Common use of Transaction Reporting Clause in Contracts

Transaction Reporting. (a) To enable CESL to comply with transaction reporting obligations under Applicable Law, the Client agrees to promptly deliver to CESL any information that CESL may from time to time request to enable CESL to complete and submit transaction reports to the FCA. The Client agrees that CESL may provide information about the Client or, where applicable, a principal, and Transactions executed with or for the Client or, where applicable, a principal, to competent authorities in the course of submitting transaction reports and to it making public relevant details of quotes provided to you and Transactions executed for you in accordance with Applicable Law.

Appears in 5 contracts

Samples: Client Brokerage Agreement, Cowen Execution Services, Cowen Execution Services

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