Common use of Scope of assistance Clause in Contracts

Scope of assistance. 1. To the extent permitted by their respective laws and regulations, the Authorities shall provide each other with the fullest mutual assistance in any matter falling within the competence of the Authorities, including in particular the following areas: a. investigations and enforcement in connection with applicable laws and regulations relating to insider dealing, market manipulation and other fraudulent or manipulative practices in the securities field, b. investigation and enforcement of, and monitoring compliance with, applicable laws and regulations relating to dealing in, advising on and the management, administration and safekeeping of securities, c. checking that the conditions for the taking up of (or continuing in) business as an Intermediary are met (including e.g. the enforcement of requirements to be authorized), d. enforcing and monitoring compliance with applicable laws and regulations relating to the disclosure of interests in securities, take-over bids or the acquisition of influence over financial intermediaries, e. the supervision of the financial markets, including the clearing and settlement, the monitoring and surveillance of transactions in securities listed on regulated markets, f. enforcing or monitoring compliance with applicable laws relating to the duties of issuers and offerors of securities in relation to the disclosure of information. 2. In cases where the information requested may be maintained by, or available to, another authority within the country of the Requested Authority, the Authorities will endeavour to provide full assistance in obtaining the information requested, to the extent permitted by their respective national laws and regulations. If necessary, the Requested Authority shall provide the Requesting Authority with sufficient information to establish direct contact between the Requesting Authority and the other authority. 3. The Requested Authority may refuse to act on a request for assistance where communication of the information might adversely affect the sovereignty, security or public policy of the State of the Requested Authority or where judicial proceedings for the imposition of criminal penalties have already been initiated in the jurisdiction of the Requested Authority, in respect of the same actions and against the same persons, or, on the grounds that the provision of assistance might result in a judicial or administrative sanction being imposed, where a non-appealable judicial or administrative sanction has already been imposed, in the jurisdiction of the Requested Authority, in respect of the same actions and against the same persons, or upon a consideration of whether broadly equivalent assistance would be available from the other authority. Nothing in this provision shall prevent the Requested Authority from refusing a request in accordance with its own domestic laws and regulations. 4. To the extent permitted by their respective national laws and regulations and without prior request, each Authority should provide the other Authority with any relevant factual information available to it and which it believes to be helpful to the other Authority for the discharge of its functions and for the purposes, which it may specify in the communication (unsolicited information).

Scope of assistance. 1. To the extent permitted by their respective laws Laws and regulationsRegulations, the Authorities shall will provide each other with the fullest mutual assistance in any matter matters falling within the competence of the Authorities, including in particular the following areas: a. investigations and enforcement in connection with applicable laws Laws and regulations Regulations relating to insider dealing, market manipulation and other fraudulent or manipulative practices in the securities field, b. investigation and enforcement of, and monitoring compliance with, applicable laws Laws and regulations Regulations relating to dealing in, advising on and the management, administration and safekeeping of securities, c. checking that the conditions for the taking up of (of, or continuing in) , business as an Intermediary are met (met, including e.g. the enforcement of requirements to be authorized), d. enforcing and monitoring compliance with applicable laws Laws and regulations Regulations relating to the disclosure of interests in securities, take-over takeover bids or the acquisition of influence over financial intermediaries, e. the supervision of the financial marketsFinancial Markets, including the clearing and settlementsettlement facilities, the monitoring and surveillance of OTC-transactions in securities listed on regulated markets, f. enforcing or monitoring compliance with applicable laws Laws and Regulations relating to the duties of issuers and offerors of securities in relation to the disclosure of information. 2. In cases where the information requested may be maintained by, or available to, another authority within the country of the Requested Authority, the Authorities Requested Authority will endeavour endeavor to provide full assistance in obtaining the information requested, to the extent permitted by their respective its national laws Laws and regulationsRegulations. If necessary, the Requested Authority shall will provide the Requesting Authority with sufficient information to establish direct contact between the Requesting Authority and the other authority. 3. The Requested Authority may refuse to act on a request for assistance where communication of the information might adversely affect the sovereignty, security or public policy of the State of the Requested Authority or where judicial proceedings for the imposition of criminal penalties have already been initiated in the jurisdiction of the Requested Authority, in respect of the same actions and against the same persons, or, persons or on the grounds that the provision of assistance might result in a judicial or administrative sanction being imposed, where a non-appealable judicial or administrative sanction has already been imposed, in the jurisdiction of the Requested Authority, in respect of the same actions and against the same persons, or upon a consideration of whether broadly equivalent assistance would be available from the other authority. Nothing in this provision shall prevent the Requested Authority from refusing a request in accordance with its own domestic laws Laws and regulationsRegulations. 4. To the extent permitted by their respective national laws Laws and regulations Regulations and without prior request, each Authority should will provide the other Authority with any relevant factual information available to it and which it believes to be helpful to the other Authority for the discharge of its functions and for the purposes, which it may specify in the communication (unsolicited information).

Scope of assistance. 1. To the extent permitted by their respective laws and regulations, the Authorities shall provide each other with the fullest mutual assistance in any matter falling within the competence of the Authorities, including in particular the following areas: a. investigations and enforcement in connection with applicable laws and regulations relating to insider dealing, market manipulation and other fraudulent or manipulative practices in the securities field, b. investigation and enforcement of, and monitoring compliance with, applicable laws and regulations relating to dealing in, advising on and the management, administration and safekeeping of securities, c. checking that the conditions for the taking up of (or continuing in) business as an Intermediary are met (including e.g. the enforcement of requirements to be authorized), d. enforcing and monitoring compliance with applicable laws and regulations relating to the disclosure of interests in securities, take-over bids or the acquisition of influence over financial intermediaries, e. the supervision of the financial markets, including the clearing and settlement, the monitoring and surveillance of transactions in securities listed on regulated markets, f. enforcing or monitoring compliance with applicable laws relating to the duties of issuers and offerors of securities in relation to the disclosure of information. 2. In cases where the information requested may be maintained by, or available to, another authority within the country of the Requested Authority, the Authorities will endeavour to provide full assistance in obtaining the information requested, to the extent permitted by their respective national laws and regulations. If necessary, the Requested Authority shall provide the Requesting Authority with sufficient information to establish direct contact between the Requesting Authority and the other authority. 3. The Requested Authority may refuse to act on a request for assistance where communication of the information might adversely affect the sovereignty, security or public policy of the State of the Requested Authority or where judicial proceedings for the imposition of criminal penalties have already been initiated in the jurisdiction of the Requested Authority, in respect of the same actions and against the same persons, or, on the grounds that the provision of assistance might result in a judicial or administrative sanction being imposed, where a non-non- appealable judicial or administrative sanction has already been imposed, in the jurisdiction of the Requested Authority, in respect of the same actions and against the same persons, or upon a consideration of whether broadly equivalent assistance would be available from the other authority. Nothing in this provision shall prevent the Requested Authority from refusing a request in accordance with its own domestic laws and regulations. 4. To the extent permitted by their respective national laws and regulations and without prior request, each Authority should provide the any other Authority with any relevant factual information available to it and which it believes to be helpful to the other Authority for the discharge of its functions and for the purposes, which it may specify in the communication (unsolicited information).

Scope of assistance. 1. To the extent permitted by their respective laws Laws and regulationsRegulations, the Authorities shall provide each other with the fullest mutual assistance in any matter matters falling within the competence of the Authorities, including in particular the following areas: a. investigations and enforcement in connection with applicable laws and regulations relating to insider dealing, market manipulation and other fraudulent or manipulative practices in the securities financial instruments field, b. investigation and enforcement of, and monitoring compliance with, applicable laws and regulations relating to dealing in, advising on and the management, administration and safekeeping of securitiesfinancial instruments, c. checking that the conditions for the taking up of (or continuing in) business as an Intermediary are met (including e.g. the enforcement of requirements to be authorized), d. enforcing and monitoring compliance with applicable laws and regulations relating to the disclosure of interests in securitiesfinancial instruments, take-over takeover bids or the acquisition of influence over financial intermediaries, e. the supervision of the financial markets, including the clearing and settlement, the monitoring and surveillance of transactions Over the Counter (OTC) transactions, in securities financial instruments listed on regulated markets,. f. enforcing or monitoring compliance with applicable laws and regulations relating to the duties of issuers and offerors of securities financial instruments in relation to the disclosure of information. g. any other matter agreed upon between the Authorities from time to time. 2. The assistance available under this Memorandum of Understanding may include, but is not limited to: (i) providing information and documents held in the files of the Requested Authority regarding the matters set forth in the request for assistance; (ii) taking statements from persons and obtaining documents and information from persons as defined in article 2.5, by the Requested Authority; (iii) conducting compliance inspections of financial intermediaries and financial markets, by the Requested Authority.. 3. In cases where the information requested may be maintained by, or available to, another authority within the country of the Requested Authority, the Authorities Requested Authority will endeavour to provide full assistance in obtaining the information requested, to the extent permitted by their respective its national laws and regulations. If necessary, the Requested Authority shall provide the Requesting Authority with sufficient information to establish direct contact between the Requesting Authority and the other authority. 34. The Requested Authority may refuse to act on a Authorities recognize the importance and desirability of providing mutual assistance and exchanging information for the purpose of enforcing and securing compliance with the laws and regulations applicable in their respective jurisdictions. A request for assistance may be denied by the Requested Authority: a) where communication of the information might adversely affect the sovereignty, security or public policy of the State of request would require the Requested Authority or to act in a manner that would violate national laws and regulations; b) where judicial proceedings for the imposition of criminal penalties have already been initiated in the jurisdiction of the Requested Authority, in respect of the same actions and against the same persons, or, on the grounds that the provision of assistance might result in a judicial or administrative sanction being imposed, where a non-appealable judicial or administrative sanction has already been imposed, in the jurisdiction of the Requested Authority, in respect of the same actions and against the same persons. c) where the request is not made in accordance with the provisions of this Memorandum of Understanding; or d) where communication of the information might adversely affect the sovereignty, security or upon public policy of the State of the Requested Authority. The assistance should be provided only in the way allowed by the national laws and regulations in force in the jurisdiction of the Requested Authority. Where a consideration of whether broadly equivalent request for assistance would be available from the other authority. Nothing in this provision shall prevent is denied, the Requested Authority from refusing a request in accordance may provide the reasons for not granting the assistance and consult with its own domestic laws and regulationsthe Requesting Authority pursuant to Article 7. 45. To the extent permitted by their respective national laws and regulations and without prior request, each Authority should provide the any other Authority with any relevant factual information available to it and which it believes to be helpful to the other Authority for the discharge of its functions and for the purposes, which it may specify in the communication (unsolicited information).

Scope of assistance. 1. To the extent permitted by their respective laws Laws and regulationsRegulations, the Authorities shall provide each other with the fullest mutual assistance in any matter matters falling within the competence of the Authorities, including in particular the following areas: a. investigations and enforcement in connection with applicable laws Laws and regulations Regulations relating to insider dealing, market manipulation and other fraudulent or manipulative practices in the securities field, b. investigation and enforcement of, and monitoring compliance with, applicable laws Laws and regulations Regulations relating to dealing in, advising on and the management, administration and safekeeping of securities, c. checking that the conditions for the taking up of (or continuing in) business as an Intermediary are met (including e.g. the enforcement of requirements to be authorizedauthorised), d. enforcing and monitoring compliance with applicable laws Laws and regulations Regulations relating to the disclosure of interests in securities, take-over takeover bids or the acquisition of influence over financial intermediaries, e. the supervision of the financial marketsFinancial Markets, including the clearing and settlement, the monitoring and surveillance of OTC-transactions in securities listed on regulated markets, f. enforcing or monitoring compliance with applicable laws relating to the duties of issuers and offerors of securities in relation to the disclosure of information. g. such other matters that may be agreed between the Authorities. 2. In cases where the information requested may be maintained by, or available to, another authority within the country of the Requested Authority, the Authorities Requested Authority will endeavour to provide full assistance in obtaining the information requested, to the extent permitted by their respective its national laws Laws and regulationsRegulations. If necessary, the Requested Authority shall provide the Requesting Authority with sufficient information to establish direct contact between the Requesting Authority and the other authority. 3. The Requested Authority may refuse to act on a request for assistance where communication of the information might adversely affect the sovereignty, security or public policy of the State of the Requested Authority or where judicial proceedings for the imposition of criminal penalties have already been initiated in the jurisdiction of the Requested Authority, in respect of the same actions and against the same persons, or, on the grounds that the provision of assistance might result in a judicial or administrative sanction being imposed, where a non-appealable judicial or administrative sanction has already been imposed, in the jurisdiction of the Requested Authority, in respect of the same actions and against the same persons, or upon a consideration of whether broadly equivalent assistance would be available from the other authority. Nothing in this provision shall prevent the Requested Authority from refusing a request in accordance with its own domestic laws Laws and regulationsRegulations. 4. To the extent permitted by their respective national laws Laws and regulations Regulations and without prior request, each Authority should provide the other Authority with any relevant factual information available to it and which it believes to be helpful to the other Authority for the discharge of its functions and for the purposes, which it may specify in the communication (unsolicited information).

Scope of assistance. 1. To the extent permitted by their respective laws and regulations, the Authorities shall provide each other with the fullest mutual assistance in any matter matters falling within the competence of the Authorities, including in particular the following areas: a. investigations and enforcement in connection with applicable laws and or regulations relating to insider dealing, market manipulation and other fraudulent or manipulative practices in the securities field, b. investigation and enforcement of, and monitoring compliance with, applicable laws and regulations relating to dealing in, advising on and the management, administration and safekeeping of securities, c. checking that the conditions for the taking up of (or continuing in) business as an Intermediary are met (including e.g. the enforcement of requirements to be authorizedauthorised), d. enforcing and monitoring compliance with applicable laws and regulations relating to the disclosure of interests in securities, take-over takeover bids or the acquisition of influence over financial intermediaries, e. the supervision of the financial marketsFinancial Markets, including the clearing and settlement, the monitoring and surveillance of OTC-transactions in securities listed on regulated markets, f. enforcing or monitoring compliance with applicable laws relating to the duties of issuers and offerors of securities in relation to the disclosure of information. 2. In cases where the information requested may be maintained by, or available to, another authority within the country of the Requested Authority, the Authorities will endeavour to provide full assistance in obtaining the information requested, to the extent permitted by their respective national laws and regulationslaw. If necessary, the Requested Authority shall provide the Requesting Authority with sufficient information to establish direct contact between the Requesting Authority and the other authority. 3. The Requested Authority may only refuse to act on a request for assistance where communication of the information might adversely affect the sovereignty, security or public policy of the State of the Requested Authority or where judicial proceedings for the imposition of criminal penalties have already been initiated in the jurisdiction of the Requested Authority, in respect of the same actions and against the same persons, or, on the grounds that the provision of assistance might result in a judicial or administrative sanction being imposed, where a non-appealable judicial or administrative sanction has already been imposed, in the jurisdiction of the Requested Authority, in respect of the same actions and against the same persons, or upon a consideration of whether broadly equivalent assistance would be available from the other authority. Nothing in this provision shall prevent the Requested Authority from refusing a request in accordance with its own domestic laws and regulations. 4. To the extent permitted by their respective national laws law and regulations procedures and without prior request, each Authority should provide the any other Authority with any relevant factual information available to it and which it believes to be helpful to the other Authority for the discharge of its functions and for the purposes, which it may specify in the communication (unsolicited information).

Scope of assistance. 1. To the extent permitted by their respective laws national Laws and regulationsRegulations, the Authorities shall provide each other with the fullest mutual assistance in any matter falling within the competence of the Authorities, including in particular the following areas: a. investigations and enforcement in connection with applicable laws Laws and regulations Regulations relating to insider dealing, market manipulation and other fraudulent or manipulative practices in the securities field, b. investigation and enforcement of, and monitoring compliance with, applicable laws Laws and regulations Regulations relating to dealing in, advising on and the management, administration and safekeeping of securities, c. checking that the conditions for the taking up of (of, or continuing in) , business as an Intermediary are met (met, including e.g. the enforcement of requirements to be authorized), d. enforcing and monitoring compliance with applicable laws Laws and regulations Regulations relating to the disclosure of interests in securities, take-over takeover bids or the acquisition of influence over financial intermediaries, e. the supervision of the financial marketsFinancial Markets, including the clearing and settlement, the monitoring and surveillance of OTC-transactions in securities listed on regulated markets, f. enforcing or monitoring compliance with applicable laws Laws and Regulations relating to the duties of issuers and offerors of securities in relation to the disclosure of information. 2. In cases where the information requested may be maintained by, or available to, another authority within the country of the Requested Authority, the Authorities Requested Authority will endeavour to provide full assistance in obtaining the information requested, to the extent permitted by their respective national laws its Laws and regulationsRegulations. If necessary, the Requested Authority shall provide the Requesting Authority with sufficient information to establish direct contact between the Requesting Authority and the other authorityAuthority. 3. The Requested Authority may refuse to act on a request for assistance where communication of the information might adversely affect the sovereignty, security or public policy of the State of the Requested Authority Authority, or where judicial proceedings for the imposition of criminal penalties have already been initiated in the jurisdiction of the Requested Authority, Authority in respect of the same actions and against the same persons, or, on the grounds that the provision of assistance might result in a judicial or administrative sanction being imposed, imposed where a non-appealable judicial or administrative sanction has already been imposed, imposed in the jurisdiction of the Requested Authority, in respect of the same actions and against the same persons, or upon a consideration of whether broadly equivalent assistance would be available from the other authority. Nothing in this provision Article 3 shall prevent the Requested Authority from refusing a request where this is necessary in accordance order to comply with its own domestic laws national Laws and regulationsRegulations. 4. To the extent permitted by their respective national laws Laws and regulations Regulations and without prior request, each Authority should provide the other Authority with any relevant factual information available to it it, and which it believes to be helpful to the other Authority for the discharge of its functions and for the purposes, purposes which it may specify in the communication (unsolicited information).

Scope of assistance. 1. To the extent permitted by their respective national laws and regulationsregulations or procedures, the Authorities each Authority shall provide each other with the fullest mutual assistance in any matter matters falling within the competence of the Authorities, including in particular the following areas: a. investigations and enforcement in connection with applicable laws and or regulations relating to insider dealing, market manipulation and other fraudulent or manipulative practices in the securities field, b. investigation and enforcement of, and monitoring compliance with, applicable laws and regulations relating to dealing in, advising on and the management, administration and safekeeping of securities, c. checking that the conditions for the taking up of (or continuing in) business as an Intermediary are met (including e.g. the enforcement of requirements to be authorizedauthorised), d. enforcing and monitoring compliance with applicable laws and regulations relating to the disclosure of interests in securities, take-over takeover bids or the acquisition of influence over financial intermediaries, e. the supervision of the financial markets, Financial Markets ,including the clearing and settlement, the monitoring and surveillance of OTC-transactions in securities listed on regulated markets, f. enforcing or monitoring compliance with applicable laws relating to the duties of issuers and offerors of securities in relation to the disclosure of information. 2. In cases where the information requested may be maintained by, or available to, another authority within the country of the Requested Authority, the Authorities each Authority will endeavour endeavor to provide full assistance in obtaining the information requested, to the extent permitted by their respective national laws and regulationsits laws, regulations or procedures. If necessary, the Requested Authority shall provide the Requesting Authority with sufficient information to establish direct contact between the Requesting Authority and the other authority. 3. The Requested Authority may only refuse to act on a request for assistance where communication of the information might adversely affect the sovereignty, security or public policy of the State of the Requested Authority or where judicial proceedings for the imposition of criminal penalties have already been initiated in the jurisdiction of the Requested Authority, in respect of the same actions and against the same persons, or, on the grounds that the provision of assistance might result in a judicial or administrative sanction being imposed, where a non-appealable judicial or administrative sanction has already been imposed, in the jurisdiction of the Requested Authority, in respect of the same actions and against the same persons, or upon a consideration of whether broadly equivalent assistance would be available from the other authority. Nothing in this provision shall prevent the Requested Authority requested authority from refusing a request in accordance with its own domestic laws and regulationslaw. 4. To the extent permitted by their respective national laws law, regulations and regulations procedures and without prior request, each Authority should provide the any other Authority with any relevant factual information available to it and which it believes to be helpful to the other Authority for the discharge of its functions and for the purposes, which it may specify in the communication (unsolicited information).