COMPLAINTS AND INVESTIGATIONS. 1. This article applies to complaints or allegations made externally and not from normal supervisory activities.
COMPLAINTS AND INVESTIGATIONS. Pacific Mutual, PEN, Selling Broker-Dealer and General Agent agree to cooperate fully in any insurance regulatory investigation or proceeding or judicial proceeding arising in connection with the Contracts distributed under this Agreement. Pacific Mutual, PEN, Selling Broker-Dealer and General Agent further agree to cooperate fully in any securities regulatory investigation or proceeding with respect to Pacific Mutual, PEN, Selling Broker-Dealer and General Agent, 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:
COMPLAINTS AND INVESTIGATIONS. 1. The department head or agency head shall be responsible to ensure that all allegations of misconduct and other violations are investigated as follows.
COMPLAINTS AND INVESTIGATIONS. 1. If Contracting party does not lodge a written complaint with Contractor after he/she has discovered or should have discovered a fault in the performance of Contractor, Contracting party shall no longer be able to claim this fault.
COMPLAINTS AND INVESTIGATIONS. A. Broker-Dealer shall promptly provide Notice to Company and Distributor of any written complaint or inquiry or notice of any investigation or proceeding (customer, regulatory, judicial or otherwise) received by Broker-Dealer (or any Registered Representative or Broker) that relates to any Contract or Policy or any activities undertaken in connection with this Agreement.
COMPLAINTS AND INVESTIGATIONS. 1. This article applies to complaints or allegations made externally and not from normal supervisory activities. In cases of alleged abuse or neglect of students by employees, the Complaints and Investigation Protocol of Abuse and Neglect Investigations or Standards Violations adopted by the Board shall be followed. In such cases, should there be any procedural inconsistencies between the protocol and this article, the protocol shall apply.
COMPLAINTS AND INVESTIGATIONS. Broker/Dealer and Distributor jointly agree to cooperate fully in any insurance regulatory investigation or proceeding or judicial proceeding arising in connection with the Annuity Contracts marketed under this Agreement. Broker/Dealer and Distributor further agree to cooperate fully in any securities regulatory investigation or proceeding or judicial proceeding with respect to Broker/Dealer, Distributor, their affiliates and their agents or representatives to the extent that such investigation o proceeding is in connection with an Annuity Contract marketed under this Agreement. Broker/Dealer shall furnish applicable federal and state regulatory authorities with any information or reports in connection with its services under this Agreement which such authorities may request in order to ascertain whether Golden American's operations are being conducted in a manner consistent with any applicable law ore regulation.
COMPLAINTS AND INVESTIGATIONS. Pacific Life, Distributor, Broker/Dealer and Agency agree to cooperate fully in any insurance or securities regulatory investigation or proceeding or judicial proceeding with respect to Pacific Life, 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:
COMPLAINTS AND INVESTIGATIONS. The parties to this Agreement agree to cooperate fully in any securities regulatory investigation or proceeding or judicial or administrative proceeding with respect to each such party and any of their directors, officers, employees, designated agents or Representatives or their affiliates to the extent that such investigation or proceeding is in connection with any of the activities pursuant to this Agreement. Without limiting the generality of the foregoing: (a) Dealer shall promptly notify MFD of any complaint or comment regarding the sale of shares of the Funds or any allegations that Dealer or its directors, officers, employees, agents or Representatives violated any law, regulation or rule in connection with the activities governed by this Agreement; (b) Dealer shall promptly investigate any such complaints or allegations, take appropriate remedial measures and notify MFD of the same; and (c) Dealer shall cooperate fully with MFD in any regulatory, judicial and administrative proceeding involving Dealer’s activities under this Agreement.
COMPLAINTS AND INVESTIGATIONS. (1) Broker and Company jointly agree to cooperate fully in any insurance regulatory investigation or proceeding or judicial proceeding arising in connection with the contracts marketed under this Agreement. Broker and Company further agree to cooperate fully in any securities regulatory investigation or proceeding or judicial proceeding with respect to Broker, Company, their affiliates and the Agent to the extent that such investigation or proceeding is in connection with Contracts marketed under this Agreement. Broker and Company shall furnish applicable federal and state regulatory authorities with any information or reports in connection with their services under this Agreement which such authorities may request in order to ascertain whether the Company's or Broker's operations are being conducted in a manner consistent with any applicable law or regulation.
