Transaction Reporting Clause Samples
The Transaction Reporting clause requires parties to provide information about transactions to relevant authorities or counterparties. Typically, this involves submitting details such as the nature, amount, and parties involved in a transaction within a specified timeframe, often to comply with regulatory requirements. This clause ensures transparency and regulatory compliance, helping to prevent fraud and maintain market integrity.
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Transaction Reporting. (a) To enable CESL to comply with transaction reporting obligations under Applicable Law, the Client agrees to promptly deliver to CESL any information that CESL may from time to time request to enable CESL to complete and submit transaction reports to the FCA. The Client agrees that CESL may provide information about the Client or, where applicable, a principal, and Transactions executed with or for the Client or, where applicable, a principal, to competent authorities in the course of submitting transaction reports and to it making public relevant details of quotes provided to you and Transactions executed for you in accordance with Applicable Law.
(b) The Client acknowledges that the Client may be separately required to submit transaction reports regarding certain Transactions. CESL will not submit transaction reports to the FCA on behalf of the Client, and CESL will not reference the Client’s underlying clients.
(c) The Client will be solely responsible for assessing and determining whether the Client is subject to any transaction reporting obligations in relation to any Transaction that is executed by or through CESL, and the Client will be solely responsible for complying with any such transaction reporting obligations that the Client is subject to.
(d) The Client acknowledges that the disclosures made in the context of CESL’s trade or transaction reporting may be made to recipients in a jurisdiction other than CESL’s or the Client’s, (i) to the extent that applicable non-disclosure, confidentiality, bank secrecy, or other law imposes non-disclosure requirements on Transaction and similar information required or permitted to be disclosed as contemplated herein but permits a Party to waive such requirements by consent, the consent and acknowledgements provided herein shall be your consent for purposes of such law; and (ii) any agreement between CESL and the Client to maintain confidentiality of information contained in this Agreement or in any non-disclosure, confidentiality or other agreement shall continue to apply to the extent that such agreement is not inconsistent with the disclosure of information in connection with this provision; and (iii) nothing herein is intended to limit the scope of any other consent to disclosure separately given by each Party to the other Party.
Transaction Reporting. To the extent any information regarding this Transaction is required to be reported to a trade repository or similar entity by applicable law, Dealer shall satisfy, or cause to be satisfied, such reporting obligations.
Transaction Reporting. Under the terms of the MiFID II we are required to report transactions on Financial Instruments that are admitted for trading on a regulated market or a trading venue within the European Union, irrespective of whether these transactions take place on or off such regulated markets or trading venues. Accordingly, we shall, and you hereby irrevocably authorize us to, report all of your CFD Transactions where the underlying Financial Instruments are admitted for trading on a regulated market or on any trading venue within the European Union, to CySEC as our home regulatory authority.
Transaction Reporting. To the extent that we might transaction report, we will only provide this service on your behalf subject to an express agreement in writing between us, separate to these terms (and in accordance with the provisions of section 5, Appendix A where applicable). Where we do so, we are required to report whether relevant transactions (such as transactions in equities) were short sales or otherwise. Where we have this information you agree that we will include whether such transaction was a short sale or otherwise in the transaction report, to satisfy our obligations under Applicable Regulations. Where we do not have such information and you have not confirmed whether such sale is a short sale or otherwise, we will report to the relevant regulator, as part of the transaction report, that such information has not been disclosed to us.
Transaction Reporting. In accordance with the Markets in Financial Instruments Regulation (MiFIR), Regulation (EU) No 600/2014 of the European Parliament and of the Council of 15 May 2014 on markets in financial instruments and amending Regulation (EU) No 648/2012, we are obliged to report transactions on financial instruments that are admitted for Trading on a Trading Venue (“ToTV”) or for which a request for admission to trading has been made, financial instruments where the underlying is a financial instrument ToTV; and financial instruments where the underlying is an index or a basket composed of financial instruments ToTV. In this respect, you irrevocably authorise us to report all of your reportable transactions to CySEC. For the purposes of facilitating Transaction Reporting, you should provide us, among other, with the following supporting documentation, in an acceptable by us format: • Natural Person: Depending on the country of your residence, you should provide us with such supporting documentation as required by the Annex II of the Delegated Regulation (EU) 2017/590 regarding national client identifiers for natural persons to be used in transaction reports, including but not limited to the passport number or identity card number or concatenation (CONCAT) number.
Transaction Reporting. We may from time to time be required to report details of your Transactions and details about you to an Applicable Regulator pursuant to Applicable Regulation (including, without limitation, pursuant to Article 26 MiFIR) (a "Transaction Reporting Requirement").
Transaction Reporting. Pentacon agrees that, except as otherwise required by applicable law, Pentacon will describe or report the transaction in any required tax reports of Pentacon as a tax-free transaction (insofar as its relates to the delivery of Pentacon Stock for Company Stock) in a manner consistent with the tax opinion referenced in Section 8.12.
Transaction Reporting. 36 7.19 PERMITS.........................................................36
Transaction Reporting. In accordance with the Markets in Financial Instruments Regulation (MiFIR), Regulation (EU) No 600/2014 of the European Parliament and of the Council of 15 May 2014 on markets in financial instruments and amending Regulation (EU) No 648/2012, we are obliged to report transactions on financial instruments that are admitted for Trading on a Trading Venue (“ToTV”) or for which a request for admission to trading has been made, financial instruments where the underlying is a financial instrument ToTV; and financial instruments where the underlying is an index or a basket composed of financial instruments ToTV. In this respect, you are irrevocably authorize us to report all of your reportable transactions to the CySEC. For the purposes of facilitating Transaction Reporting, you should provide us, among other, with the following supporting documentation, in an acceptable by us format:
Transaction Reporting. (1) The Adviser represents and warrants that it has and will maintain for the duration of this Agreement the LEI Codes (for itself and the Fund) required in connection with the transactions and activities contemplated by this Agreement.
(2) The Sub-Adviser may collect, use, process and disclose to third parties’ personal data about the Adviser or individuals associated with the Adviser (which may include sensitive personal data) so that the Sub-Adviser can carry out its obligations under the Agreement and for other related purposes, including monitoring and analysis of its business, crime prevention, legal and regulatory compliance, and the transfer of any of the Sub-Adviser’s rights or obligations under the Agreement.
(3) The Adviser acknowledges that the Sub-Adviser is required by applicable law to provide to relevant regulatory agencies, authorities or Exchanges or providers of reporting or publication services (including trade repositories, approved reporting mechanisms, approved publication arrangements and consolidated tape providers) information about transactions executed with or for the Adviser, including relevant information about the Adviser. The Adviser consents to the Sub-Adviser providing such information solely in accordance with applicable law.
(4) The Adviser undertakes to provide the Sub-Adviser with any information that the Sub-Adviser may require, within such time periods as may be required, in order to allow the Sub-Adviser to comply with its reporting obligations under applicable law. The Adviser represents and warrants that all information provided by it to the Sub-Adviser and held by the Sub-Adviser is and will be complete, up-to-date and accurate to the best of its knowledge.