Common use of Anti-Money Laundering Program Clause in Contracts

Anti-Money Laundering Program. Dealer represents and warrants that it has adopted an anti-money laundering program (“AML Program”) that complies with the Bank Secrecy Act, as amended by the USA PATRIOT Act, and any future amendments (the “PATRIOT Act,” and together with the Bank Secrecy Act, the “Act”), the rules and regulations under the Act, and the rules, regulations and regulatory guidance of the SEC, the FINRA or any other applicable self-regulatory organization (collectively, “AML Rules and Regulations”). Dealer further represents that its AML Program, at a minimum, (1) designates a compliance officer to administer and oversee the AML Program, (2) provides ongoing employee training, (3) includes an independent audit function to test the effectiveness of the AML Program, (4) establishes internal policies, procedures, and controls that are tailored to its particular business, (5) will include a customer identification program consistent with the rules under section 326 of the Act, (6) provides for the filing of all necessary anti-money laundering reports including, but not limited to, currency transaction reports and suspicious activity reports, (7) provides for screening all new and existing customers against the Office of Foreign Asset Control (“OFAC”) list and any other government list that is or becomes required under the Act, and (8) allows for appropriate regulators to examine Dealer’s AML books and records (9) Quasar acknowledges The Fund Company’s AML Program and represents that it complies with AML Rules and Regulations..

Anti-Money Laundering Program. Dealer represents and warrants that it has adopted an anti-money laundering program (“"AML Program”") that complies with the Bank Secrecy Act, as amended by the USA PATRIOT Act, and any future amendments (the “"PATRIOT Act,” " and together with the Bank Secrecy Act, the “"Act”"), the rules and regulations under the Act, and the rules, regulations and regulatory guidance of the SEC, the FINRA NASD or any other applicable self-regulatory organization (collectively, “"AML Rules and Regulations”"). Dealer further represents that its AML Program, at a minimum, (1) designates a compliance officer to administer and oversee the AML Program, (2) provides ongoing employee training, (3) includes an independent audit function to test the effectiveness of the AML Program, (4) establishes internal policies, procedures, and controls that are tailored to its particular business, (5) will include a customer identification program consistent with the rules under section 326 of the Act, (6) provides for the filing of all necessary anti-money laundering reports including, but not limited to, currency transaction reports and suspicious activity reports, (7) provides for screening all new and existing customers against the Office of Foreign Asset Control (“"OFAC”") list and any other government list that is or becomes required under the Act, and (8) allows for appropriate regulators to examine Dealer’s 's AML books and records (9) Quasar acknowledges The Fund Company’s AML Program and represents that it complies with AML Rules and Regulations..records.

Anti-Money Laundering Program. Dealer represents and warrants that it has adopted an anti-money laundering program (“"AML Program”") that complies with the Bank Secrecy Act, as amended by the USA PATRIOT Act, and any future amendments (the “"PATRIOT Act,” " and together with the Bank Secrecy Act, the “"Act”"), the rules and regulations under the Act, and the rules, regulations and regulatory guidance of the SEC, the FINRA or any other applicable self-regulatory organization (collectively, “"AML Rules and Regulations”"). Dealer further represents that its AML Program, at a minimum, (1) designates a compliance officer to administer and oversee the AML Program, (2) provides ongoing employee training, (3) includes an independent audit function to test the effectiveness of the AML Program, (4) establishes internal policies, procedures, and controls that are tailored to its particular business, (5) will include a customer identification program consistent with the rules under section 326 of the Act, (6) provides for the filing of all necessary anti-money laundering reports including, but not limited to, currency transaction reports and suspicious activity reports, (7) provides for screening all new and existing customers against the Office of Foreign Asset Control (“"OFAC”") list and any other government list that is or becomes required under the Act, and (8) allows for appropriate regulators to examine Dealer’s 's AML books and records (9) Quasar acknowledges The Fund Company’s AML Program and represents that it complies with AML Rules and Regulations..records.

Anti-Money Laundering Program. Dealer Trust represents and warrants that it has adopted an anti-money laundering program (“AML Program”) that complies with the Bank Secrecy Act, as amended by the USA PATRIOT Act, and any future amendments (the “PATRIOT Act,” and together with the Bank Secrecy Act, the “Act”), the rules and regulations under the Act, and the rules, regulations and regulatory guidance of the SEC, the FINRA or any other applicable self-regulatory organization (collectively, “AML Rules and Regulations”). Dealer Trust further represents that its AML Program, at a minimum, (1) designates a compliance officer to administer and oversee the AML Program, (2) provides ongoing employee training, (3) includes an independent audit function to test the effectiveness of the AML Program, (4) establishes internal policies, procedures, and controls that are tailored to its particular business, (5) will include a customer identification program consistent with the rules under section 326 of the Act, (6) provides for the filing of all necessary anti-money laundering reports including, but not limited to, currency transaction reports and suspicious activity reports, (7) provides for screening all new and existing customers against the Office of Foreign Asset Control (“OFAC”) list and any other government list that is or becomes required under the Act, and (8) allows for appropriate regulators to examine DealerTrust’s AML books and records (9) Quasar acknowledges The Fund Company’s AML Program and represents that it complies with AML Rules and Regulations..records.

Anti-Money Laundering Program. Dealer Each Fund represents and warrants that it has adopted an anti-money laundering program (“AML Program”) that complies with the Bank Secrecy Act, as amended by the USA PATRIOT Act, and any future amendments (the “PATRIOT Act,” and together with the Bank Secrecy Act, the “Act”), the rules and regulations under the Act, and the rules, regulations and regulatory guidance of the SEC, the FINRA or any other applicable self-regulatory organization (collectively, “AML Rules and Regulations”). Dealer Each Fund further represents represent that its AML Program, at a minimum, (1) designates a compliance officer to administer and oversee the AML Program, (2) provides ongoing employee training, (3) includes an independent audit function to test the effectiveness of the AML Program, (4) establishes internal policies, procedures, and controls that are tailored to its their particular business, (5) will include a customer identification program consistent with the rules under section 326 of the Act, (6) provides for the filing of all necessary anti-money laundering reports including, but not limited to, currency transaction reports and suspicious activity reports, (7) provides for screening all new and existing customers against the Office of Foreign Asset Control (“OFAC”) list and any other government list that is or becomes required under the Act, and (8) allows for appropriate regulators to examine Dealerthe Fund’s AML books and records (9) Quasar acknowledges The Fund Company’s AML Program and represents that it complies with AML Rules and Regulations..records.

Anti-Money Laundering Program. Dealer Service Provider represents and warrants that it has adopted an anti-money laundering program (“AML Program”) that complies with the Bank Secrecy Act, as amended by the USA PATRIOT Act, and any future amendments (the “PATRIOT Act,” and together with the Bank Secrecy Act, the “Act”), the rules and regulations under the Act, and the rules, regulations and regulatory guidance of the SEC, the FINRA or any other applicable self-regulatory organization (collectively, “AML Rules and Regulations”). Dealer Service Provider further represents that its AML Program, at a minimum, (1) designates a compliance officer to administer and oversee the AML Program, (2) provides ongoing employee training, (3) includes an independent audit function to test the effectiveness of the AML Program, (4) establishes internal policies, procedures, and controls that are tailored to its particular business, (5) will include a customer identification program for its institutional customers consistent with the rules under section 326 of the Act, (6) provides for the filing of all necessary anti-money laundering reports including, but not limited to, currency transaction reports and suspicious activity reports, (7) provides for screening all new and existing customers against the Office of Foreign Asset Control (“OFAC”) list and any other government list that is or becomes required under the Act, and (8) allows for appropriate regulators to examine DealerService Provider’s AML books and records (9) Quasar acknowledges The Fund Company’s AML Program and represents that it complies with AML Rules and Regulations..records.

Anti-Money Laundering Program. Dealer represents and warrants that it has adopted an anti-money laundering program (“"AML Program”") that complies with the Bank Secrecy Act, as amended by the USA PATRIOT Act, and any future amendments (the “"PATRIOT Act,” " and together with the Bank Secrecy Act, the “"Act”"), the rules and regulations under the Act, and the rules, regulations and regulatory guidance of the SEC, the FINRA NASD or any other applicable self-regulatory organization (collectively, “"AML Rules and Regulations”"). Dealer further represents that its AML Program, at a minimum, (1) designates a compliance officer to administer and oversee the AML Program, (2) provides ongoing employee training, (3) includes an independent audit function to test the effectiveness of the AML Program, (4) establishes internal policies, procedures, and controls that are tailored to its particular business, (5) will include a customer identification program consistent with the rules under section 326 of the Act, (6) provides for the filing of all necessary anti-money laundering reports including, but not limited to, currency transaction reports and suspicious activity reports, (7) provides for screening all new and existing customers against the Office of Foreign Asset Control (“"OFAC”") list and any other government list that is or becomes required under the Act, and (8) allows for appropriate regulators to examine Dealer’s 's AML books and records (9) Quasar acknowledges The Fund Company’s 's AML Program and represents that it complies with AML Rules and Regulations..

Anti-Money Laundering Program. Dealer Service Provider represents and warrants that it has adopted an anti-money laundering program (“"AML Program”") that complies with the Bank Secrecy Act, as amended by the USA PATRIOT Act, and any future amendments (the “"PATRIOT Act,” " and together with the Bank Secrecy Act, the “"Act”"), the rules and regulations under the Act, and the rules, regulations and regulatory guidance of the SEC, the FINRA NASD or any other applicable self-regulatory organization (collectively, “"AML Rules and Regulations”"). Dealer Service Provider further represents that its AML Program, at a minimum, (1) designates a compliance officer to administer and oversee the AML Program, (2) provides ongoing employee training, (3) includes an independent audit function to test the effectiveness of the AML Program, (4) establishes internal policies, procedures, and controls that are tailored to its particular business, (5) will include a customer identification program for its institutional customers consistent with the rules under section 326 of the Act, (6) provides for the filing of all necessary anti-money laundering reports including, but not limited to, currency transaction reports and suspicious activity reports, (7) provides for screening all new and existing customers against the Office of Foreign Asset Control (“"OFAC”") list and any other government list that is or becomes required under the Act, and (8) allows for appropriate regulators to examine Dealer’s Service Provider's AML books and records (9) Quasar acknowledges The Fund Company’s AML Program and represents that it complies with AML Rules and Regulations..records.

Anti-Money Laundering Program. Dealer represents and warrants that it has adopted an anti-money laundering program (“"AML Program”") that complies with the Bank Secrecy Act, as amended by the USA PATRIOT Act, and any future amendments (the “"PATRIOT Act,” " and together with the Bank Secrecy Act, the “"Act”"), the rules and regulations under the Act, and the rules, regulations and regulatory guidance of the SEC, the FINRA NASD or any other applicable self-regulatory organization (collectively, “"AML Rules and Regulations”"). Dealer further represents that its AML Program, at a minimum, (1) designates a compliance officer to administer and oversee the AML Program, (2) provides ongoing employee training, (3) includes an independent audit function to test the effectiveness of the AML Program, (4) establishes internal policies, procedures, and controls that are tailored to its particular business, (5) will include a customer identification program consistent with the rules under section 326 of the Act, (6) provides for the filing of all necessary anti-money laundering reports including, but not limited to, currency transaction reports and suspicious activity reports, (7) provides for screening all new and existing customers against the Office of Foreign Asset Control (“OFAC”"OF AC") list and any other government list that is or becomes required under the Act, and (8) allows for appropriate regulators to examine Dealer’s 's AML books and records (9) Quasar acknowledges The Fund Company’s 's AML Program and represents that it complies with AML Rules and RegulationsRegulations ..

Anti-Money Laundering Program. Dealer represents and warrants that it has adopted an anti-money laundering program (“"AML Program”") that complies with the Bank Secrecy Act, as amended by the USA PATRIOT Act, and any future amendments (the “"PATRIOT Act,” " and together with the Bank Secrecy Act, the “"Act”"), the rules and regulations under the Act, and the rules, regulations and regulatory guidance of the SEC, the FINRA NASD or any other applicable self-regulatory organization (collectively, “"AML Rules and Regulations”"). Dealer further represents that its AML Program, at a minimum, (1) designates a compliance officer to administer and oversee the AML Program, (2) provides ongoing employee training, (3) includes an independent audit function to test the effectiveness of the AML Program, (4) establishes internal policies, procedures, and controls that are tailored to its particular business, (5) will include a customer identification program consistent with the rules under section 326 of the Act, (6) provides for the filing of all necessary anti-money laundering reports including, but not limited to, currency transaction reports and suspicious activity reports, (7) provides for screening all new and existing customers against the Office of Foreign Asset Control (“"OFAC”") list and any other government list that is or becomes required under the Act, and (8) allows for appropriate regulators to examine Dealer’s 's AML books and records (9) Quasar acknowledges The Fund Company’s 's AML Program and represents that it complies with AML Rules and Regulations...

Anti-Money Laundering Program. Dealer represents and warrants that it has adopted an anti-money laundering program (“"AML Program”") that complies with the Bank Secrecy Act, as amended by the USA PATRIOT Act, and any future amendments (the “"PATRIOT Act,” " and together with the Bank Secrecy Act, the “"Act”"), the rules and regulations under the Act, and the rules, regulations and regulatory guidance of the SEC, the FINRA NASD or any other applicable self-regulatory organization (collectively, “"AML Rules and Regulations”"). Dealer further represents that its AML Program, at a minimum, (1) designates a compliance officer to administer and oversee the AML Program, (2) provides ongoing employee training, (3) includes an independent audit function to test the effectiveness of the AML Program, (4) establishes internal policies, procedures, and controls that are tailored to its particular business, (5) will include a customer identification program consistent with the rules under section 326 of the Act, (6) provides for the filing of all necessary anti-money laundering reports including, but not limited to, currency transaction reports and suspicious activity reports, (7) provides for screening all new and existing customers against the Office of Foreign Asset Control (“OFAC”"OF AC") list and any other government list that is or becomes required under the Act, and (8) allows for appropriate regulators to examine Dealer’s 's AML books and records (9) Quasar acknowledges The Fund Company’s 's AML Program and represents that it complies with AML Rules and Regulations..Regulations ...

Anti-Money Laundering Program. Dealer represents and warrants that it has adopted an anti-money laundering program (“AML Program”) that complies with the Bank Secrecy Act, as amended by the USA PATRIOT Act, and any future amendments (the “PATRIOT Act,” and together with the Bank Secrecy Act, the “Act”), the rules and regulations under the Act, and the rules, regulations and regulatory guidance of the SEC, the FINRA NASD or any other applicable self-regulatory organization (collectively, “AML Rules and Regulations”). Dealer further represents that its AML Program, at a minimum, (1) designates a compliance officer to administer and oversee the AML Program, (2) provides ongoing employee training, (3) includes an independent audit function to test the effectiveness of the AML Program, (4) establishes internal policies, procedures, and controls that are tailored to its particular business, (5) will include includes a customer identification program consistent with the rules under section 326 of the Act, (6) provides for the filing of all necessary anti-money laundering reports including, but not limited to, currency transaction reports and suspicious activity reports, (7) provides for screening all new and existing customers against the Office of Foreign Asset Control (“OFAC”) list and any other government list that is or becomes required under the Act, and (8) allows for appropriate regulators to examine Dealer’s AML books and records (9) Quasar acknowledges The Fund Company’s AML Program records. In addition, Distributor, on its own behalf and represents on behalf of the Funds, hereby provides notice to the Dealer that it complies with and/or the Fund reserves the right to make inquiries of and request additional information from the Dealer regarding its AML Rules and Regulations..program.

Anti-Money Laundering Program. Dealer Trust represents and warrants that it has adopted an anti-money laundering program (“AML Program”) that complies with the Bank Secrecy Act, as amended by the USA PATRIOT Act, and any future amendments (the “PATRIOT Act,” and together with the Bank Secrecy Act, the “Act”), the rules and regulations under the Act, and the rules, regulations and regulatory guidance of the SEC, the FINRA NASD or any other applicable self-regulatory organization (collectively, “AML Rules and Regulations”). Dealer Trust further represents that its AML Program, at a minimum, (1) designates a compliance officer to administer and oversee the AML Program, (2) provides ongoing employee training, (3) includes an independent audit function to test the effectiveness of the AML Program, (4) establishes internal policies, procedures, and controls that are tailored to its particular business, (5) will include a customer identification program consistent with the rules under section 326 of the Act, (6) provides for the filing of all necessary anti-money laundering reports including, but not limited to, currency transaction reports and suspicious activity reports, (7) provides for screening all new and existing customers against the Office of Foreign Asset Control (“OFAC”) list and any other government list that is or becomes required under the Act, and (8) allows for appropriate regulators to examine DealerTrust’s AML books and records (9) Quasar acknowledges The Fund Company’s AML Program and represents that it complies with AML Rules and Regulations..records.

Anti-Money Laundering Program. Dealer Distributor represents and warrants that it has adopted an anti-money laundering program (“AML Program”) that complies with the Bank Secrecy Act, as amended by the USA PATRIOT Act, and any future amendments (the “PATRIOT Act,” and together with the Bank Secrecy Act, the “Act”), the rules and regulations under the Act, and the rules, regulations and regulatory guidance of the SEC, the FINRA or any other applicable self-regulatory organization (collectively, “AML Rules and Regulations”). Dealer Distributor further represents that its AML Program, at a minimum, (1) designates a compliance officer to administer and oversee the AML Program, (2) provides ongoing employee training, (3) includes an independent audit function to test the effectiveness of the AML Program, (4) establishes internal policies, procedures, and controls that are tailored to its particular business, (5) will include a customer identification program consistent with the rules under section 326 of the Act, (6) provides for the filing of all necessary anti-money laundering reports including, but not limited to, currency transaction reports and suspicious activity reports, (7) provides for screening all new and existing customers against the Office of Foreign Asset Control (“OFAC”) list and any other government list that is or becomes required under the Act, and (8) allows for appropriate regulators to examine DealerDistributor’s AML books and records (9) Quasar acknowledges The Fund Company’s AML Program and represents that it complies with AML Rules and Regulations..records.

Anti-Money Laundering Program. Dealer represents and warrants that it has adopted an anti-money laundering program (“"AML Program”Program ") that complies with the Bank Secrecy Act, as amended by the USA PATRIOT Act, and any future amendments (the “"PATRIOT Act,” " and together with the Bank Secrecy Act, the “Act”"Act "), the rules and regulations under the Act, and the rules, regulations and regulatory guidance of the SEC, the FINRA NASD or any other applicable self-self- regulatory organization (collectively, “"AML Rules and Regulations”Regulations "). Dealer further represents that its AML Program, at a minimum, (1) designates a compliance officer to administer and oversee the AML Program, (2) provides ongoing employee training, (3) includes an independent audit function to test the effectiveness of the AML Program, (4) establishes internal policies, procedures, procedure ,and controls that are tailored to its particular business, (5) will include a customer identification program consistent with the rules under section 326 of the Act, (6) provides for the filing of all necessary anti-money laundering reports including, but not limited to, currency transaction reports and suspicious activity reports, (7) provides for screening all new and existing customers against the Office of Foreign Asset Control (“OFAC”"OFAC ") list and any other government list that is or becomes required under the Act, and (8) allows for appropriate regulators to examine Dealer’s Dealer 's AML books and records (9) Quasar acknowledges The Fund Company’s AML Program and represents that it complies with AML Rules and Regulations..records.