Information Barriers. Where necessary we maintain arrangements which restrict access by our employees to information relating to areas of our business (and that of Affiliates) with which, and the affairs of clients with whom, they are not directly concerned. Accordingly, we shall not be required to have regard to or disclose to you.
Information Barriers. CESL prevents the flow of information where the interests of customers of one business function may conflict with the interests of customers of another business function. This includes using a separate network with no shared systems and customer data access between the two business functions. Further, CESL insists on strict customer confidentiality to ensure that information is disclosed only to those entitled to receive it.
Information Barriers. You acknowledge and agree that:
Information Barriers. Where necessary we maintain arrangements which restrict access by our employees to information relating to areas of our business (and that of Affiliates) with which, and the affairs of clients with whom, they are not directly concerned. Accordingly, we shall not be required to have regard to or disclose to you or make use of any information which belongs to or is confidential to another client or to us or any Affiliate, and we may be unable to advise or deal with you in relation to particular investments without disclosing the reason for this. 信息障碍。 在有需要的情况下，我们会作出合适的安排以约束员工在没适当原因下对我们（或我们的相连公司）的商业和客户知讯的作出检索。相应地，我们不必看待或向您披露或利用任何可能属于其他客户、我们或我们的相连公司的或对其他客户、我们或我们的相连公司不作公开的资料，而我们因此可能在不能透露俱体情况下不就某些投资产品为您提出意见或成交。
Information Barriers. 9.13.1 Each Related Warehouse shall maintain effective information barriers between it and the relevant Trading Company as specified by the Exchange from time- to-time as set out in the Notice: Information barriers between Warehouse Companies and Trading Companies (Ref: 14/202: A195: W098), or any successor notice. The Related Warehouse shall engage a firm of professional accountants in public practice, the choice to be agreed with the Exchange, to assure that the information barriers it has in place meet the criteria specified by the Exchange, under such assurance standard(s) and in such manner as the Exchange may specify from time to time.
Information Barriers. Where necessary we maintain arrangements which restrict access by our employees to information relating to areas of our business (and that of Affiliates) with which, and the affairs of clients with whom, they are not directly concerned. Accordingly, we shall not be required to have regard to or disclose to you or make use of any information which belongs to or is confidential to another client or to us or any Affiliate, and we may be unable to advise or deal with you in relation to particular investments without disclosing the reason for this. يراجتلا انطاشن تلااجم صخت ًتلا تامولعملاو تاناٌبلا ىلع انٌفظوم علبطإ رظحل ةمزلبلا ةٌرورضلا مظنلاو تابٌترتلا ًعارن نحن :تامولعملا نع فشكلا دودح 11-4 لكشب لخدت وأ اضٌأ مهٌنعت لا ًتلاو انبلبمعب ةصاخلا نوبشلا ىلع مهعلبطإ رظح اضٌأو ،ءًش ًف مهلمع قاطن ًف لخدت لاو مهٌنعت لا ًتلاو )ةعباتلا انتاكرش ةطشنأو( وأ نٌرخآ ءلبمع صخت رارسأ وأ تامولعم ةٌأ للبؽتساب حامسلاب وأ ،نع كل ؾشكلاب وأ ،ىلع كعلبطإب نٌمزلم نوكن نل اننإف ،ةٌعبتلابو ؛ءًش ًف مهلمع ةرباد ًف رشابم ؾشكت نأ نود اهنؤشب كعم تلبماعملا ءارجإ وأ ،كٌلإ ةروشملاو حصنلا مٌدقت اننكمٌ لا دق ،تارامثتسلاا نم ةنٌعم ةٌعون كانه نأ امك ؛ةعباتلا انتاكرش نم يأ وأ نحن انصخت .تارامثتسلاا نم ةٌعونلا هذه كضوخ بابسأ نع انل
Information Barriers. The JPMC Group has established physical and electronic Information Barriers which are designed to prevent the exchange or misuse of material, non-public information obtained by various “insider” businesses of JPMC Group Employees within an “insider” business unit are prohibited from inappropriately passing on sensitive information to those in an “outside” business unit who cannot access the information. An Information barrier means that employees sit in separate premises with access and security control and Compliance Department monitoring. Asset Management
Information Barriers. The Company (i) acknowledges that the Investor has advised the Company that the Investor and its Affiliates are in the business of holding, investing and trading in securities, and (ii) so long as no information is disclosed in violation of Section 2.5, agrees that this Agreement shall not in any way restrict or limit the activities of the Investor, any of its Affiliates or any of their respective employees (or, for the avoidance of doubt, the Investor Nominee) in the business of holding, investing and trading in securities so long as such activities are in compliance with applicable securities laws, including, but not limited to, where (A) such activities are undertaken by the Investor, employees and/or their Affiliates (or, for the avoidance of doubt, the Investor Nominee) that are not then in possession of Confidential Information constituting material non-public information of the Company, (B) the Investor Nominee is subject to information barriers designed to protect the flow of Confidential Information constituting material non-public information to the Investor, other employees and Affiliates or (C) an affirmative defense pursuant to paragraph (c) of Rule 10b5-1 under the Exchange Act of 1934 is otherwise available.
Information Barriers. As noted above, this request for exemptive relief requires the specialist and affiliated organization to have Exchange approval under NYSE Rule 98 and its Guidelines. NYSE Rule 98 affords exemptive relief for entities in a control relationship with a specialist organization from restrictions in NYSE Rule 104, 104.13, 105, 113.20 and 460.10 that would otherwise be applicable to such entities’ transactions in securities in which the specialist organization is registered, or to business transaction with the issuers of such securities. Pursuant to Rule 98 and the implementing guidelines promulgated thereunder, the specialist organization and the affiliated entity must be operated as separate and distinct organizations, and information barriers must be established that place substantial limits on access to, and communication of, trading information, including positions and strategies, between the two organizations. Rule 98 exemptive relief is conditioned on the organizations’ receiving prior written approval from the Exchange. The functional separation procedures that must be implemented pursuant to Rule 98 preclude the transfer of market-sensitive information between a specialist organization and an affiliate, and minimize potential conflicts of interest whereby one entity might otherwise be inclined to take market action for the purpose of benefiting the other entity. The Exchange notes that the procedures specified in Rule 98 are consistent with procedures pertaining to the establishment of information barriers, monitoring of such barriers, and notice (in the case of Rule 98, to the Exchange) as described in the Commission’s recent exemptive letter to CS Holding (TP File No. 94–267). Through Exchange Rule 342 (Supervision), each member organization afforded exemptive relief under Rule 98 is required to monitor the procedures adopted to comply with the Guidelines. The Exchange inspects its member organizations afforded such relief on an annual basis for adherence to these supervisory requirements. Exchange Surveillance Since the adoption of Rule 10b–6 in 1955, the Exchange has made substantial investments in sophisticated surveillance procedures, including comprehensive audit trail submissions by member firms, and extensive use of software analytics designed to assist in reviewing this and other data available for such surveillance. For example, the Market Analysis and Reconstruction System (MARS) enables Exchange analysts to retrieve and review trading infor...
Information Barriers. The Company (i) acknowledges that the Investor has advised it that the Investor and its affiliates are in the business of holding, investing and trading in securities, and (ii) so long as no information is disclosed in violation of Sections 2 and 3, agrees that this Agreement shall not in any way restrict or limit the activities of the Investor, any of its affiliates or any of their respective employees (or, for the avoidance of doubt, the Observer) in the business of holding, investing and trading in securities so long as such activities are in compliance with applicable securities laws, including, but not limited to, where (A) such activities are undertaken by the Investor, employees and/or their affiliates (or, for the avoidance of doubt, the Observer) that are not then in possession of Information constituting material non-public information of the Company, (B) Observer is subject to information barriers designed to protect the flow of Information constituting material non-public information to the Investor, other employees and affiliates or (C) an affirmative defense pursuant to paragraph (c) of Rule 10b5-1 under the Securities Exchange Act of 1934, as amended, is otherwise available.
