AML Client Statement – Private Client Sample Clauses

The AML Client Statement – Private Client clause serves to confirm that a private client has provided all necessary information and documentation required for anti-money laundering (AML) compliance. In practice, this clause typically requires the client to disclose their identity, source of funds, and other relevant details to the service provider, ensuring that the provider can meet legal and regulatory obligations. Its core function is to help prevent money laundering and financial crime by ensuring that the client’s background and transactions are transparent and properly vetted.
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AML Client Statement – Private Client. The Norwegian Anti Money Laundering regulations require licensed financial institutions to undertake client due diligence measures in order to prevent and detect transactions associated with money laundering, proceeds of crime, or associated with acts of terrorism. NRP Finans is required to gather information about clients, ownership issues, the funds’ origins and the purpose of the client relationship. All information provided herein will be treated confidentially and in compliance with the Norwegian Personal Data Act.
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AML Client Statement – Private Client. The Norwegian Anti Money Laundering regulations require licensed financial institutions to undertake client due diligence measures in order to prevent and detect transactions associated with money laundering, proceeds of crime, or associated with acts of terrorism. NRP PF is required to gather information about clients, ownership issues, the funds’ origins and the purpose of the client relationship. All information provided herein will be treated confidentially and in compliance with the Norwegian Personal Data Act. 1. Client data: ALL FIELDS 2-6 ARE MANDATORY AND NEED TO BE FILLED IN 2. The purpose and intended nature of the client relationship*: 3. The origin of the funds intended for investing:
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Related to AML Client Statement – Private Client

  • LIFE COMPANY TO PROVIDE DOCUMENTS; INFORMATION ABOUT AVIF (a) LIFE COMPANY will provide to AVIF or its designated agent at least one (1) complete copy of all SEC registration statements, Account Prospectuses, reports, any preliminary and final voting instruction solicitation material, applications for exemptions, requests for no-action letters, and all amendments to any of the above, that relate to each Account or the Contracts, contemporaneously with the filing of such document with the SEC or other regulatory authorities. (b) LIFE COMPANY will provide to AVIF or its designated agent at least one (1) complete copy of each piece of sales literature or other promotional material in which AVIF or any of its affiliates is named, at least five (5) Business Days prior to its use or such shorter period as the Parties hereto may, from time to time, agree upon. No such material shall be used if AVIF or its designated agent objects to such use within five (5) Business Days after receipt of such material or such shorter period as the Parties hereto may, from time to time, agree upon. AVIF hereby designates AIM as the entity to receive such sales literature, until such time as AVIF appoints another designated agent by giving notice to LIFE COMPANY in the manner required by Section 9 hereof. (c) Neither LIFE COMPANY nor any of its affiliates, will give any information or make any representations or statements on behalf of or concerning AVIF or its affiliates in connection with the sale of the Contracts other than (i) the information or representations contained in the registration statement, including the AVIF Prospectus contained therein, relating to Shares, as such registration statement and AVIF Prospectus may be amended from time to time; or (ii) in reports or proxy materials for AVIF; or (iii) in published reports for AVIF that are in the public domain and approved by AVIF for distribution; or (iv) in sales literature or other promotional material approved by AVIF, except with the express written permission of AVIF. (d) LIFE COMPANY shall adopt and implement procedures reasonably designed to ensure that information concerning AVIF and its affiliates that is intended for use only by brokers or agents selling the Contracts (i.e., information that is not intended for distribution to Participants) ("broker only materials") is so used, and neither AVIF nor any of its affiliates shall be liable for any losses, damages or expenses relating to the improper use of such broker only materials. (e) For the purposes of this Section 4.5, the phrase "sales literature or other promotional material" includes, but is not limited to, advertisements (such as material published, or designed for use in, a newspaper, magazine, or other periodical, radio, television, telephone or tape recording, videotape display, signs or billboards, motion pictures, or other public media, (e.g., on-line networks such as the Internet or other electronic messages), sales literature (i.e., any written communication distributed or made generally available to customers or the public, including brochures, circulars, research reports, market letters, form letters, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published article), educational or training materials or other communications distributed or made generally available to some or all agents or employees, registration statements, prospectuses, statements of additional information, shareholder reports, and proxy materials and any other material constituting sales literature or advertising under the NASD rules, the 1933 Act, or the ▇▇▇▇ ▇▇▇.

  • Shareholder Information Services (i) Make information available to shareholder servicing unit and other remote access units regarding trade date, share price, current holdings, yields, and dividend information. (ii) Produce detailed history of transactions through duplicate or special order statements upon request. (iii) Provide mailing labels for distribution of financial reports, prospectuses, proxy statements or marketing material to current shareholders. (iv) Respond as appropriate to all inquiries and communications from shareholders relating to shareholder accounts.

  • Client Information Protected Health Information in any form including without limitation, Electronic Protected Health Information or Unsecured Protected Health Information (herein “PHI”);

  • REFERRED CLIENT From time to time, ▇▇▇▇.▇▇▇ will refer potential clients to the real estate agents affiliated with the Recipient Broker identified above. (“Recipient Agent”) Each potential client that is presented with the Recipient Broker/Recipient Agent’s contact information by ▇▇▇▇.▇▇▇ shall be deemed a “Referred Client” as of the date ▇▇▇▇.▇▇▇ identifies such client to Recipient Broker and/or Recipient Agent. ▇▇▇▇.▇▇▇ will identify a Referred Client to Recipient Broker and/or Recipient Agent by either (i) sending an email and/or text message to Recipient Broker and/or Recipient Agent that includes the Referred Client’s contact information (ii) sending Recipient Broker and/or Recipient Agent a monthly report and agent portal that includes all Referred Clients who received Recipient Broker/Agent’s contact information through the ▇▇▇▇.▇▇▇ platform. Each monthly report will detail the Client Name, Address, and Date and Time the Recipient Broker/Agent’s information was provided to the Referred Client.

  • Information about tenders Number of tenders received: 1 The contract has been awarded to a group of economic operators: No