Client Identity Information Sample Clauses
Client Identity Information. Without affecting any other provisions of this Agreement, in connection with any lawful request for information made to ZUNDIAO by the SEHK and/or the SFC in respect of any transaction relating to the Account with ▇▇▇▇▇▇▇:
15.1 Upon request by ▇▇▇▇▇▇▇, the Client shall immediately and within two days (or such other time period as by be specified by ▇▇▇▇▇▇▇) provide the following information to ZUNDIAO and/or a regulator: identity, address, occupation, contact details, other identification particulars, and/or in the case of a corporate entity, nature and scope of business activities, source of funds, business structure, shareholdings and other information) relating to the ultimate beneficial owner(s) of the Account and/or the person(s) ultimately responsible for the giving of instructions in relation to any transaction or in relation to any dealings with any securities or investments in the Account amongst other requested information of:
(a) the party on whose account the transaction was effected (so far as known to the Client)
(b) the person or entity (legal or otherwise) who that stands to gain the commercial or economic benefit in the transaction and/or bear its commercial or economic risk; and
(c) any third party who originated the transaction;
15.2 If the Client effected the transaction for a collective investment scheme, discretionary account or discretionary trust, the Client shall:
(a) immediately upon request by ▇▇▇▇▇▇▇,and within two days (or such other time period as by be specified by ▇▇▇▇▇▇▇) inform ▇▇▇▇▇▇▇ and/or a regulator i of the name, identity, address and contact details of the scheme, account or trust and, if applicable, the identity, address, occupation and contact details of the person who, on behalf of the scheme, account or trust, instructed the Client to effect the transaction; and
(b) the Client shall inform ▇▇▇▇▇▇▇ immediately when the Client's discretion to invest on behalf of any scheme, trust or account has been overridden. In such event, the Client shall immediately upon ▇▇▇▇▇▇▇'s request and within the time specified by ▇▇▇▇▇▇▇, provide to ZUNDIAO and/or a regulator the identity, address, occupation and contact details of the person(s) who has or have given the instruction in relation to the transaction or revocation or termination; and
15.3 If a multilevel client relationship exists, and the Client does not know the particulars of the underlying Client for whom the transaction was effected, the Client confirms that:
(a) the...
Client Identity Information. 27.1 We are required by Regulatory Requirements to obtain CDD and you undertake to provide CDD in the form that we require and to update it on request.
27.2 Subject to Regulatory Requirements, we may determine at our discretion the time at which CDD is required and the form in which it should be delivered and will retain such CDD in accordance with Regulatory Requirements (which may extend to the period after our provision of Services in respect of the Agreement has ended).
27.3 If CDD is not made available when required or is not in a form acceptable to us, we may refuse to accept funds (which may be returned), take actions, exercise any powers or provide other benefit to you or any other party and may seek to discontinue our involvement with the Arrangement in accordance with clause 23.