DEALING DISCLOSURE. In accordance with Rule 3.8 of the Takeovers Code, the associates (as defined under the Takeovers Code and including a person who owns or controls 5% or more of any class of relevant securities) of the Company and the Offeror (within the meaning of the Takeovers Code) are hereby reminded to disclose their dealings in the relevant securities of the Company pursuant to the Takeovers Code. In accordance with Rule 3.8 of the Takeovers Code, the full text of Note 11 to Rule 22 of the Takeovers Code is reproduced below: “Responsibilities of stockbrokers, banks and other intermediaries Xxxxxxxxxxxx, banks and others who deal in relevant securities on behalf of clients have a general duty to ensure, so far as they are able, that those clients are aware of the disclosure obligations attaching to associates and other persons under Rule 22 of the Takeovers Code and that those clients are willing to comply with them. Principal traders and dealers who deal directly with investors should, in appropriate cases, likewise draw attention to the relevant rules of the Takeovers Code. However, this does not apply when the total value of dealings (excluding stamp duty and commission) in any relevant security undertaken for a client during any 7-day period is less than HK$1 million. This dispensation does not alter the obligation of principals, associates and other persons themselves to initiate disclosure of their own dealings, whatever total value is involved. Intermediaries are expected to co-operate with the Executive in its dealings enquiries. Therefore, those who deal in relevant securities should appreciate that stockbrokers and other intermediaries will supply the Executive with relevant information as to those dealings, including identities of clients, as part of that co-operation.”
DEALING DISCLOSURE. 13 This provision is only applicable if ATTORNEY is operating as a corporation (a 14 for-profit or non-profit corporation) or if during the term of this Agreement, ATTORNEY 15 changes its status to operate as a corporation. 16 Members of ATTORNEY’s Board of Directors shall disclose any self-dealing 17 transactions that they are a party to while ATTORNEY is providing goods or performing 18 services under this Agreement. A self-dealing transaction shall mean a transaction to 19 which ATTORNEY is a party and in which one or more of its directors has a material 20 financial interest. Members of the Board of Directors shall disclose any self-dealing 21 transactions that they are a party to by completing and signing a Self-Dealing 22 Transaction Disclosure Form (Exhibit G) and submitting it to COUNTY prior to 23 commencing with the self-dealing transaction or immediately thereafter. 24 25 Section 29 – CONTRACT ADMINISTRATOR 26 COUNTY’s Contract Administrator for this Agreement is the Fresno County 27 Administrative Officer or designee. Such designee can be made from time to time 28 as necessary by letter to ATTORNEY from the County Administrative Officer. 29 30 Section 30 - CERTIFICATION REGARDING DEBARMENT, SUSPENSION AND 31 OTHER RESPONSIBILITY MATTERS 1 ATTORNEY must sign an appropriate Certification Regarding Debarment, 2 Suspension, and Other Responsibility Matters. Additionally, the ATTORNEY must 3 immediately advise COUNTY in writing if, during the term of the agreement: (1) 4 ATTORNEY, or any attorney, employed or subcontracted, becomes suspended, 5 debarred, excluded or ineligible for participation in federal or state funded 6 programs or from receiving federal funds as listed in the excluded parties list 7 system (xxxx://xxx.xxxx.xxx); or (2) during the applicable term of this Agreement, 8 ATTORNEY, including employees, agents and subcontractors, is convicted or, or 9 had a civil judgment rendered against them for:
DEALING DISCLOSURE. In accordance with Rule 3.8 of the Takeovers Code, associates (as defined under the Takeovers Code) of the Company and the Offeror (including persons who own or control 5% or more of any class of relevant securities issued by the Company or the Offeror) are hereby reminded to disclose their dealings in the securities of the Company pursuant to the Takeovers Code. In accordance with Rule 3.8 of the Takeovers Code, the full text of Note 11 to Rule 22 of the Takeovers Code is reproduced below: ‘‘Responsibilities of stockbrokers, banks and other intermediaries Xxxxxxxxxxxx, banks and others who deal in relevant securities on behalf of clients have a general duty to ensure, so far as they are able, that those clients are aware of the disclosure obligations attaching to associates and other persons under Rule 22 of the Takeovers Code and that those clients are willing to comply with them. Principal traders and dealers who deal directly with investors should, in appropriate cases, likewise draw attention to the relevant rules of the Takeovers Code. However, this does not apply when the total value of dealings (excluding stamp duty and commission) in any relevant security undertaken for a client during any 7 day period is less than HK$1 million. This dispensation does not alter the obligation of principals, associates and other persons themselves to initiate disclosure of their own dealings, whatever total value is involved. Intermediates are expected to co-operate with the Executive in its dealings enquiries. Therefore, those who deal in relevant securities should appreciate that stockbrokers and other intermediates will supply the Executive with relevant information as to those dealings, including identities of clients, as part of that co-operation.’’
DEALING DISCLOSURE. Xxxxxxxxxxxx, banks and others who deal in relevant securities on behalf of clients have a general duty to ensure, so far as they are able, that those clients are aware of the disclosure obligations attaching to associates and other persons under Rule 22 of the Takeovers Code and that those clients are willing to comply with them. Principal traders and dealers who deal directly with investors should, in appropriate cases, likewise draw attention to the relevant rules of the Takeovers Code. However, this does not apply when the total value of dealings (excluding stamp duty and commission) in any relevant security undertaken for a client during any 7-day period is less than HK$1 million. This dispensation does not alter the obligation of principals, associates and other persons themselves to initiate disclosure of their own dealings, whatever total value is involved. Intermediates are expected to co-operate with the Executive in its dealings enquiries. Therefore, those who deal in relevant securities should appreciate that stockbrokers and other intermediates will supply the Executive with relevant information as to those dealings, including identities of clients, as part of that co-operation. Any associates of the Company, the Offeror and parties acting in concert with them are reminded to disclose their dealings in any securities of the Company.
