COMPLIANCE MANUAL Sample Clauses

COMPLIANCE MANUAL. Registered Rep will familiarize Registered Rep with, and will comply with, all the requirements set forth in the State Farm VP Management Corp. Variable Products Compliance Manual (the "Compliance Manual"), as it may be amended from time to time or supplemented by compliance memoranda from Broker-Dealer. Without limiting the generality of the preceding sentence, Registered Rep shall comply with the customer complaint procedures and the filing and recordkeeping requirements set forth in the Compliance Manual.
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COMPLIANCE MANUAL. The Broker Compliance Manual and any associated procedures in effect as of the date hereof shall constitute the Broker Compliance Manual and shall govern the compliance responsibilities of the CIGNA RRs and associated persons. In the event that the Broker Compliance Manual is amended or supplemented or Broker desires that other Broker compliance policies be deemed applicable to the CIGNA RRs, it will be Broker's responsibility to communicate same to the CIGNA SSP, whereupon it will be CG's responsibility to ensure timely compliance therewith. Without limiting the foregoing, gift and entertainment activities of CIGNA RRs will be subject to Broker's policy and procedure, and marketing material for Covered Products will be supplied to Broker in advance for review and approval.
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COMPLIANCE MANUAL. Registered Rep(s) will familiarize and comply with, all the requirements set forth in the INVESTORS BROKERAGE SERVICES, INC. Compliance and Procedures Manual (the "Compliance Manual"), as it may be amended from to time and supplemented by addendums, attachments or compliance memoranda from Broker-Dealer. Without limiting the generality of the preceding sentence, Registered Rep shall comply with the customer compliant procedures and the filing and recordkeeping requirements set forth in the Compliance Manual.
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COMPLIANCE MANUAL. 1. FCS will prepare a compliance manual for the Trust and the CCO will present it to the Board of Trustees of the Trust (the “Board”) for approval.
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COMPLIANCE MANUAL. The Company will conduct its 38a-1 review of Fidelity and its polices and procedures to ensure that these Services are consistent with the requirements under SEC rule 38a-1 and the Company's program as described in the Company's Rule 38a-1 manual.
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COMPLIANCE MANUAL. WCM has made available to Buyer prior to the date hereof a true, correct and complete copy of WCM’s compliance policies and procedures (“Compliance Manual”). WCM’s Compliance Manual is in compliance in all material respects with applicable laws, rules and regulations, including, without limitation, Rule 206(4)-7 under the Investment Advisers Act and Rule 38a-1 under the Investment Company Act. As of the date hereof, there have been no material violations or allegations of material violations of WCM’s Compliance Manual.
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COMPLIANCE MANUAL. RR will familiarize himself with, and will comply with, all the requirements set forth in the RR Compliance Manual (the "Compliance Manual"), as it may be amended from time to time or supplemented by compliance memoranda from Broker/Dealer supervisory personnel. Without limiting the generality of the preceding sentence, RR shall comply with the customer complaint procedures and the filing and recordkeeping requirements set forth in the Compliance Manual.
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Related to COMPLIANCE MANUAL

  • Periodic Review of Compliance Policies and Procedures During the Term, Transfer Agent shall periodically assess its compliance policies and procedures (the “Policies”). Transfer Agent shall provide, (i) no less frequently than annually, electronic access to its Policies to the chief compliance officer of the Fund (the “Chief Compliance Officer”), and/or any individual designated by the Fund or such Chief Compliance Officer, including but not limited to members of the internal compliance and audit departments of Federated Investors, Inc., and any advisory board constituted by the Fund provided that the Transfer Agent may reasonably require any members of such advisory board that are not employees of the Fund or its Affiliates to execute a confidentiality agreement with respect to such information; (ii) at such reasonable times as he or she shall request, access by such Chief Compliance Officer to such individuals as may be necessary for the Chief Compliance Officer to conduct an annual review of the operation of such Policies for purposes of making his or her annual report to the Board of the Fund (the “Annual Report”), (iii) promptly upon enactment, notification of, and a copy of, any material change in such Policies, and (iv) promptly upon request, such other information as may be reasonably requested by such Chief Compliance Officer for purposes of making such Annual Report.

  • Reporting of Compliance Matters (a) The Sub-Adviser shall promptly provide to the Trust’s Chief Compliance Officer (“CCO”) the following documents:

  • Compliance Matters (a) The Sub-Adviser understands and agrees that it is a “service provider” to the Trust as contemplated by Rule 38a-1 under the 1940 Act. As such, the Sub-Adviser agrees to cooperate fully with the Adviser and the Trust and its Trustees and officers, including the Fund’s CCO, with respect to (i) any and all compliance-related matters, and (ii) the Trust’s efforts to assure that each of its service providers adopts and maintains policies and procedures that are reasonably designed to prevent violation of the “federal securities laws” (as that term is defined by Rule 38a-1) by the Trust, the Adviser and the Sub-Adviser. In this regard, the Sub-Adviser shall:

  • Compliance Policies and Procedures To assist the Fund in complying with Rule 38a-1 of the 1940 Act, BBH&Co. represents that it has adopted written policies and procedures reasonably designed to prevent violation of the federal securities laws in fulfilling its obligations under the Agreement and that it has in place a compliance program to monitor its compliance with those policies and procedures. BBH&Co will upon request provide the Fund with information about our compliance program as mutually agreed.

  • Compliance Reporting a. Provide reports to the Securities and Exchange Commission, the National Association of Securities Dealers and the States in which the Fund is registered.

  • Compliance Program The Company has established and administers a compliance program applicable to the Company, to assist the Company and the directors, officers and employees of the Company in complying with applicable regulatory guidelines (including, without limitation, those administered by the FDA, the EMA, and any other foreign, federal, state or local governmental or regulatory authority performing functions similar to those performed by the FDA or EMA); except where such noncompliance would not reasonably be expected to have a Material Adverse Effect.

  • Compliance; Modification The Asset Representations Reviewer will cooperate with and provide information to the Issuer regarding the Asset Representations Reviewer’s compliance with this Section 4.10. The Asset Representations Reviewer and the Issuer agree to modify this Section 4.10 as necessary from time to time for either party to comply with applicable law.

  • Compliance Reports The Subadvisor at its expense will provide the Advisor with such compliance reports relating to its duties under this Agreement as may be agreed upon by such parties from time to time.

  • Sub-Advisor Compliance Policies and Procedures The Sub-Advisor shall promptly provide the Trust CCO with copies of: (i) the Sub-Advisor’s policies and procedures for compliance by the Sub-Advisor with the Federal Securities Laws (together, the “Sub-Advisor Compliance Procedures”), and (ii) any material changes to the Sub-Advisor Compliance Procedures. The Sub-Advisor shall cooperate fully with the Trust CCO so as to facilitate the Trust CCO’s performance of the Trust CCO’s responsibilities under Rule 38a-1 to review, evaluate and report to the Trust’s Board of Trustees on the operation of the Sub-Advisor Compliance Procedures, and shall promptly report to the Trust CCO any Material Compliance Matter arising under the Sub-Advisor Compliance Procedures involving the Sub-Advisor Assets. The Sub-Advisor shall provide to the Trust CCO: (i) quarterly reports confirming the Sub-Advisor’s compliance with the Sub-Advisor Compliance Procedures in managing the Sub-Advisor Assets, and (ii) certifications that there were no Material Compliance Matters involving the Sub-Advisor that arose under the Sub-Advisor Compliance Procedures that affected the Sub-Advisor Assets. At least annually, the Sub-Advisor shall provide a certification to the Trust CCO to the effect that the Sub-Advisor has in place and has implemented policies and procedures that are reasonably designed to ensure compliance by the Sub-Advisor with the Federal Securities Laws.

  • Regulatory Compliance Cooperation (a) CIT/VC agrees to use commercially reasonable best efforts to avoid the occurrence of a Regulatory Problem. In the event that CIT/VC determines that it has a Regulatory Problem, the Company agrees to use commercially reasonable efforts to take all such actions as are reasonably requested by CIT/VC in order (A) to effectuate and facilitate any transfer by CIT/VC of any Securities of the Company then held by CIT/VC to any Person designated by CIT/VC (subject, however, to compliance with Section 3 of this Agreement), (B) to permit CIT/VC (or any Affiliate of CIT/VC) to exchange all or any portion of the voting Securities of the Company then held by such Person on a share-for-share basis for shares of a class of non-voting Securities of the Company, which non-voting Securities shall be identical in all respects to such voting Securities, except that such new Securities shall be non-voting and shall be convertible into voting Securities on such terms as are requested by CIT/VC in light of regulatory considerations then prevailing, and (C) to continue and preserve the respective allocation of the voting interests with respect to the Company arising out of CIT/VC's ownership of voting Securities of the Company and/or provided for in this Agreement before the transfers and amendments referred to above (including entering into such additional agreements as are requested by CIT/VC to permit any Person(s) designated by CIT/VC to exercise any voting power which is relinquished by CIT/VC upon any exchange of voting Securities for nonvoting Securities of the Company); and the Company shall enter into such additional agreements, adopt such amendments to this Agreement, the Company's Charter and the Company's By-laws and other relevant agreements and taking such additional actions, in each case as are reasonably requested by CIT/VC in order to effectuate the intent of the foregoing. If CIT/VC elects to transfer Securities of the Company to a Regulated Holder in order to avoid a Regulatory Problem, the Company shall enter into such agreements with such Regulated Holder as it may reasonably request in order to assist such Regulated Holder in complying with applicable laws, and regulations to which it is subject. Such agreements may include restrictions on the 39. redemption, repurchase or retirement of Securities of the Company that would result or be reasonably expected to result in such Regulated Holder holding more voting securities or total securities (equity and debt) than it is permitted to hold under such laws and regulations.

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