Examples of Dual Representative in a sentence
Distributor may terminate the registration with Distributor of any such Dual Representative with or without cause at any time, in its sole discretion.
Each Dual Representative shall be subject to and shall comply fully with such operating and other policies and procedures as may be established from time to time by Distributor and communicated to such Dual Representative (the “Procedures”) and all applicable laws, rules and regulations.
Broker/Dealer shall ensure that each Dual Representative will be registered and qualified as necessary with the NASD and any appropriate state regulatory authority, and will be deemed an associated person of Broker/Dealer within the meaning of Section 3(a)(18) of the 0000 Xxx.
The parties will notify each other promptly if either receives any customer complaint or notice of any regulatory investigation or proceeding or judicial proceeding with respect to their respective activities or the activities of any Dual Representative.
Insurance Agency shall terminate or suspend from all Variable Products activities conducted by Insurance Agency any Dual Representative whom the SEC, the NASD or any other self-regulatory organization bars or suspends from association with Broker/Dealer or any other broker/dealer.
In no event and under no circumstances shall any Dual Representative provide investment advice or make any recommendations about any investment including an investment in the Funds during the scope of such Dual Representative’s registration by Distributor pursuant to this Agreement.
Each Dual Representative shall be subject to and shall comply fully with such operating and other policies and procedures as may be established from time to time by Distributor and communicated to such Dual Representative (the "Procedures") and all applicable laws, rules and regulations.
In no event and under no circumstances shall any Dual Representative provide investment advice or make any recommendations about any investment including an investment in the Funds during the scope of such Dual Representative's registration by UMBDS pursuant to this Agreement.
As discussed in Sections V(F) and VI, if circumstances warrant, the Member(s) of UMBDS may ban an Access Person, or a Dual Representative that is not an Access Person (and a Registered Representative supervising such Dual Representative), from all personal securities transactions or require the pre-clearance of any such transactions, or impose such other restrictions as it deems necessary or appropriate.
Without limiting the Company’s obligation to deliver any notice described in this Section 5.03(b), the failure by the Company to deliver any such notice shall not be taken into account for purposes of determining whether any of the conditions set forth in Article VI have been satisfied or give rise to any right to terminate under Article VII if a Dual Representative has actual knowledge of any such inquiry, proposal, offer, request for information, discussions or negotiations.