International Enforcement. The international nature of HD Faculty and the fact that a number of transactions will cross several jurisdictions gives rise to a number of particular issues. Therefore, from time to time, HD Faculty will utilize MIAFOS™ to ensure that it, or a relevant party in another jurisdiction, has the necessary information, including statements and documents, that may be relevant to investigation and prosecution of violations of respective laws and regulations relating to transactions, e.g., securities dealings.

The Scope of Co-operation

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Identification of the circumstances under which assistance may be sought;

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Identification of the types of assistance that can be provided;

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Safeguards of the confidentiality of bona fide clients’ information;

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Description of the permitted uses of the information;

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The amount of access that can be obtained under applicable law;

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Confidentiality and use of restrictions under applicable law;

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The form and timing of the assistance or information sharing; and

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The applicability of other arrangements between the jurisdictional authorities for sharing investigative financial and non-financial information.