Prime Broker Restrictions; Payment of Fees Sample Clauses

Prime Broker Restrictions; Payment of Fees. You acknowledge and agree that any Prime Broker Member may, at any time and without prior notice to you, bar or restrict your ability to act as a Prime Broker Client with respect to and execute Give-up Transactions on behalf of such Prime Broker Member. You further acknowledge and agree that, as between you and your Prime Broker Members, you shall be solely responsible for the payment of all fees due and owing to us, in accordance with this Agreement, in respect of any and all Give-up Transactions entered into by you on behalf of any of your Prime Broker Members.
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Prime Broker Restrictions; Payment of Fees. You acknowledge and agree that any Prime Broker Member may, at any time and without prior notice to you, bar or restrict your ability to act as a Prime Broker Client with respect to and execute Give-up Transactions on behalf of such Prime Broker Member. You further acknowledge and agree that, as between you and your Prime Broker Members, you shall be solely responsible for the payment of all fees due and owing to us, in accordance with this Agreement, in respect of any and all Give-up Transactions entered into by you on behalf of any of your Prime Broker Members. NO ADVICE We are not soliciting any action based upon use of any of Finalto Online Systems. We do not make any recommendation as to the suitability of any investment or proposed Transaction. You acknowledge that we will not, and are under no duty to, provide advice in relation to any such Transaction or proposed Transaction through any of Finalto Online Systems. You agree that: Finalto Online Systems are not and will not be the basis for any of your investment decisions; and You are solely responsible for (i) any investment or trading decision you make with respect to product available via Finalto Online Systems, and (ii) determining whether any transaction is suitable, appropriate or advisable for you or your Counterparties. Provisions of Finalto Online Systems do not make us an advisor or fiduciary for you or your managed or fiduciary accounts. This Annex 1 does not constitute an offer to sell or solicitation of an offer to buy securities or other Financial Instruments.

Related to Prime Broker Restrictions; Payment of Fees

  • Other Restrictions (a) The Restricted Stock Units shall be subject to the requirement that, if at any time the Committee shall determine that (i) the listing, registration or qualification of the Shares subject or related thereto upon any securities exchange or under any state or federal law is required, or (ii) the consent or approval of any government regulatory body is required, then in any such event, the grant of Restricted Stock Units shall not be effective unless such listing, registration, qualification, consent or approval shall have been effected or obtained free of any conditions not acceptable to the Committee.

  • Billing for Treatment and Payment Restrictions Grantees will;

  • Transfer Restrictions If, at the time of the surrender of this Warrant in connection with any transfer of this Warrant, the transfer of this Warrant shall not be either (i) registered pursuant to an effective registration statement under the Securities Act and under applicable state securities or blue sky laws or (ii) eligible for resale without volume or manner-of-sale restrictions or current public information requirements pursuant to Rule 144, the Company may require, as a condition of allowing such transfer, that the Holder or transferee of this Warrant, as the case may be, comply with the provisions of Section 5.7 of the Purchase Agreement.

  • Further Restrictions Notwithstanding any contrary provision in this Agreement, in no event may any Transfer of a Unit be made by any Limited Partner or Assignee if:

  • Retention of Non-Transferred Obligations Any and all other rights and responsibilities of the NTO related to the ownership or operation of its transmission assets or to its rights to withdraw its assets from ISO control, that have not been specifically transferred to the ISO under this Agreement or otherwise addressed under this Agreement, will remain with the NTO.

  • Additional Restrictions In addition to any other restrictions on transfer contained in this Agreement, in no event may any Transfer of a Partnership Interest by any Partner or any redemption pursuant to Section 8.6 be made without the express consent of the General Partner, in its sole and absolute discretion, (i) to any person or entity who lacks the legal right, power or capacity to own a Partnership Interest; (ii) in violation of applicable law; (iii) of any component portion of a Partnership Interest, such as the Capital Account, or rights to distributions, separate and apart from all other components of a Partnership Interest; (iv) if in the opinion of the General Partner based on the advice of legal counsel, if appropriate, such Transfer would cause a termination of the Partnership for Federal or state income tax purposes (except as a result of a redemption of all Partnership Units held by all Limited Partners); (v) if in the opinion of the General Partner based on the advice of legal counsel, if appropriate, such Transfer would cause the Partnership to cease to be classified as a partnership for Federal income tax purposes (except as a result of a redemption of all Partnership Units held by all Limited Partners); (vi) if such Transfer requires the registration of such Partnership Interest pursuant to any applicable federal or state securities laws; (vii) if such Transfer would cause the Partnership to become a “publicly traded partnership,” as such term is defined in Section 7704(b) of the Code (provided that this clause (vii) shall not be the basis for limiting or restricting in any manner the exercise of the Redemption Right under Section 8.6 unless, and only to the extent that, outside tax counsel advises the General Partner that, in the absence of such limitation or restriction, there is a significant risk that the Partnership will be treated as a “publicly traded partnership” and, by reason thereof, taxable as a corporation); (viii) if such Transfer would cause the General Partner to own 10% or more of the ownership interests of any tenant of a property held by the Partnership within the meaning of Section 856(d)(2)(B) of the Code; (ix) if such Transfer would result in the General Partner being “closely held” within the meaning of Section 856(h) of the Code; or (x) if in the opinion the General Partner based on the advice of legal counsel, if appropriate, such Transfer would adversely affect the ability of the General Partner to continue to qualify as a REIT or subject the General Partner to any additional taxes under Section 857 or Section 4981 of the Code.

  • Employment Restrictions Executive is not currently a party to any non competition, non-solicitation, confidentiality or other work-related agreement that limits or restricts Executive’s ability to work in any particular field or in any particular geographic region, whether or not such agreement would be violated by this Agreement.

  • Certain Restrictions (A) Whenever quarterly dividends or other dividends or distributions payable on the Series A Preferred Stock as provided in Section 2 are in arrears, thereafter and until all accrued and unpaid dividends and distributions, whether or not declared, on shares of Series A Preferred Stock outstanding shall have been paid in full, the Corporation shall not:

  • RECORDS USAGE, DUPLICATION AND REDISCLOSURE RESTRICTIONS USAC and the Department agree to these restrictions on use, duplication, and disclosure of information furnished by the other Party:

  • Confidentiality Restrictions The Product is a trade secret, copyrighted and proprietary product. Licensee and its employees will keep the Product strictly confidential, and Licensee will not disclose or otherwise distribute or reproduce any Product to anyone other than as authorized under the terms of Contract. Licensee will not remove or destroy any proprietary markings of Contractor.

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