LEGAL COMPLIANCE. This Agreement and any transaction with, or payment to, you pursuant to the terms hereof is conditioned on your representation to us that, as of the date of this Agreement you are, and at all times during its effectiveness you will be, a bank as defined in Section 3(a)(6) of the Securities Exchange Act of 1934 (or other financial institution) and not otherwise required to register as a broker or dealer under such Act. You agree to notify us promptly in writing if this representation ceases to be true. You also agree that, regardless of whether you are a member of the NASD, you will comply with the rules of the NASD, including, in particular, Sections 2310, IM 2310-2, and 2830 of the NASD Conduct Rules, and that you will maintain adequate records with respect to your customers and their transactions, and that such transactions will be without recourse against you by your customers. We recognize that, in addition to applicable provisions of state and federal securities laws, you may be subject to the provisions of the Xxxxx-Xxxxxxxx Act and other laws governing, among other things, the conduct of activities by federal and state chartered and supervised financial institutions and their affiliated organizations. As such, you may be restricted in the activities that you may undertake and for which you may be paid, and, therefore, we recognize that you will not perform activities that are inconsistent with your statutory and regulatory obligations. Because you will be the only one having a direct relationship with the customer, you will be responsible in that relationship for insuring compliance with all laws and regulations, including those of all applicable federal and state regulatory authorities and bodies having jurisdiction over you or your customers to the extent applicable to securities purchases hereunder.
LEGAL COMPLIANCE. This Agreement and any transaction with, or payment to, you pursuant to the terms hereof is conditioned on your representation to us that, as of the date of this Agreement you are, and at all times during its effectiveness you will be: (a) a registered broker/dealer under the Securities Exchange Act of 1934 and qualified under applicable state securities laws in each jurisdiction in which you are required to be qualified to act as a broker/dealer in securities, and a member in good standing of the National Association of Securities Dealers, Inc. (the "NASD"); or (b) a foreign broker/dealer not eligible for membership in the NASD and otherwise in compliance with applicable U.S. federal and state securities laws. You agree to notify us promptly in writing and immediately suspend sales of Fund shares if this representation ceases to be true. You also agree that, whether you are a member of the NASD or a foreign broker/dealer not eligible for such membership, you will comply with the rules of the NASD including, in particular, Sections 2 and 26 of Article III thereof, and that you will maintain adequate records with respect to your transactions with the Funds.

Examples of LEGAL COMPLIANCE in a sentence

  • Continued attention will be placed on further improving the level of ICT governance maturity in the province.In Programme 5, Corporate Assurance, the establishment of the Chief Directorate: Legal Services was expanded, in line with PSO 12, to provide for a new directorate, namely the Legal Compliance Unit, the role of which will be to render pro-active compliance-related services, including compliance assessments and the provision of functional training opportunities.

  • The EC outlines four general levels of review: District Quality Control/Quality Assurance (DQC), Agency Technical Review (ATR), Independent External Peer Review (IEPR), and Policy and Legal Compliance Review.

  • In the event that a Board Member has a question about this policy, he or she should contact the Tennessee Department of Treasury’s Assistant Treasurer for Legal, Compliance and Audit.

  • In connection to such audit, Partner shall provide on request to the SAP’s Legal Compliance and Integrity Office information about margins anticipated on open opportunities or earned on closed opportunities.

  • The Assistant Treasurer for Legal, Compliance and Audit shall be responsible for compliance oversight with respect to applicable laws and rules relative to a Board Member conflict of interest.

More Definitions of LEGAL COMPLIANCE

LEGAL COMPLIANCE. WPI is not in breach of any laws, ordinances, statutes, regulations, by-laws, orders or decrees to which WPI is subject or which apply to it or any of its assets.
LEGAL COMPLIANCE. We will share information about you if state or federal laws require it, including with the Department of Health and Human Services if it wants to see that we are complying with federal privacy law. Medical Examiners & Funeral Directors: We can share health information with a coroner, medical examiner, or funeral director when an individual dies. Organ and Tissue Donation: We can share health information about you with organ procurement organizations. Public Health & Safety: • Preventing disease. • Helping with product recalls. • Reporting adverse reactions to medications. • Reporting suspected abuse, neglect, or domestic violence. • Preventing or reducing a serious threat to anyone’s health or safety. Research: We can use or share your information for health research. OUR RESPONSIBILITIES • We are required by law to maintain the privacy and security of your protected health information.** • We will let you know promptly if a breach occurs that may have compromised the privacy or security of your information. • We must follow the duties and privacy practices described in this Notice and give you a copy of it. • We will not use or share your information other than as described in this Notice, unless you tell us we can in writing. If you tell us we can, you may change your mind at any time. Let us know in writing if you change your mind. • We can change the terms of this Notice, and the changes will apply to all information we have about you. The new Notice will be available upon request, in our office, and on our website. ** For more information see: Authorization for Release of Medical Information Patient Name: Date of Birth: Date of Request: Record from Provider: Address of Provider:
LEGAL COMPLIANCE means the HQ legal department;
LEGAL COMPLIANCE. You represent and warrant that in using the Tixy Services, you shall comply will all applicable local, regional, national and international laws, regulations, codes of practice and the terms of this Agreement. You further warrant that you are aged 18 years or over and can enter into legally binding contracts. ● Tax Indemnity: You agree that Tixy is not in any way responsible for the accuracy or suitability of any payment of taxes to any entity on your behalf (whether Buyer and/or Seller). If in using the Tixy Services you are trading as a business, you hereby indemnify and hold Tixy harmless against all liabilities, costs, interests and expenses (including reasonable legal fees) incurred by Tixy that arise out of any third party or governmental claim that involves, relates to or concerns any local, regional, national or international tax obligation or amounts due or owing under any tax regulation, order, law or decree or any dispute concerned the tax status of Tixy. ● General Indemnity: You agree to indemnify and hold Tixy and its parents and affiliated companies, suppliers, advertisers and sponsors, and each of their officers, directors, employees, agents, legal representatives and sub- contractors (the “Indemnified Parties”) harmless against any claim or demand and all liabilities, costs and expenses (including reasonable legal fees and costs) incurred by an Indemnified Party arising as a result of or in connection with your use of the Website, breach of this Agreement (including any misuse of the Tixy Services) and/or your violation of any law or the rights of a third party. We reserve the right to take exclusive control and defense of any claim, and you will cooperate fully with us in asserting any available defenses. DISCLAIMERS ● Tixy Disclaimer: Tixy disclaims any and all liability for the acts, omissions and conduct of any third-party users, Users, advertisers and/or sponsors on the Website, in connection with the Tixy Services or otherwise related to your use of the Website and/or the Tixy Services. Tixy is not responsible for the products, services, actions or failure to act of any venue, performer, promoter or other third party in connection with or referenced on the Website. Without limiting the foregoing, you may report the misconduct of Users and/or third party advertisers, service and/ or product providers referenced on or included in the Tixy solution. Tixy may investigate a claim and take appropriate action, in its sole discretion.
LEGAL COMPLIANCE. Except as set forth on Schedule 5.24 hereto, no material claim has been filed against the Company alleging a violation of any applicable law or regulation of any foreign, federal, state or local government thereof.