Introducing Clause Samples

Introducing. Firm represents that it is not a guaranteed subsidiary of a clearing broker and that it is not a guarantor of a clearing broker. Introducing Firm also represents that it will immediately notify the Clearing Firm in the event that either of the foregoing representations becomes inaccurate.

Introducing. Firm shall give Clearing Agent written notice of any proposed audit. In such notice, Introducing Firm shall advise Clearing Agent of (i) the commencement date of the audit, which may not be earlier than thirty (30) days after the date of Clearing Agent’s receipt of the audit notice, (ii) the scope of the audit in detail, (iii) the anticipated termination date of the audit, which may not be longer than thirty (30) days after the commencement date, unless Clearing Agent agrees to a longer period and (iv) the names of Clearing Agent’s employees who will conduct the audit. All audits will be conducted during Clearing Agent’s normal business hours. Notwithstanding anything else contained in this Section, Clearing Agent agrees that it shall make its facilities, personnel and records available at any time without prior notice if requested by any of Introducing Firm’s regulators pursuant to an audit of Introducing Firm by any of such regulators.

Introducing. Firm acknowledges that the services Clearing Agent provides hereunder involve Introducing Firm access to proprietary technology, trading and other systems, and that techniques, algorithms and processes contained in such systems constitute trade secrets and shall be safeguarded by Introducing Firm, and that Introducing Firm shall exercise reasonable care to protect Clearing Agent’s interest in such trade secrets. Introducing Firm agrees to make the proprietary nature of such systems known to those of its consultants, staff, agents or clients who may reasonably be expected to come into contact with such systems. Introducing Firm agrees that any breach of this confidentiality provision may result in its being liable for damages as provided by law.

Introducing. Firm has been duly appointed and authorized by Introducing Firm’s prime brokerage customers to transmit Prime Brokerage Orders to Clearing Agent.

Introducing. ▇▇▇▇▇ also meets the type-to-page ratio. By my mea- surement, the type area is 62.5% of the page area.

Introducing a sample other than a deep-lung sample from the person driving the vehicle;

Introducing possessing, or using illegal drugs during duty or non-duty hours.

Introducing a Primary Principals’ Career Structure (clause 4.4) The introduction of a career structure that has three stages, with service and professional criteria at each stage – the stages are: • Stage one - Developing principal, to be implemented two months following the date the collective agreement is signed (8 May 2013). • Stage two - Experienced principal, to be implemented nine months following the implementation of stage one (10 February 2014). • Stage three - Leading principal, to be implemented nine months following the implementation of stage two (10 November 2014). Note: Following the signing of the collective agreement the NZSTA will consult with the NZEI in the revision of its Guidelines for Primary Boards of Trustees: Primary Principals’ Performance Review with reference to the implementation of the career structure including the Board’s affirmation process.

Introducing. Firm will maintain compliance and supervisory procedures which are adequate to assure compliance with restricted/control stock requirements.