Compliance Notices. Throughout the term of this Agreement, the Sub-Adviser shall submit to the Adviser: (a) any material changes to the Sub-Adviser’s written policies and procedures (“Compliance Policies”) as required by Rule 206(4)-7 under the Advisers Act and Rule 38a-1 under the 1940 Act that affect the services provided by Sub-Adviser to the Company, (b) notification of regulatory examinations of the Sub-Adviser and general descriptions of the results of such examinations, (c) the annual assessment of the Sub-Adviser’s compliance program and (d) notification of any material compliance matter that affects the services provided by the Sub-Adviser to the Company including but not limited to any material violation of the Compliance Policies or of the code of ethics of the Sub-Adviser. Throughout the term of this Agreement, the Sub-Adviser shall provide the Adviser with any certifications, information and access to personnel and resources (including those resources that will permit testing of the Compliance Policies by the Adviser) that the Adviser may reasonably request to enable the Company to comply with Rule 38a-1 under the 1940 Act. The Adviser shall provide to the Sub-Adviser all information reasonably requested by the Sub-Adviser in order to comply with the provisions hereof, the 1940 Act, the Advisers Act, the U.S. Commodity Exchange Act, as amended and the regulations promulgated thereunder.
Compliance Notices. Throughout the term of this Agreement, Sub-Adviser shall submit to K2: (a) any material changes to Sub-Adviser’s written policies and procedures (“Compliance Policies”) as required by Rule 206(4)-7 under the Advisers Act and Rule 38a-1 under the 1940 Act that relate to the services provided by Sub-Adviser to the Fund, (b) notification of regulatory examinations of Sub-Adviser and general descriptions of the results of such examinations and of any periodic testing of the Compliance Policies, and (c) notification of any material compliance matter that relates to the services provided by Sub-Adviser to the Fund including but not limited to any material violation of the Compliance Policies or of the code of ethics of Sub-Adviser. Throughout the term of this Agreement, Sub-Adviser shall provide K2 with any certifications, information and access to personnel and resources (including those resources that will permit testing of the Compliance Policies by K2) that K2 may reasonably request to enable the Fund to comply with Rule 38a-1 under the 1940 Act.
Compliance Notices. The Company will deliver to the Trustee, within thirty (30) days after the end of each of its fiscal quarters, commencing with the quarter ending December 31, 1996, an Officer's Certificate stating that
Compliance Notices. 25 SECTION 3.8 Corporate Existence . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25
Compliance Notices. The License granted hereunder is conditioned upon Licensee’s compliance with the provisions of the trademark, patent, industrial design and copyright laws of the United States and of any other country or countries within the Territory. All Licensed Products and Licensed Materials shall bear applicable Trademark and Copyright Notices in Licensor's name and shall also include and comply with Labeling Requirements and any other legal notices that Licensor may from time to time require. Except as may be otherwise approved by Licensor, Licensee agrees to use the Licensed Marks as the sole trademark of any Licensed Products bearing the Licensed Marks.
Compliance Notices. In the event you fail to comply with any part of this Lease, we can, but we do not have to, take any action necessary to effect your compliance upon ten (10) days prior written notice to you. If we are required to pay any amount to obtain your compliance, the amount we pay plus all of our expenses in causing your compliance, shall become additional rent and shall be paid by you at the time of the next due rental payment. If any notices are required under this Lease, they shall be sufficient if given personally or mailed to the address set forth in this Lease by certified or registered mail, postage prepaid. This Lease is for the benefit of and is binding upon you and your personal representatives, successors and assigns.
Compliance Notices. Throughout the term of this Agreement, Sub-Adviser shall submit to K2 to the extent permitted by applicable law and regulation: (a) material changes to Sub-Adviser’s written policies and procedures as required by Rule 206(4)-7 under the Advisers Act and Rule 38a-1 under the 1940 Act to the extent that they relate to the services provided by Sub-Adviser to the Subsidiary with respect to the Sub-Advised Portion (“Compliance Policies”), (b) notification of regulatory examinations of Sub-Adviser or any Sub-Adviser Affiliate (not including routine correspondence in the ordinary course of business) and general descriptions of the results of such examinations, and (c) notification of any material compliance matter that relates to the services provided by Sub-Adviser to the Subsidiary including but not limited to any material violation of the Compliance Policies or of the code of ethics of Sub-Adviser. Throughout the term of this Agreement, Sub-Adviser shall provide K2 with any certifications in such form as K2 reasonably requests from time to time, and any information and access to personnel and resources (including those resources that will permit testing of the Compliance Policies by K2) that K2 may reasonably request to enable the Fund to comply with Rule 38a-1 under the 1940 Act.
Compliance Notices. Throughout the term of this Agreement, the Sub-Adviser shall submit to the Adviser: (a) any material changes to the written policies and procedures as required by Rule 206(4)-7 under the Advisers Act of 1940 and Rule 38a-1 under the Investment Company Act that relate to the services provided by the Sub-Adviser to the Company; (b) notification of regulatory examinations of the Sub-Adviser and general descriptions of the results of such examinations and of any periodic testing of applicable compliance policies; and (c) notification of any material compliance matter that relates to the services provided by the Sub-Adviser to the Company, including but not limited to any material violation of applicable compliance policies or the code of ethics of the Sub-Adviser. Throughout the term of this Agreement, the Sub-Adviser shall provide the Adviser with any certifications, information and access to personnel and resources that the Adviser may reasonably request to enable the Company to comply with Rule 38a-1 under the Investment Company Act.
Compliance Notices. Throughout the term of this Agreement, Sub-Adviser shall submit to K2 quarterly reports summarizing whether there have been during such quarter: (a) any material changes to Sub-Adviser’s or any Sub-Adviser Affiliate’s written policies and procedures (“Compliance Policies”) as required by Rule 206(4)-7 under the Advisers Act and Rule 38a-1 under the 1940 Act that relate to the services provided by Sub-Adviser to the Fund, (b) regulatory examinations of Sub-Adviser or any Sub-Adviser Affiliate and general descriptions of the results of such examinations and of any periodic testing of the Compliance Policies, and (c) any material compliance matters that relate to the services provided by Sub-Adviser to the Fund, including, but not limited to, any material violation of the Compliance Policies or of the code of ethics of Sub-Adviser. Throughout the term of this Agreement, Sub-Adviser shall provide K2 with any certifications in such form as K2 provides from time to time, and any information and access to personnel and resources (including those resources that will permit testing of the Compliance Policies by K2) that K2 may reasonably request to enable the Fund to comply with Rule 38a‑1 under the 1940 Act. # 2989580 v. 4
Compliance Notices. Throughout the term of this Agreement, Sub-Adviser shall submit to PFM: (a) any material changes to Sub-Adviser’s written policies and procedures (“Compliance Policies”) as required by Rule 206(4)-7 under the Advisers Act and Rule 38a-1 under the 1940 Act that relate to the services provided by Sub-Adviser to the Fund, (b) notification of regulatory examinations of Sub-Adviser and general descriptions of the results of such examinations and of any periodic testing of the Compliance Policies, and (c) notification of any material compliance matter that relates to the services provided by Sub-Adviser to the Fund including but not limited to any material violation of the Compliance Policies or of the code of ethics of Sub-Adviser. Throughout the term of this Agreement, Sub-Adviser shall provide PFM with any certifications, information and access to personnel and resources (including those resources that will permit testing of the Compliance Policies by PFM) that PFM may reasonably request to enable the Fund to comply with Rule 38a-1 under the 1940 Act.
