Disclosure to Regulators Clause Samples

The 'Disclosure to Regulators' clause permits or requires a party to share certain information with governmental or regulatory authorities when legally mandated. In practice, this clause typically applies to confidential or sensitive information that may otherwise be protected under the agreement, and it outlines the circumstances under which such disclosures are allowed, such as in response to a subpoena or regulatory inquiry. Its core function is to ensure compliance with legal obligations while clarifying that such disclosures do not constitute a breach of confidentiality, thereby protecting parties from liability when responding to regulatory demands.
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Disclosure to Regulators. If USL receives any request for information on any Transaction relating to any of the Client’s Account by any regulators in Hong Kong or elsewhere including but not limited to the SFC and the Exchange, even if the Client’s account has been terminated prior to such request: (a) The Client hereby authorizes USL to provide the required information to the regulators according to the request, where USL already has such information; (b) The Client shall, upon USL’s request, provide the required information to USL or the relevant regulators within two (2) Business Days of such regulator’s request, where USL does not have such information; (c) The Client shall, within two (2) Business Days of such regulator’s request, inform USL or the relevant regulators of the identity, address, contact details and other relevant identification information of any beneficiary (“underlying client”) or originator of instructions in respect of the Client's Account, where the Client acts as an intermediary of and effects trades for the benefit of such third party(ies), and where the Client effects trades for discretionary accounts, discretionary trusts or collective investment schemes, the Client shall also provide USL or the relevant regulators with the identification information of such accounts, trusts or schemes and their managers, and whenever the manager’s discretion is overridden by the beneficiary or any other persons, the identification information of such beneficiary or any other persons who has overridden the manager’s discretion, and whenever the manager’s discretion is overridden, the Client shall immediately inform USL such information in writing; (d) The Client, where acting as an intermediary, shall make arrangements with such underlying client(s) or any third party(ies) to ensure or procure the provision of such identification information of its underlying clients, together with their written consents for the provision of such information and/or waivers of any benefits of the secrecy or personal data protection laws that prohibit disclosure, to the regulators; and (e) The Client shall, upon USL’s request, immediately provide, or authorize USL to provide, the aforesaid relevant identification information to any regulatory authority in Hong Kong or any other jurisdiction within two (2) Business Days of the regulator’s request.
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Disclosure to Regulators. If GTJAS receives any request for information on any Transaction relating to any of the Client’s Account (including where applicable information relating to the Client’s underlying clients and transactions therewith) by any regulators in Hong Kong or elsewhere including but not limited to the SFC and the Exchange, even if the Client’s account has been terminated prior to such request: (a) The Client hereby authorizes GTJAS to provide the required information to the regulators according to the request, where GTJAS already has such information; (b) The Client shall, upon GTJAS’s request, provide the required information to GTJAS or the relevant regulators within two (2) Business Days of such regulator’s request, where GTJAS does not have such information; (c) The Client will, within two (2) Business Days of such regulator’s request, inform GTJAS or the relevant regulators the identity, address, contact details and other relevant identification information (collectively the “identity information” or “identification information”) of any third party(ies), where the Client acts as an intermediary of and effect trades for the benefit of such third party(ies), if the Client effects a transaction for discretionary accounts, discretionary trusts and/or collective investment scheme, their identity information, those of their managers and whenever the manager’s discretion is overridden by other persons; (d) The Client, if it acts as an intermediary, shall make arrangements with such third party(ies) to ensure or procure the provision of such identity information of its underlying clients, including the written consent and/or waiver of any benefits of the secrecy or personal data protection laws that prohibits disclosure be made to the regulators; and (e) The Client will, upon GTJAS’ request, immediately provide directly or authorize GTJAS to provide the aforesaid relevant information to any government or regulatory authority in Hong Kong or any other jurisdiction. The Client agrees to indemnify GTJAS against all Loss incurred by GTJAS as a result of any delay or failure of the above obligations of the Client to provide information as requested by the regulator.
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Disclosure to Regulators. If Bigboss receives any legitimate request for information on any transaction relating to any of the Client’s Account by any regulators in Saint ▇▇▇▇▇▇▇ and the Grenadines, even if the Client’s Account has been terminated prior to such request: (a) the Client will provide the required information within two Business Days of Bigboss’s request; (b) the Client will, within two Business Days, inform Bigboss of the identity, address and contact details of any third party(ies), whereas the Client acts as an intermediary of and effect trades for the benefit of such third party(ies); (c) the Client will, upon Bigboss’s request, immediately provide or authorize Bigboss to provide the relevant information to any government or regulatory authority in any other jurisdiction.
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Disclosure to Regulators. If BullBear receives any legitimate request for information on any transaction relating to any of the Client’s Account by any regulators in Georgia, even if the Client’s Account has been terminated prior to such request: (a) the Client will provide the required information within two Business Days of BullBear request; (b) the Client will, within two Business Days, inform BullBear of the identity, address and contact details of any third party(ies), whereas the Client acts as an intermediary of and effect trades for the benefit of such third party(ies); (c) the Client will, upon BullBear request, immediately provide or authorize BullBear to provide the relevant information to any government or regulatory authority in any other jurisdiction.
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Disclosure to Regulators. If ▇▇▇▇▇▇▇ receives any legitimate request for information on any Transaction relating to any of the Client’s Account by any regulators in Hong Kong including but not limited to the SFC and the Exchange, even if the Client’s Account has been terminated prior to such request: (a) the Client will provide the required information within two (2) Business Days of ZHANLIN ’s request; (b) the Client will , within two (2) Business Days, inform ▇▇▇▇▇▇▇ or Hong Kong regulators of the identity, address and contact details of any third party(ies), whereas the Client acts as an intermediary of and effect trades for the benefit of such third party(is);(c)the Client will, upon ▇▇▇▇▇▇▇ ’s request, immediately provide or authorize ZHANLIN to provide the relevant information to any government or regulatory authority in any other jurisdiction.
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Disclosure to Regulators. If Suntek receives any request for information on any Transaction relating to any of the Account by any regulators in Hong Kong or elsewhere including but not limited to the SFC and the Exchange, even if the Account has been terminated prior to such request: (a) the Client shall provide the required information within two
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Disclosure to Regulators. If GTJAS receives any request for information on any Transaction relating to any of the Client’s Account by any regulators in Hong Kong or elsewhere including but not limited to the SFC and the Exchange, even if the Client’s account has been terminated prior to such request: (a) The Client hereby authorizes GTJAS to provide the required information to the regulators according to the request, where GTJAS already has such information; (b) The Client shall, upon GTJAS’s request, provide the required information to GTJAS or the relevant regulators within two (2) Business Days of such regulator’s request, where GTJAS does not have such information; (c) The Client shall, within two
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Disclosure to Regulators. If USPL receives any request for information on any Transaction relating to any of the Client’s Account by any regulators in Singapore or elsewhere including but not limited to the MAS and the Exchange, even if the Client’s account has been terminated prior to such request: (a) the Client hereby authorises USPL to provide the required information to the regulators according to the request, where USPL already has such information; (b) the Client shall, upon USPL’s request, provide the required information to USPL or the relevant regulators within two (2) Business Days of such regulator’s request, where USPL does not have such information; (c) the Client shall, within two (2) Business Days of such regulator’s request, inform USPL or the relevant regulators of the identity, address, contact details and other relevant identification information of any beneficiary (“underlying client”) or originator of instructions in respect of the Client's Account, where the Client acts as an
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Disclosure to Regulators. If ▇▇▇▇▇▇▇ receives any legitimate request for information on any Transaction relating to any of the Client’s Account by any regulators in Hong Kong including but not limited to the SFC and the Exchange, even if the Client’s Account has been terminated prior to such request: (a) the Client will provide the required information within two (2) Business Days of ZHANLIN ’s request; (b) the Client will , within two (2) Business Days, inform ▇▇▇▇▇▇▇ or Hong Kong regulators of the identity, address and contact details of any third party(ies), whereas the Client acts as an intermediary of and effect trades for the benefit of such third party(is);(c)the Client will, upon ▇▇▇▇▇▇▇ ’s request, immediately provide or authorize ZHANLIN to provide the relevant information to any government or regulatory authority in any other jurisdiction.
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Related to Disclosure to Regulators

  • Disclosure to FERC its Staff, or a State. Notwithstanding anything in this Article 22 to the contrary, and pursuant to 18 C.F.R. section 1b.20, if FERC or its staff, during the course of an investigation or otherwise, requests information from one of the Parties that is otherwise required to be maintained in confidence pursuant to this Agreement or the NYISO OATT, the Party shall provide the requested information to FERC or its staff, within the time provided for in the request for information. In providing the information to FERC or its staff, the Party must, consistent with 18 C.F.R. section 388.112, request that the information be treated as confidential and non-public by FERC and its staff and that the information be withheld from public disclosure. Parties are prohibited from notifying the other Parties to this Agreement prior to the release of the Confidential Information to the Commission or its staff. The Party shall notify the other Parties to the Agreement when it is notified by FERC or its staff that a request to release Confidential Information has been received by FERC, at which time the Parties may respond before such information would be made public, pursuant to 18 C.F.R. section 388.112. Requests from a state regulatory body conducting a confidential investigation shall be treated in a similar manner if consistent with the applicable state rules and regulations. A Party shall not be liable for any losses, consequential or otherwise, resulting from that Party divulging Confidential Information pursuant to a FERC or state regulatory body request under this paragraph.

  • Disclosure to Representatives A Party may disclose the other Party’s Confidential Information to those of its Representatives who need to know such Confidential Information for the Permitted Purpose, provided that it informs such Representatives of the confidential nature of the Confidential Information prior to disclosure, and at all times it is responsible for such Representatives’ compliance with the confidentiality obligations set out in this ARTICLE 15.

  • Securities Laws Disclosure; Publicity The Company shall (a) by the Disclosure Time, issue a press release disclosing the material terms of the transactions contemplated hereby, and (b) file a Current Report on Form 8-K, including the Transaction Documents as exhibits thereto, with the Commission within the time required by the Exchange Act. From and after the issuance of such press release, the Company represents to the Purchasers that it shall have publicly disclosed all material, non-public information delivered to any of the Purchasers by the Company or any of its Subsidiaries, or any of their respective officers, directors, employees or agents in connection with the transactions contemplated by the Transaction Documents. In addition, effective upon the issuance of such press release, the Company acknowledges and agrees that any and all confidentiality or similar obligations under any agreement, whether written or oral, between the Company, any of its Subsidiaries or any of their respective officers, directors, agents, employees or Affiliates on the one hand, and any of the Purchasers or any of their Affiliates on the other hand, shall terminate. The Company and each Purchaser shall consult with each other in issuing any other press releases with respect to the transactions contemplated hereby, and neither the Company nor any Purchaser shall issue any such press release nor otherwise make any such public statement without the prior consent of the Company, with respect to any press release of any Purchaser, or without the prior consent of each Purchaser, with respect to any press release of the Company, which consent shall not unreasonably be withheld or delayed, except if such disclosure is required by law, in which case the disclosing party shall promptly provide the other party with prior notice of such public statement or communication. Notwithstanding the foregoing, the Company shall not publicly disclose the name of any Purchaser, or include the name of any Purchaser in any filing with the Commission or any regulatory agency or Trading Market, without the prior written consent of such Purchaser, except (a) as required by federal securities law in connection with the filing of final Transaction Documents with the Commission and (b) to the extent such disclosure is required by law or Trading Market regulations, in which case the Company shall provide the Purchasers with prior notice of such disclosure permitted under this clause (b).

  • Securities Law Information The Participant acknowledges that he or she is permitted to sell the Shares acquired under the Plan through the designated broker appointed by the Company, provided the sale of the Shares takes place outside of Canada through facilities of a stock exchange on which the Shares are listed (i.e., the NYSE).

  • Securities Law Disclosure; Publicity (i) Within the time required by the Exchange Act, the Company shall issue a Current Report on Form 8-K (the “Current Report”) disclosing the material terms of the transactions contemplated hereby, and including the Transaction Documents required to be included in such Current Report as exhibits thereto. From and after the issuance of the Current Report. (ii) Other than provision of the Transaction Documents to the Purchaser, the Company confirms that neither it nor any other person acting on its behalf shall provide the Purchaser or their agents or counsel with any information that constitutes or might constitute material, non-public information, unless a simultaneous public announcement thereof is made by the Company in the manner contemplated by Regulation FD. In the event of a breach of the foregoing covenant by the Company or any person acting on its behalf (as determined in the reasonable good faith judgment of the Purchaser), in addition to any other remedy provided herein or in the other Transaction Documents, if the Purchaser are holding any securities of the Company at the time of the disclosure of material, non-public information, the Purchaser shall have the right to make a public disclosure, in the form of a press release, public advertisement or otherwise, of such material, non-public information without the prior approval by the Company; provided such Purchaser shall have first provided notice to the Company that they believe they have received information that constitutes material, non-public information, the Company shall have 48 hours publicly to disclose such material, non-public information prior to any such disclosure by the Purchaser or demonstrate to the Purchaser in writing why such information does not constitute material, non-public information, and (assuming the Purchaser and Purchaser’s counsel disagree with the Company’s determination) the Company shall have failed to publicly disclose such material, non-public information within such time period. The Purchaser shall not have any liability to the Company, any of its Subsidiaries, or any of their respective directors, officers, employees, stockholders or agents, for any such disclosure. The Company understands and confirms that the Purchaser shall be relying on the foregoing covenants and obligations in effecting transactions in securities of the Company.