Signed Account Forms Clause Samples
The 'Signed Account Forms' clause requires that certain documents or forms related to an account must be properly signed by authorized parties before they are considered valid or effective. In practice, this means that applications, instructions, or changes to account details will only be processed if the relevant forms bear the necessary signatures, which may include wet ink, electronic, or digital signatures depending on the agreement. This clause ensures that all account-related actions are properly authorized, reducing the risk of fraud or unauthorized transactions and providing clear evidence of consent.
Signed Account Forms. Between December 2003 and September 2015, the Respondent obtained, possessed and, in some instances, used to process transactions, 15 pre-signed account forms in respect of 10 clients.
Signed Account Forms. At all material times, the Member had policies and procedures that prohibited its Approved Persons from obtaining or using pre-signed account forms.
Signed Account Forms. At all material times, Investors Group’s policies and procedures prohibited its Approved Persons, including the Respondent, from obtaining and using pre-signed account forms.
Signed Account Forms. At all material times, Sun Life’s policies and procedures prohibited its Approved Persons, including the Respondent, from holding, obtaining, or using pre-signed account forms.
Signed Account Forms. At all material times, FundEX’s policies and procedures prohibited its Approved Persons, including the Respondent, from obtaining or using pre-signed account forms.
Signed Account Forms. At all material times, Investia’s policies and procedures prohibited its Approved Persons, including the Respondent, from holding and using pre-signed account forms.
Signed Account Forms. At all material times, PFSL’s policies and procedures prohibited its Approved Persons, including the Respondent, from holding, obtaining, or using pre-signed account forms.
Signed Account Forms. At all material times, the Member’s policies and procedures prohibited the use of pre- signed forms.
Signed Account Forms. At all material times, Quadrus’ policies and procedures prohibited its Approved Persons from using pre-signed account forms.
Signed Account Forms. Between September 2007 and November 2011, the Respondent obtained and used to process transactions, 11 pre-signed Redemption Request forms in respect of 6 clients.