COMPLAINTS AND Sample Clauses

COMPLAINTS AND. INVESTIGATIONS Broker-Dealer shall cooperate with Companies in the investigation and settlement of all complaints or claims against Broker-Dealer and/or Companies relating to the solicitation or sale of the Products under this Agreement. Broker-Dealer, Distributors and Companies each shall promptly forward to the others any complaint, notice of claim or other relevant information which may come into its possession. Broker-Dealer, Distributors and Companies agree to cooperate fully in any investigation or proceeding in order to attempt to achieve a prompt and equitable resolution to all complaints or claims and to ensure that Broker-Dealer's, Distributors' and Companies' procedures with respect to related solicitation or servicing are consistent with any applicable law or regulation. In the event any legal process or notice is served on Broker-Dealer in a suit or proceeding against Distributors or Companies, Broker-Dealer shall forward forthwith such process or notice to Hartford Life at its Home Office in Hartford, Connecticut, by registered mail.
Sample 1Sample 2Sample 3
AutoNDA by SimpleDocs
COMPLAINTS AND. INVESTIGATIONS Broker-Dealer shall cooperate with Distributor and Companies in the investigation and settlement of all complaints or claims against Broker-Dealer and/or Distributor or Companies relating to the solicitation or sale of the Registered Products under this Agreement. Broker-Dealer, Distributor and Companies each shall promptly forward to the other any complaint, notice of claim or other relevant information which may come into either one's possession. Broker-Dealer, Distributor and Companies agree to cooperate fully in any investigation or proceeding in order to ascertain whether Broker-Dealer's, Distributor's or Companies' procedures with respect to solicitation or servicing is consistent with any applicable law or regulation. In the event any legal process or notice is served on Broker-Dealer in a suit or proceeding against Distributor or Companies, Broker- Dealer shall forward forthwith such process or notice to Companies at its Home Office in Hartford, Connecticut, by certified mail.
Sample 1
COMPLAINTS AND. It is the mutual desire of the parties hereto that complaints of employees shall be adjusted as quickly as possible and it is generally understood that an employee has no grievance until he has first given his supervisor an opportunity of adjusting his complaint. If any employee has any complaint or question which he wishes to discuss with the Company he shall take the matter up with his immediate supervisor, and he may be accompanied by his zone xxxxxxx if he requests such assistance.
Sample 1
COMPLAINTS AND. INVESTIGATIONS Broker-Dealer shall cooperate with ITT Hartford in the investigation and settlement of all complaints or claims against Broker-Dealer and/or ITT Hartford relating to the solicitation or sale of the Registered Products under this Agreement. Broker-Dealer, Distributor and Companies each shall promptly forward to the other any complaint, notice of claim or other relevant information which may come into either one's possession. Broker-Dealer, Distributor and Companies agree to cooperate fully in any investigation or proceeding in order to ascertain whether Broker-Dealer's, Distributor's or Companies' procedures with respect to solicitation or servicing is consistent with any applicable law or regulation. In the event any legal process or notice is served on Broker-Dealer in a suit or proceeding against Distributor or Companies, Broker- Dealer shall forward forthwith such process or notice to Companies at its Home Office in Hartford, Connecticut, by certified mail.
Sample 1
COMPLAINTS AND. INVESTIGATIONS All parties to this Agreement agree to cooperate fully in any banking, insurance or securities regulatory investigation or proceeding or judicial proceeding with respect to Pacific Mutual, Distributor, Broker/Dealer and/or Agency, their affiliates and their agents or representatives to the extent that such investigation or proceeding is in connection with the Contracts distributed under this Agreement. Without limiting the foregoing:
Sample 1

Related to COMPLAINTS AND

  • Complaints If you have a complaint relating to the sale of energy by us to you, or this contract generally, you may lodge a complaint with us in accordance with our standard complaints and dispute resolution procedures. Note: Our standard complaints and dispute resolution procedures are published on our website.

  • Complaints and Investigations 1. This article applies to complaints or allegations made externally and not from normal supervisory activities.

  • Product Complaints Subdistributor shall promptly notify Distributor of (but in no event later than 24 hours after receipt), and provide, upon Distributor’s request, reasonable assistance to address and investigate, any complaint or adverse claim about any Product or its use of which Subdistributor becomes aware;

  • Legal Actions A Receiver may bring, prosecute, enforce, defend and abandon any action, suit or proceedings in relation to any Security Asset which he thinks fit.

  • Customer Complaints Each party hereby agrees to promptly provide to the other party copies of any written or otherwise documented complaints from customers of Dealer received by such party relating in any way to the Offering (including, but not limited to, the manner in which the Shares are offered by the Dealer Manager or Dealer), the Shares or the Company.

  • Lawsuits There is no lawsuit, tax claim or other dispute pending or threatened against the Borrower which, if lost, would impair the Borrower's financial condition or ability to repay the loan, except as have been disclosed in writing to the Bank.

  • Investigations The respective representations and warranties of the Parties contained in this Agreement or any certificate or other document delivered by any Party at or prior to the Closing and the rights to indemnification set forth in Article XI shall not be deemed waived or otherwise affected by any investigation made, or knowledge acquired, by a Party.

  • Investigations and Proceedings The parties to this Agreement agree to cooperate fully in any securities regulatory investigation or proceeding or any judicial proceeding with respect to each party’s activities under this Agreement and promptly to notify the other party of any such investigation or proceeding.

  • Adverse Events Subsequent to the date hereof, there shall not have occurred any of the following: (i) a suspension or material limitation in trading in securities generally on the New York Stock Exchange, the NASDAQ National Market or the NASDAQ Global Market, (ii) a general moratorium on commercial banking activities in the People’s Republic of China or New York, (iii) the outbreak or escalation of hostilities involving the United States or the People’s Republic of China or the declaration by the United States or the People’s Republic of China of a national emergency or war if the effect of any such event specified in this clause (iii) in your reasonable judgment makes it impracticable or inadvisable to proceed with the public offering or the delivery of the Shares on the terms and in the manner contemplated in the Prospectus, or (iv) such a material adverse change in general economic, political, financial or international conditions affecting financial markets in the United States or the People’s Republic of China having a material adverse impact on trading prices of securities in general, as, in your reasonable judgment, makes it impracticable or inadvisable to proceed with the public offering of the Shares or the delivery of the Shares on the terms and in the manner contemplated in the Prospectus.

Time is Money Join Law Insider Premium to draft better contracts faster.