Disclosure to Regulators Clause Samples
The 'Disclosure to Regulators' clause permits or requires a party to share certain information with governmental or regulatory authorities when legally mandated. In practice, this clause typically applies to confidential or sensitive information that may otherwise be protected under the agreement, and it outlines the circumstances under which such disclosures are allowed, such as in response to a subpoena or regulatory inquiry. Its core function is to ensure compliance with legal obligations while clarifying that such disclosures do not constitute a breach of confidentiality, thereby protecting parties from liability when responding to regulatory demands.
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Disclosure to Regulators. If USL receives any request for information on any Transaction relating to any of the Client’s Account by any regulators in Hong Kong or elsewhere including but not limited to the SFC and the Exchange, even if the Client’s account has been terminated prior to such request: (a) The Client hereby authorizes USL to provide the required information to the regulators according to the request, where USL already has such information; (b) The Client shall, upon USL’s request, provide the required information to USL or the relevant regulators within two (2) Business Days of such regulator’s request, where USL does not have such information; (c) The Client shall, within two (2) Business Days of such regulator’s request, inform USL or the relevant regulators of the identity, address, contact details and other relevant identification information of any beneficiary (“underlying client”) or originator of instructions in respect of the Client's Account, where the Client acts as an intermediary of and effects trades for the benefit of such third party(ies), and where the Client effects trades for discretionary accounts, discretionary trusts or collective investment schemes, the Client shall also provide USL or the relevant regulators with the identification information of such accounts, trusts or schemes and their managers, and whenever the manager’s discretion is overridden by the beneficiary or any other persons, the identification information of such beneficiary or any other persons who has overridden the manager’s discretion, and whenever the manager’s discretion is overridden, the Client shall immediately inform USL such information in writing; (d) The Client, where acting as an intermediary, shall make arrangements with such underlying client(s) or any third party(ies) to ensure or procure the provision of such identification information of its underlying clients, together with their written consents for the provision of such information and/or waivers of any benefits of the secrecy or personal data protection laws that prohibit disclosure, to the regulators; and (e) The Client shall, upon USL’s request, immediately provide, or authorize USL to provide, the aforesaid relevant identification information to any regulatory authority in Hong Kong or any other jurisdiction within two (2) Business Days of the regulator’s request.
Disclosure to Regulators. If GTJAS receives any request for information on any Transaction relating to any of the Client’s Account (including where applicable information relating to the Client’s underlying clients and transactions therewith) by any regulators in Hong Kong or elsewhere including but not limited to the SFC and the Exchange, even if the Client’s account has been terminated prior to such request: (a) The Client hereby authorizes GTJAS to provide the required information to the regulators according to the request, where GTJAS already has such information; (b) The Client shall, upon GTJAS’s request, provide the required information to GTJAS or the relevant regulators within two (2) Business Days of such regulator’s request, where GTJAS does not have such information; (c) The Client will, within two (2) Business Days of such regulator’s request, inform GTJAS or the relevant regulators the identity, address, contact details and other relevant identification information (collectively the “identity information” or “identification information”) of any third party(ies), where the Client acts as an intermediary of and effect trades for the benefit of such third party(ies), if the Client effects a transaction for discretionary accounts, discretionary trusts and/or collective investment scheme, their identity information, those of their managers and whenever the manager’s discretion is overridden by other persons; (d) The Client, if it acts as an intermediary, shall make arrangements with such third party(ies) to ensure or procure the provision of such identity information of its underlying clients, including the written consent and/or waiver of any benefits of the secrecy or personal data protection laws that prohibits disclosure be made to the regulators; and (e) The Client will, upon GTJAS’ request, immediately provide directly or authorize GTJAS to provide the aforesaid relevant information to any government or regulatory authority in Hong Kong or any other jurisdiction. The Client agrees to indemnify GTJAS against all Loss incurred by GTJAS as a result of any delay or failure of the above obligations of the Client to provide information as requested by the regulator.
Disclosure to Regulators. If Bigboss receives any legitimate request for information on any transaction relating to any of the Client’s Account by any regulators in Saint ▇▇▇▇▇▇▇ and the Grenadines, even if the Client’s Account has been terminated prior to such request: (a) the Client will provide the required information within two Business Days of Bigboss’s request; (b) the Client will, within two Business Days, inform Bigboss of the identity, address and contact details of any third party(ies), whereas the Client acts as an intermediary of and effect trades for the benefit of such third party(ies); (c) the Client will, upon Bigboss’s request, immediately provide or authorize Bigboss to provide the relevant information to any government or regulatory authority in any other jurisdiction.
Disclosure to Regulators. If BullBear receives any legitimate request for information on any transaction relating to any of the Client’s Account by any regulators in Georgia, even if the Client’s Account has been terminated prior to such request: (a) the Client will provide the required information within two Business Days of BullBear request; (b) the Client will, within two Business Days, inform BullBear of the identity, address and contact details of any third party(ies), whereas the Client acts as an intermediary of and effect trades for the benefit of such third party(ies); (c) the Client will, upon BullBear request, immediately provide or authorize BullBear to provide the relevant information to any government or regulatory authority in any other jurisdiction.
Disclosure to Regulators. If ▇▇▇▇▇▇▇ receives any legitimate request for information on any Transaction relating to any of the Client’s Account by any regulators in Hong Kong including but not limited to the SFC and the Exchange, even if the Client’s Account has been terminated prior to such request: (a) the Client will provide the required information within two (2) Business Days of ZHANLIN ’s request; (b) the Client will , within two (2) Business Days, inform ▇▇▇▇▇▇▇ or Hong Kong regulators of the identity, address and contact details of any third party(ies), whereas the Client acts as an intermediary of and effect trades for the benefit of such third party(is);(c)the Client will, upon ▇▇▇▇▇▇▇ ’s request, immediately provide or authorize ZHANLIN to provide the relevant information to any government or regulatory authority in any other jurisdiction.
Disclosure to Regulators. If Suntek receives any request for information on any Transaction relating to any of the Account by any regulators in Hong Kong or elsewhere including but not limited to the SFC and the Exchange, even if the Account has been terminated prior to such request: (a) the Client shall provide the required information within two
Disclosure to Regulators. If GTJAS receives any request for information on any Transaction relating to any of the Client’s Account by any regulators in Hong Kong or elsewhere including but not limited to the SFC and the Exchange, even if the Client’s account has been terminated prior to such request: (a) The Client hereby authorizes GTJAS to provide the required information to the regulators according to the request, where GTJAS already has such information; (b) The Client shall, upon GTJAS’s request, provide the required information to GTJAS or the relevant regulators within two (2) Business Days of such regulator’s request, where GTJAS does not have such information; (c) The Client shall, within two
Disclosure to Regulators. If USPL receives any request for information on any Transaction relating to any of the Client’s Account by any regulators in Singapore or elsewhere including but not limited to the MAS and the Exchange, even if the Client’s account has been terminated prior to such request: (a) the Client hereby authorises USPL to provide the required information to the regulators according to the request, where USPL already has such information; (b) the Client shall, upon USPL’s request, provide the required information to USPL or the relevant regulators within two (2) Business Days of such regulator’s request, where USPL does not have such information; (c) the Client shall, within two (2) Business Days of such regulator’s request, inform USPL or the relevant regulators of the identity, address, contact details and other relevant identification information of any beneficiary (“underlying client”) or originator of instructions in respect of the Client's Account, where the Client acts as an
Disclosure to Regulators. If ▇▇▇▇▇▇▇ receives any legitimate request for information on any Transaction relating to any of the Client’s Account by any regulators in Hong Kong including but not limited to the SFC and the Exchange, even if the Client’s Account has been terminated prior to such request: (a) the Client will provide the required information within two (2) Business Days of ZHANLIN ’s request; (b) the Client will , within two (2) Business Days, inform ▇▇▇▇▇▇▇ or Hong Kong regulators of the identity, address and contact details of any third party(ies), whereas the Client acts as an intermediary of and effect trades for the benefit of such third party(is);(c)the Client will, upon ▇▇▇▇▇▇▇ ’s request, immediately provide or authorize ZHANLIN to provide the relevant information to any government or regulatory authority in any other jurisdiction.