Surveillance and Suspicious Activity Reporting Sample Clauses

Surveillance and Suspicious Activity Reporting. (a) Omnibus Account Holder shall conduct surveillance of its clients activities including, without limitation, reviewing trading, deposits, withdrawals, transfers of funds and other account activity for the purpose of detecting suspicious transactions or other activity that may involve money laundering, terrorist activity or other illegal conduct.
Sample 1
AutoNDA by SimpleDocs
Surveillance and Suspicious Activity Reporting. The Introducing Broker shall conduct surveillance of the activity in the Fully Disclosed Accounts including, without limitation, reviewing account activity for the purpose of detecting suspicious transactions or other account activity that may involve money laundering, terrorist financing activity or other illegal conduct. The Introducing Broker shall notify IBIE's AML Compliance Officer regarding any account activity the Introducing Broker knows or has reason to suspect: involves funds related to money laundering, terrorist financing activity or any other illegal conduct; is intended or conducted in order to hide or disguise funds or assets derived from illegal activity; is designed to evade laws or regulations; involves the use of IBIE or the Introducing Broker to facilitate criminal activity; is not legitimate, has no business or apparent purpose or is not the sort of transactions in which the particular Client would normally be expected to engage (and there is no reasonable explanation therefor); is otherwise suspicious; or could support the filing of a suspicious activity report ("SAR") of any kind. Such notice shall be provided by the Introducing Broker as soon as practical after identifying the activity and, in any event, prior to filing a SAR. The Introducing Broker shall communicate with IBIE about the account activity for the purposes of sharing information about the activity and shall provide IBIE with any information or documentation regarding the activity, the responsible Client or related persons that IBIE, in its sole discretion, believes is necessary or appropriate to fulfil its obligations. The Introducing Broker shall provide IBIE with copies of all SARs and other communications it files with any exchange or governmental, regulatory or self- regulatory body regarding the activity. The Introducing Broker shall take any action that IBIE may request in connection with such activity, whether the activity was detected by the Introducing Broker, IBIE or both.
Sample 1
Surveillance and Suspicious Activity Reporting. IBIE shall operate various automated surveillance programs that are designed to detect suspicious transactions and activity that may involve money laundering, terrorist activity or other illegal conduct. The actual systems and tools used by IBIE for these purposes may vary from time to time, at IBIE's discretion. Where IBIE believes that it is necessary or appropriate to do so, IBIE and/or its affiliates will file a report with appropriate authorities. By conducting such surveillance and filing such reports, IBIE does not thereby assume any responsibility of the Introducing Broker for conducting surveillance of the activity in the accounts of the Clients nor to report any suspicious activity therein under any other law or regulation.
Sample 1
Surveillance and Suspicious Activity Reporting a. Introducing Broker shall conduct surveillance of the activity in the Accounts including, without limitation, reviewing account activity for the purpose of detecting suspicious transactions or other account activity that may involve money laundering, terrorist activity or other illegal conduct.
Sample 1
Surveillance and Suspicious Activity Reporting. IBUK shall operate various automated surveillance programs that are designed to detect suspicious transactions and activity that may involve money laundering, terrorist activity or other illegal conduct. The actual systems and tools used by IBUK for these purposes may vary from time to time, at IBUK's discretion. Where IBUK believes that it is necessary or appropriate to do so, IBUK and/or its Affiliates will file a report with appropriate authorities. By conducting such surveillance and filing such reports, IBUK does not thereby assume any responsibility of the Introducing Broker for conducting surveillance of the activity in the accounts of the Introducing Broker's customers nor to report any suspicious activity therein under any other law or regulation.
Sample 1
Surveillance and Suspicious Activity Reporting. (a) Master Account Holder shall conduct surveillance of the activity in the Subsidiary Accounts including, without limitation, reviewing trading, deposits, withdrawals, transfers of funds and other account activity for the purpose of detecting suspicious transactions or other activity that may involve money laundering, terrorist activity or other illegal conduct.
Sample 1

Related to Surveillance and Suspicious Activity Reporting

  • Diversity Reporting Upon request, the Contractor will report to the Department its spend with business enterprises certified by the OSD. These reports must include the time period covered, the name and Federal Employer Identification Number of each business enterprise utilized during the period, commodities and contractual services provided by the business enterprise, and the amount paid to the business enterprise on behalf of each agency purchasing under the Contract.

  • Research Use Reporting To assure adherence to NIH GDS Policy, the PI agrees to provide annual Progress Updates as part of the annual Project Renewal or Project Close-out processes, prior to the expiration of the one (1) year data access period. The PI who is seeking Renewal or Close-out of a project agree to complete the appropriate online forms and provide specific information such as how the data have been used, including publications or presentations that resulted from the use of the requested dataset(s), a summary of any plans for future research use (if the PI is seeking renewal), any violations of the terms of access described within this Agreement and the implemented remediation, and information on any downstream intellectual property generated from the data. The PI also may include general comments regarding suggestions for improving the data access process in general. Information provided in the progress updates helps NIH evaluate program activities and may be considered by the NIH GDS governance committees as part of NIH’s effort to provide ongoing stewardship of data sharing activities subject to the NIH GDS Policy.

  • Management Reporting (a) Provide periodic reports, in accordance with agreed upon frequency and content parameters, to the Funds. As reasonably requested by the Funds, the Transfer Agent shall furnish ad hoc reports to the Funds.

  • Adverse Event Reporting Both Parties acknowledge the obligation to comply with the Protocol and / or applicable regulations governing the collection and reporting of adverse events of which they may become aware during the course of the Clinical Trial. Both Parties agree to fulfil and ensure that their Agents fulfil regulatory requirements with respect to the reporting of adverse events.

  • Incident Reporting Transfer Agent will use commercially reasonable efforts to promptly furnish to Fund information that Transfer Agent has regarding the general circumstances and extent of such unauthorized access to the Fund Data.

  • Regulatory Reporting Ultimus agrees to provide reports to the federal and applicable state authorities, including the SEC, and to the Funds’ Auditors. Applicable state authorities are those governmental agencies located in states in which the Fund is registered to sell shares.

  • CHILD ABUSE REPORTING CONTRACTOR hereby agrees to annually train all staff members, including volunteers, so that they are familiar with and agree to adhere to its own child and dependent adult abuse reporting obligations and procedures as specified in California Penal Code section 11165.7, AB 1432, and Education Code 44691. To protect the privacy rights of all parties involved (i.e., reporter, child and alleged abuser), reports will remain confidential as required by law and professional ethical mandates. A written statement acknowledging the legal requirements of such reporting and verification of staff adherence to such reporting shall be submitted to the LEA.

  • Information Reporting (a) The Fund agrees that, during the Current Special Rate Period and so long as BANA or any Affiliate thereof is the beneficial owner of any Outstanding VRDP Shares, it will deliver, or direct the Tender and Paying Agent to deliver, to BANA and any such Affiliate:

  • Substance Abuse Treatment Information Substance abuse treatment information shall be maintained in compliance with 42 C.F.R. Part 2 if the Party or subcontractor(s) are Part 2 covered programs, or if substance abuse treatment information is received from a Part 2 covered program by the Party or subcontractor(s).

  • Accident Reporting 25.1 If You or an Authorised Driver has an Accident or if the Vehicle is stolen You must report the Accident or theft to Us within 24 hours of it occurring and fully complete an Accident/Theft report form.

Time is Money Join Law Insider Premium to draft better contracts faster.