Regulatory Supervision. 7.1 Upon request by UOBBF, the Customer shall, and shall procure that each of its Authorised Persons and Delegates shall, permit UOBBF, an Exchange, a Clearing House, and/or any regulatory body (and their authorised representatives or independent auditors) access to such terminals or equipment in respect of the Electronic Trading Facilities as UOBBF, the Exchange, Clearing House and/or the regulatory body (or their authorised representatives or independent auditors) may request and the Customer shall, and shall procure that each of its Authorised Persons and Delegates shall, co-operate in answering any of their queries and render all reasonable assistance to UOBBF, the Exchange, Clearing House and/or any regulatory body (and their authorised representatives or independent auditors) in relation to any aspect of the Electronic Trading Facilities. The Customer acknowledges, and shall procure that each of its Authorised Persons and Delegates shall acknowledge, that inconvenience or delay may be suffered by the Customer, its Authorised Persons and Delegates, as a result of such access and in the rendering of such assistance and that it will not hold UOBBF liable for any such inconvenience or prejudice suffered. 7.2 Without limiting the generality of the foregoing, in relation to the Customer’s (and its Authorised Persons’ and Delegates’) access and use of the DMA Services and placing of orders for Approved Contracts and entering into Approved Contracts through Direct Market Access hereunder, the Customer shall, and shall procure that its Authorised Persons and Delegates shall, forthwith upon UOBBF’s request, provide any and all information and documentation on or relevant to such activities to UOBBF. The Customer acknowledges and agrees that such information and documentation includes but is not limited to: (a) information and documentation relating to the Customer and each of its Authorised Persons and Delegates (including without limitation the name, address and the ultimate beneficial identity of the Customer and each of its Delegates and the financial position of the Customer and each of its Delegates for the time being as may be known to UOBBF or its Related Corporations); (b) information and documentation relating to the Customer’s and each of its Authorised Persons’ and Delegates’ financial standing, credit history and criminal records, adverse records or pending court proceedings relating to prohibited market conduct; (c) information and documentation on or relating to any Approved Contract or dealings between the Customer and UOBBF and information on or relating to any Approved Contract or dealings in relation to the Customer’s trading on any Exchange; (d) such other information as UOBBF may in its sole and absolute discretion regard as necessary, desirable or expedient for its compliance with the Rules, the applicable laws, and any requests or requirements that the Exchange may impose on UOBBF from time to time; and (e) such other information which UOBBF in its sole and absolute discretion notifies the Customer of. 7.3 The Customer hereby authorises and consents, and shall ensure that each of its Authorised Persons and Delegates authorises and consents, to UOBBF providing any and all such information and documentation to an Exchange, a Clearing House, or to any other person in accordance with any applicable law or Rules or as directed by any regulatory authority to whom UOBBF may be subject. 7.4 The Customer hereby authorises and consents, and shall ensure that each of its Authorised Persons and Delegates authorises and consents, to UOBBF using any and all such information and documentation collected to maintain one or more Registers, disclosing any information in such Registers to an Exchange or making available such Registers for inspection by an Exchange or an Exchange’s representatives, and further that such Registers will include all relevant information of all persons which have been provided Sponsored Access (including without limitation the Customer and each of its Authorised Persons and Delegates). 7.5 The Customer shall procure all necessary consents from each relevant third party (including without limitation each of its Authorised Persons and Delegates) for UOBBF’s processing, use, handling and disclosure as herein contemplated of any and all such information and documentation relating to such third party. In providing any and all such information and documentation relating to such third party to UOBBF, the Customer represents and warrants that all such necessary consents have been obtained and shall, upon UOBBF’s request, provide written evidence of the same for UOBBF’s inspection or records. 7.6 The Customer agrees and undertakes, and shall procure that its Authorised Persons and Delegates agree and undertake, to assist UOBBF and any Exchange in any investigation into potential violations of the Rules and applicable laws. The Customer further agrees and undertakes, and shall procure that its Authorised Persons and Delegates agree and undertake, to provide timely assistance, which shall include, but is not limited to, the provision of information to UOBBF and any Exchange relating to the identity and address of any person who may be responsible for the execution of an order or trade. 7.7 Where an Exchange requires UOBBF or the Customer to appoint an independent reviewer to review the Customer’s compliance with the Rules governing Direct Market Access, the Customer agrees to give UOBBF and/or the Exchange the sole power and discretion to select a suitable independent reviewer. The Customer shall use all reasonable endeavours to appoint such independent reviewer as selected by UOBBF or the Exchange, provide such independent reviewer with such information and documentation, and such cooperation and access to personnel (including but not limited to the Customer’s Authorised Persons and Delegates), as such independent reviewer may require. The appointment of such independent reviewer and the conduct of the review by such independent reviewer shall be at the sole cost and expense of the Customer.
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Regulatory Supervision. 7.1 Upon request by UOBBFUOBF, the Customer shall, and shall procure that each of its Authorised Persons and Delegates shall, permit UOBBFUOBF, an Exchange, a Clearing House, and/or any regulatory body (and their authorised authorized representatives or independent auditors) access to such terminals or equipment in respect of the Electronic Trading Facilities as UOBBFUOBF, the Exchange, Clearing House and/or the regulatory body (or their authorised authorized representatives or independent auditors) may request and the Customer shall, and shall procure that each of its Authorised Persons and Delegates shall, co-operate in answering any of their queries and render all reasonable assistance to UOBBFUOBF, the Exchange, Clearing House and/or any regulatory body (and their authorised authorized representatives or independent auditors) in relation to any aspect of the Electronic Trading Facilities. The Customer acknowledges, and shall procure that each of its Authorised Persons and Delegates shall acknowledge, that inconvenience or delay may be suffered by the Customer, its Authorised Persons and Delegates, as a result of such access and in the rendering of such assistance and that it will not hold UOBBF UOBF liable for any such inconvenience or prejudice suffered.
7.2 . Without limiting the generality of the foregoing, in relation to the Customer’s 's (and its Authorised Persons’ ' and Delegates’') access and use of the DMA Services and placing of orders for Approved Contracts and entering into Approved Contracts through Direct Market Access hereunder, the Customer shall, and shall procure that its Authorised Persons and Delegates shall, forthwith upon UOBBF’s UOBF's request, provide any and all information and documentation on or relevant to such activities to UOBBFUOBF. The Customer acknowledges and agrees that such information and documentation includes but is not limited to:
(a) information and documentation relating to the Customer and each of its Authorised Persons and Delegates (including without limitation the name, address and the ultimate beneficial identity of the Customer and each of its Delegates and the financial position of the Customer and each of its Delegates for the time being as may be known to UOBBF UOBF or its Related Corporations);
(b) information and documentation relating to the Customer’s 's and each of its Authorised Persons’ and Delegates’ ' financial standing, credit history and criminal records, adverse records or pending court proceedings relating to prohibited market conduct;
(c) information and documentation on or relating to any Approved Contract or dealings between the Customer and UOBBF UOBF and information on or relating to any Approved Contract or dealings in relation to the Customer’s 's trading on any Exchange;
(d) such other information as UOBBF UOBF may in its sole and absolute discretion regard as necessary, desirable or expedient for its compliance with the Rules, the applicable laws, and any requests or requirements that the Exchange may impose on UOBBF UOBF from time to time; and
(e) such other information which UOBBF UOBF in its sole and absolute discretion notifies to the Customer of.
7.3 Customer. The Customer hereby authorises and consents, and shall ensure that each of its Authorised Persons and Delegates authorises and consents, to UOBBF UOBF providing any and all such information and documentation to an Exchange, a Clearing House, or to any other person in accordance with any applicable law or Rules or as directed by any regulatory authority to whom UOBBF UOBF may be subject.
7.4 . The Customer hereby authorises and consents, and shall ensure that each of its Authorised Persons and Delegates authorises and consents, to UOBBF UOBF using any and all such information and documentation collected to maintain one or more Registers, disclosing any information in such Registers to an Exchange or making available such Registers for inspection by an Exchange or an Exchange’s 's representatives, and further that such Registers will include all relevant information of all persons which have been provided Sponsored Access (including without limitation the Customer and each of its Authorised Persons and Delegates).
7.5 . The Customer shall procure all necessary consents from each relevant third party (including without limitation each of its Authorised Persons and DelegatesDelegate) for UOBBF’s UOBF's processing, use, handling and disclosure as herein contemplated of any and all such information and documentation relating to such third party. In providing any and all such information and documentation relating to such third party to UOBBFUOBF, the Customer represents and warrants that all such necessary consents have been obtained and shall, upon UOBBF’s UOBF's request, provide written evidence of the same for UOBBF’s UOBF's inspection or records.
7.6 . The Customer agrees and undertakes, and shall procure that its Authorised Persons and Delegates agree and undertake, to assist UOBBF UOBF and any Exchange in any investigation into potential violations of the Rules and applicable laws. The Customer further agrees and undertakes, and shall procure that its Authorised Persons and Delegates agree and undertake, to provide timely assistance, which shall include, but is not limited to, the provision of information to UOBBF UOBF and any Exchange relating to the identity and address of any person who may be responsible for the execution of an order or trade.
7.7 . Where an Exchange requires UOBBF UOBF or the Customer to appoint an independent reviewer to review the Customer’s 's compliance with the Rules governing Direct Market Access, the Customer agrees to give UOBBF UOBF and/or the Exchange the sole power and discretion to select a suitable independent reviewer. The Customer shall use all reasonable endeavours to appoint such independent reviewer as selected by UOBBF UOBF or the Exchange, provide such independent reviewer with such information and documentation, and such cooperation and access to personnel (including but not limited to the Customer’s and Authorised Persons and Delegates)▇▇▇▇▇▇▇▇▇, as such independent reviewer may require. The appointment of such independent reviewer and the conduct of the review by such independent reviewer shall be at the sole cost and expense of the Customer.
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