Common use of Certification and Compliance Clause in Contracts

Certification and Compliance. ▇▇▇▇▇▇▇ agrees to comply with the Trust’s reasonable requests for ▇▇▇▇▇▇▇ to share certain information with the Trust as part of the Trust’s ongoing vendor certification process, including, but not limited to, financial information, control audits, BSA/AML and Office of Foreign Asset Control (OFAC) compliance responsibilities and reports for monitoring potential suspicious activity, reports for monitoring customer complaint activity, and internal policies, processes and procedures of Ultimus (as applicable to the performance of the Services or delivery of the deliverables under this Agreement). Instances where vendor certification may occur include, but are not limited to, annual compliance reviews, regulatory examinations, or amendments and modifications to this Agreement. If sharing information requested by the Trust in connection with vendor certification would violate Ultimus’ confidentiality agreements with third parties, Ultimus will endeavor to provide the Trust other documentation to reasonably satisfy its compliance requirements. ▇▇▇▇▇▇▇ acknowledges that the Trust may share (subject to confidentiality restrictions consistent with Section 20 hereof) any such information, including the SSAE18/SOC report provided by Ultimus under Section 13.2, with the Trust’s , accountants, attorneys or other advisors, and governmental entities and government-sponsored entities.

Certification and Compliance. ▇U▇▇▇▇▇▇ agrees to comply with the Trust’s reasonable requests for ▇U▇▇▇▇▇▇ to share certain information with the Trust as part of the Trust’s ongoing vendor certification process, including, but not limited to, financial information, control audits, BSA/AML and Office of Foreign Asset Control (OFAC) compliance responsibilities and reports for monitoring potential suspicious activity, reports for monitoring customer complaint activity, and internal policies, processes and procedures of Ultimus (as applicable to the performance of the Services or delivery of the deliverables under this Agreement). Instances where vendor certification may occur include, but are not limited to, annual compliance reviews, regulatory examinations, or amendments and modifications to this Agreement. If sharing information requested by the Trust in connection with vendor certification would violate Ultimus’ confidentiality agreements with third parties, Ultimus will endeavor to provide the Trust other documentation to reasonably satisfy its compliance requirements. ▇U▇▇▇▇▇▇ acknowledges that the Trust may share (subject to confidentiality restrictions consistent with Section 20 hereof) any such information, including the SSAE18/SOC report provided by Ultimus under Section 13.2, with the Trust’s , accountants, attorneys or other advisors, and governmental entities and government-sponsored entities.. Ultimus Master Services Agreement