LEGAL COMPLIANCE. This Agreement and any transaction with, or payment to, you pursuant to the terms hereof is conditioned on your representation to us that, as of the date of this Agreement you are, and at all times during its effectiveness you will be, a bank as defined in Section 3(a)(6) of the Securities Exchange Act of 1934 (or other financial institution) and not otherwise required to register as a broker or dealer under such Act. You agree to notify us promptly in writing if this representation ceases to be true. You also agree that, regardless of whether you are a member of the NASD, you will comply with the rules of the NASD, including, in particular, Sections 2310, IM 2310-2, and 2830 of the NASD Conduct Rules, and that you will maintain adequate records with respect to your customers and their transactions, and that such transactions will be without recourse against you by your customers. We recognize that, in addition to applicable provisions of state and federal securities laws, you may be subject to the provisions of the Xxxxx-Xxxxxxxx Act and other laws governing, among other things, the conduct of activities by federal and state chartered and supervised financial institutions and their affiliated organizations. As such, you may be restricted in the activities that you may undertake and for which you may be paid, and, therefore, we recognize that you will not perform activities that are inconsistent with your statutory and regulatory obligations. Because you will be the only one having a direct relationship with the customer, you will be responsible in that relationship for insuring compliance with all laws and regulations, including those of all applicable federal and state regulatory authorities and bodies having jurisdiction over you or your customers to the extent applicable to securities purchases hereunder.
LEGAL COMPLIANCE. This Agreement and any transaction with, or payment to, you pursuant to the terms hereof is conditioned on your representation to us that, as of the date of this Agreement you are, and at all times during its effectiveness you will be: (a) a registered broker/dealer under the Securities Exchange Act of 1934 and qualified under applicable state securities laws in each jurisdiction in which you are required to be qualified to act as a broker/dealer in securities, and a member in good standing of the National Association of Securities Dealers, Inc. (the "NASD"); or (b) a foreign broker/dealer not eligible for membership in the NASD and otherwise in compliance with applicable U.S. federal and state securities laws. You agree to notify us promptly in writing and immediately suspend sales of Fund shares if this representation ceases to be true. You also agree that, whether you are a member of the NASD or a foreign broker/dealer not eligible for such membership, you will comply with the rules of the NASD including, in particular, Sections 2 and 26 of Article III thereof, and that you will maintain adequate records with respect to your transactions with the Funds.
LEGAL COMPLIANCE. This Agreement and any transaction with, or payment to, you pursuant to the terms hereof is conditioned on your representation to us that, as of the date of this Agreement you are not, and at all times during its effectiveness you will not be, required to register as a broker or dealer under the Securities Exchange Act of 1934. You agree to notify us promptly in writing if this representation ceases to be true. You also agree that, regardless of whether you are a member of the NASD, you will comply with the rules of the NASD, including, in particular, Sections 2310, IM 2310-2, and 2830 of the NASD Conduct Rules, and that you will maintain adequate records with respect to your customers and their transactions, and that such transactions will be without recourse against you by your customers. Because you will be the only one having a direct relationship with the customer, you will be responsible in that relationship for insuring compliance with all laws and regulations, including those of all applicable federal and state regulatory authorities and bodies having jurisdiction over you or your customers to the extent applicable to securities purchases hereunder.
Examples of LEGAL COMPLIANCE in a sentence
LEGAL COMPLIANCE Contractor represents and warrants that it shall secure all notices and comply with all laws, ordinances, rules and regulations of any governmental entity in conjunction with the performance of obligations under the Contract.
SMARSH DOES NOT GUARANTEE THAT USE OF THE SERVICES BY CLIENT OR THE ADVICE, CONSULTING OR PROFESSIONAL SERVICES PROVIDED TO CLIENT WILL ENSURE CLIENT’S LEGAL COMPLIANCE WITH ANY FEDERAL, STATE, OR INTERNATIONAL STATUTE, LAW, RULE, REGULATION, OR DIRECTIVE.
Law in Force in Relation to Contract: The contract or amendments thereof entered into between the Employer and the contractor under the contract shall be governed and regulated by the relevant laws for the time being in force in the territory of India relating to contracts.2. LEGAL COMPLIANCE: the contractor shall comply with all statutes, rules, regulations, by law, orders of statutory authority including but not limited to compliance of:a.
LEGAL COMPLIANCE - BUDGETS The budget is officially adopted by the governing body prior to the beginning of its fiscal year, or a resolution authorizing the continuation of necessary and essential expenditures to operate the City will be adopted.
Code § 5705.01 Appendix D: Compliance ACE formAppendix E: Elected officials’ compensation legislation Appendix F: Legal matricesAppendix G: FOJ, sheriff transportation, and law enforcement trust fund Appendix H: Agricultural society compliance supplement LEGAL COMPLIANCE AUDITING IN OHIO Introduction Citizens and public officials want and need to know whether governments are handling their funds properly and complying with laws and regulations.
More Definitions of LEGAL COMPLIANCE
LEGAL COMPLIANCE. My organization is responsible for ensuring that our labor and employment practices are in compliance with applicable state, local, and federal laws, including any student practice requirements. Assistance and Support: I will contact the Faculty Supervisor or Externship Director with any questions, concerns, or requests for additional support. .
LEGAL COMPLIANCE means full implementation of applicable legal requirements, including permit conditions, relating to the environment;
LEGAL COMPLIANCE. This Agreement and any transaction with, or payment to, you pursuant to the terms hereof is conditioned on your representation to us that, as of the date of this Agreement you are, and at all times during its effectiveness you will be: (a) a registered broker/dealer under the Securities Exchange Act of 1934 and qualified under applicable state securities laws in each jurisdiction in which you are required to be qualified to act as a broker/dealer in securities, and a member in good standing of FINRA; or (b) a foreign broker/dealer not eligible for membership in the FINRA and otherwise in compliance with applicable U.S. federal and state securities laws. You agree to notify us promptly in writing and immediately suspend sales of Fund shares if this representation ceases to be true. You also agree that, whether you are a member of the FINRA or a foreign broker/dealer not eligible for such membership, you will comply with the rules of the FINRA including, in particular, Sections 2 and 26 of Article III thereof, and Sections 2310, IM 2310-2 and 2830 of the FINRA Conduct Rules, and that you will maintain adequate records with respect to your customers and transactions with the Funds. You agree to comply with all applicable terms of the Funds’ Prospectuses, and you agree to cooperate with any efforts initiated by the Funds and/or their agents to identify and prevent abusive trading practices as described in the Funds’ prospectuses, including, but not limited to, activities such as “market-timing”, short-term trading, excessive trading, and late trading (“Abusive Trading Practices”). You shall cooperate with any requests made by the Funds and/or their agents towards this end, including providing the Funds and/or their agents with information about the trading history of any particular shareholder that you maintain on your recordkeeping systems. You represent that you have reviewed your policies and procedures to ensure that they are reasonably designed to prevent Abusive Trading Practices. You agree to make any changes necessary to comply with any laws or regulations regarding Abusive Trading Practices applicable to any party to this Agreement and/or the Funds that relate to the performance of services under this Agreement.
LEGAL COMPLIANCE. You warrant that (i) you are not located in a country that is subject to a U.S. Government embargo, or that has been designated by the U.S. Government as a “terrorist supporting” country; and (ii) you are not listed on any U.S. Government list of prohibited or restricted parties.
LEGAL COMPLIANCE. As set forth in Section 7.05 of the Bylaws, Members agree to comply at all times with all applicable laws, rules and regulations with respect to their performance under the Bylaws. The Members understand that in certain lines of business they may be in competition with other OW2 Members and that it is imperative that they and their representatives act in a manner which does not violate any applicable antitrust law and regulation.
LEGAL COMPLIANCE. The DDA shall ensure that the premises comply with all applicable laws, ordinances, and regulations pertaining to the structural integrity and safety of the building.
LEGAL COMPLIANCE. We will share information about you if state or federal laws require it, including with the Department of Health and Human Services if it wants to see that we are complying with federal privacy law. Medical Examiners & Funeral Directors: We can share health information with a coroner, medical examiner, or funeral director when an individual dies. Organ and Tissue Donation: We can share health information about you with organ procurement organizations. Public Health & Safety: Research: We can use or share your information for health research.