Conflicts of Interest Mitigation Controls Sample Clauses

Conflicts of Interest Mitigation Controls. As a requirement of the FAA, the Financial Agent shall maintain and enforce corporate-wide policies and procedures addressing potential conflicts of interests in the following areas. For purposes of this exhibit, the specific policies and procedures developed and implemented to address potential conflicts of interest regarding its work under the FAA are collectively referred to as the Conflicts of Interest Mitigation Controls. The Conflicts of Interest Mitigation Controls shall apply to the Financial Agent and any Named Affiliates, their collective employees, contractors, and their contractor’s employees (together, collectively, “Financial Agent Group,”) that provide asset management services under the FAA. • Restrictions Regarding Material Non-Public Information. While providing asset management services to the TARP, some individuals within the Financial Agent Group may have access to material non-public information related to the TARP program, such as specific trades or trading strategies (effected or proposed to be effected) of the Treasury. Information is “material” if there is a substantial likelihood that a reasonable person would consider the information important in making an investment decision (e.g., if the disclosure of the information would positively or negatively affect the market price of a security or obligation). Individuals in possession of non-public information obtained or developed pursuant to the FAA shall not act, or cause others to act, on such information, except in performance of the FAA.
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Conflicts of Interest Mitigation Controls. The Financial Agent is aware of and shall comply with the applicable requirements of 31 CFR § 31, including but not limited to the implementation of the following general conflicts of interest mitigation controls.
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Conflicts of Interest Mitigation Controls. As a requirement of the FAA, the Financial Agent shall maintain and enforce corporate-wide policies and procedures that address the following general conflicts of interest mitigation controls.
Sample 1
Conflicts of Interest Mitigation Controls. The Financial Agent is aware of and shall comply with the applicable requirements of 31 CFR § 31, including but not limited to the implementation of the following general conflicts of interest mitigation controls. Restrictions Regarding Material, Non-Public Information. While providing services under this FAA, some individuals within the Financial Agent may have access to material, non-public information related to the TARP program, such as knowledge of the Treasury’s planning, long- term strategy, or disposition objectives, including specific trades or trading strategies (effected or proposed to be effected) of the Treasury. Information is “material” if there is a substantial likelihood that a reasonable person would consider the information important in making an investment decision (e.g., if the disclosure of the information would positively or negatively affect the market price of a security or obligation). Individuals within the Financial Agent in possession of non-public information obtained or developed pursuant to this FAA shall not act, or cause others to act, on such information, except in performance of this FAA.
Sample 1
Conflicts of Interest Mitigation Controls. The Financial Agent and the Treasury agree that the TARP’s investment objectives, trade operations and policies, as well as the Financial Agent’s business, are likely to evolve over the term of the TARP. The Financial Agent shall inform the Treasury and negotiate in good faith all proposed material changes to the Conflicts of Interest Mitigation Controls prior to their adoption and Treasury retains the option of disapproving any proposed material change, in which case the Financial Agent agrees not to change such control. The Financial Agent and the Treasury agree to negotiate and resolve any such proposed changes in good faith and as quickly as reasonably possible. In addition, the Financial Agent shall promptly notify the Treasury of any changes to the Code of Conduct(s) of the Financial Agent.
Sample 1
Conflicts of Interest Mitigation Controls. The Financial Agent is aware of and shall comply with the applicable requirements of 31 CFR § 31, including but not limited to the implementation of the following general conflicts of interest mitigation controls. Restrictions Regarding Material Nonpublic Information. While providing services under this FAA, some individuals within the Financial Agent may have access to material nonpublic information related to the TARP program, such as specific trades or trading strategies (effected or proposed to be effected) of the Treasury. Information is “material” if there is a substantial likelihood that a reasonable person would consider the information important in making an investment decision (e.g., if the disclosure of the information would positively or negatively affect the market price of a security or obligation). Individuals in possession of nonpublic information obtained or developed pursuant to this FAA shall not act, or cause others to act, on such information, except in performance of this FAA. Information Barrier Policies. TARP-related nonpublic information shall be shared only on a need-to-know basis. The Financial Agent shall maintain information barrier policies and controls (including restricted electronic barrier testing) that are designed to restrict the dissemination, availability and sharing of nonpublic information, including but not limited to material nonpublic information. Consistent with Section 11 of this FAA, “Conflicts of Interest Mitigation and Information Barriers”, the Financial Agent shall enforce, maintain, and monitor existing information barrier policies within the firm and with its affiliates to prevent the dissemination, availability and sharing of nonpublic information, including but not limited to material nonpublic information. Controls over IT and Paper Files Related to Nonpublic Information. The Financial Agent’s management, performance, and accounting systems shall restrict nonpublic information access only to those individuals who have a need to know such information. Paper files that include nonpublic information will also be appropriately segregated and controlled so as to avoid inappropriate access by unauthorized individuals. Any information technology systems or other record systems (e.g., microfiche or data sticks) utilized by the Financial Agent in the performance of services under this FAA that may contain nonpublic information shall have appropriate administrative, technological and/or physical security control...
Sample 1
Conflicts of Interest Mitigation Controls. As a requirement of the FAA, the Financial Agent shall maintain and enforce corporate-wide policies and procedures addressing potential conflicts of interests in the following areas. For purposes of this exhibit, the specific policies and procedures developed and implemented to address potential conflicts of interest regarding its work under the FAA are collectively referred to as the Conflicts of Interest Mitigation Controls. The Conflicts of Interest Mitigation Controls shall apply to the Financial Agent, Named Individuals during their period of secondment to the Financial Agent and during the Cooling Off Period, any affiliates providing services under the FAA, their collective employees, contractors providing services, and their contractors’ employees that provide services under the FAA.
Sample 1
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Conflicts of Interest Mitigation Controls. The Financial Agent and the Treasury agree that the TARP’s investment objectives, trade operations and policies, as well as the Financial Agent’s business, are likely to evolve over the term of the TARP. The Financial Agent shall inform the Treasury and negotiate in good faith all proposed material changes to the Conflicts of Interest Mitigation Controls prior to their adoption and Treasury retains the option of disapproving any proposed material change, in which case the Financial Agent agrees not to change such control. The Financial Agent and the Treasury agree to negotiate and resolve any such proposed changes in good faith and as quickly as reasonably possible. In addition, the Financial Agent shall promptly notify the Treasury of any changes to the Code of Conduct(s) of the Financial Agent. EXHIBIT G NON-DISCLOSURE AGREEMENT FOR NAMED INDIVIDUALS Conditional Access to Nonpublic Information I, , employee of Xxxxx, Xxxxxxxx and Xxxxx, Inc., having been seconded to KBW Asset Management, Inc. (“KBWAM”), hereby consent to the terms in this Agreement in consideration of my being granted conditional access to certain United States Government nonpublic information. I understand and agree to the following terms and conditions:
Sample 1
Conflicts of Interest Mitigation Controls. As a requirement of the FAA, the Financial Agent shall maintain and enforce corporate-wide policies and procedures that address the following general conflicts of interest mitigation controls. For purposes of this exhibit, the specific policies and procedures maintained, developed and implemented to address conflicts of interest regarding work under this FAA are collectively referred to as and are set forth below under the heading “Conflicts of Interest Mitigation Controls.” The Conflicts of Interest Mitigation Controls shall apply to the Financial Agent, any Named Affiliates and their collective employees. In addition, the Conflicts of Interest Mitigation Controls shall apply to all contractors and their employees providing services under the FAA unless a separate conflicts of interest mitigation plan has been submitted by the Financial Agent and agreed to by the Treasury.
Sample 1

Related to Conflicts of Interest Mitigation Controls

  • Conflicts of Interests The Company shall use its best efforts to ensure that the Company's employees, during the term of their employment with the Company, do not engage in activities that would result in a conflict of interest with the Company. The Company's obligations hereunder include, but are not limited to, requiring that the Company's employees devote their primary productive time, ability, and attention, to the business of the Company (provided, however, the Company's employees may engage in other business activity if such activity does not materially interfere with their obligations to the Company), requiring that the Company's employees enter into agreements regarding proprietary information and confidentiality and preventing the Company's employees from engaging or participating in any business that is in competition with the business of the Company.

  • Conflicts of Interest The Parties confirm that they have not offered, given, or accepted, nor intend to give at any time hereafter any economic opportunity, future employment, gift, loan, gratuity, special discount, trip, favor, service to the other in connection with this Agreement. Vendor affirms that, to the best of Vendor’s knowledge, this Agreement has been arrived at independently, and is awarded without collusion with anyone to obtain information or gain any favoritism that would in any way limit competition or give an unfair advantage over other vendors in the award of this Agreement. Vendor agrees that it has disclosed any necessary affiliations with Region 8 Education Service Center and the TIPS Department, if any, through the Conflict of Interest attachment provided in the solicitation resulting in this Agreement.

  • No Conflicts of Interest A. Contractor represents and warrants that it has no actual or potential conflicts of interest in providing the requested goods or services to System Agency under this Contract or any related Solicitation and that Contractor’s provision of the requested goods and/or services under this Contract and any related Solicitation will not constitute an actual or potential conflict of interest or reasonably create an appearance of impropriety.

  • Conflicts of Interest Prohibited Conflicts of interest, including those arising from University or outside activities, are prohibited. Employees are responsible for resolving such conflicts of interest, working in conjunction with their supervisors and other University officials.

  • Organizational Conflicts of Interest (a) The Contractor warrants that to the best of its knowledge and belief and except as otherwise disclosed, it does not have any organizational conflict of interest which is defined as a situation in which the nature of work under this contract and a contractor's organizational, financial, contractual or other interests are such that:

  • COMPLIANCE OF LAWS, NOTIFICATIONS ETC. BY PARTIES The Parties are entering into this Agreement for the allotment of a [Apartment/Plot] with the full knowledge of all laws, rules, regulations, notifications applicable to the project.

  • COMPLIANCE OF LAWS, NOTIFICATIONS ETC BY PARTIES: The Parties are entering into this Agreement for the allotment of the Apartment with the full knowledge of all laws, rules, regulations, notifications applicable to the project.

  • COMPLIANCE OF LAWS, NOTIFICATIONS XXX.XX PARTIES The Parties are entering into this Agreement for the allotment of a Apartment with the full knowledge of all laws, rules, regulations, notifications applicable to the project.

  • Conflicts with RS Means Unit Price Book If the terms of the solicitation referenced RS Means Unit Price Book occur, the RS Means Book shall control if it determines the legality of the solicitation award as it relates to the requisite Means Unit Price Book.

  • Conflicts Between Terms If an apparent conflict or inconsistency exists between the main body of this Agreement and the Exhibits, the main body of this Agreement shall control. If a conflict exists between an applicable federal, state, or local law, rule, regulation, order, or code and this Agreement, the law, rule, regulation, order, or code shall control. Varying degrees of stringency among the main body of this Agreement, the Exhibits, and laws, rules, regulations, orders, or codes are not deemed conflicts, and the most stringent requirement shall control. Each Party shall notify the other immediately upon the identification of any apparent conflict or inconsistency concerning this Agreement.

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