of this Agreement and identified as the Buyer Disclosure Letter.

  • Due Diligence Information means any information supplied to the Supplier by or on behalf of the Customer prior to the Call Off Commencement Date;

  • Purchaser Disclosure Letter means the Purchaser Disclosure Letter attached hereto, dated as of the date hereof, delivered by Purchaser in connection with this Agreement.

  • Business Confidential Information has the meaning set forth in Section 5.04(a).

  • Adverse Disclosure means any public disclosure of material non-public information, which disclosure, in the good faith judgment of the Chief Executive Officer or principal financial officer of the Company, after consultation with counsel to the Company, (i) would be required to be made in any Registration Statement or Prospectus in order for the applicable Registration Statement or Prospectus not to contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements contained therein (in the case of any prospectus and any preliminary prospectus, in the light of the circumstances under which they were made) not misleading, (ii) would not be required to be made at such time if the Registration Statement were not being filed, and (iii) the Company has a bona fide business purpose for not making such information public.

  • Key Information Document means the key information document which aims to provide clear and comparable information about a product in a stand-alone, standardised document.

  • Buyer Disclosure Schedules means the disclosure schedules delivered by Buyer to Seller concurrently with the execution and delivery of this Agreement.

  • Seller Disclosure Schedules means those certain Seller Disclosure Schedules dated as of the date of this Agreement, provided by Seller to Purchaser.

  • Parent Material Contract shall have the meaning set forth in Section 4.16(a).

  • Due Diligence Materials means the information to be provided by Seller to Purchaser pursuant to the provisions of Section 4.1 hereof.