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.
Appears in 107 contracts
Samples: Selling and Shareholder Servicing Agreement (Apollo S3 Private Markets Fund), Sub Placement Agent Agreement (XAI Octagon Floating Rate & Alternative Income Trust), Sub Placement Agent Agreement (NXG Cushing Midstream Energy Fund)
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 each's activities under this Agreement and promptly to notify the other party of any such investigation or proceeding.
Appears in 46 contracts
Samples: Form of Dealer Agreement (Command Money Fund), Form of Dealer Agreement (TCW Galileo Funds Inc), Dealer Agreement (Prudential Emerging Growth Fund Inc)
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 's activities under this Agreement and promptly to notify the other party of any such investigation or proceeding.
Appears in 17 contracts
Samples: Services Agreement (Strong Opportunity Fund Ii Inc / Wi), Claymore Funds (Claymore Trust), Dealer Agreement (Van Kampen Senior Loan Fund)
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 's activities under this Agreement and promptly to notify the other party of any such investigation or proceeding.
Appears in 17 contracts
Samples: Sub Placement Agent Agreement (RiverNorth Managed Duration Municipal Income Fund II, Inc.), Sub Placement Agent Agreement (RiverNorth Opportunistic Municipal Income Fund, Inc.), Sub Placement Agent Agreement (RiverNorth Flexible Municipal Income Fund, Inc.)
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 's activity under this Agreement and promptly to notify the other party of any such investigation or proceeding.
Appears in 8 contracts
Samples: Distribution and Servicing Agreement (Advisors Inner Circle Fund II), Distribution and Servicing Agreement (Japan Fund Inc), Distribution and Servicing Agreement (Advisors Inner Circle Fund)
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 partyeach’s activities under this Agreement and promptly to notify the other party of any such investigation or proceeding.
Appears in 6 contracts
Samples: Dealer Agreement (TCW Funds Inc), Dealer Agreement (TCW Funds Inc), Dealer Agreement (TCW Funds Inc)
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.
Appears in 4 contracts
Samples: Dealer Agreement (Manning & Napier Fund, Inc.), Dealer Agreement (Eaton Vance Unit Trust - Series 1), Distribution Agreement (Wells Fargo Variable Trust)
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 's activity under this Agreement and promptly to notify the other party of any such investigation or proceedingAgreement.
Appears in 4 contracts
Samples: Sub Distribution and Servicing Agreement (Winton Diversified Opportunities Fund), Administrative Services Agreement (Aul American Unit Trust), Sub Distribution and Servicing Agreement (Advisors Inner Circle Fund)
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 activity under this Agreement and promptly to notify the other party of any such investigation or proceeding.
Appears in 4 contracts
Samples: Sub Distribution and Servicing Agreement (Wilshire Variable Insurance Trust), Sub Distribution Agreement (Barclays Global Investors Funds), Sub Distribution and Servicing Agreement (Bishop Street Funds)
Investigations and Proceedings. The parties to this Agreement agree to cooperate fully in any securities or insurance regulatory investigation or proceeding or any judicial proceeding with respect to each party’s the others' activities under this Agreement and promptly to notify the other party parties of any such investigation or proceeding.
Appears in 3 contracts
Samples: Broker and Agency Sales Agreement (Prudential Qualified Individual Variable Contract Account/Nj), Broker and Agency Sales Agreement (Prudential Individual Variable Contract Account), Broker and Agency Sales Agreement (Pruco Life Flexible Premium Variable Annuity Account)
Investigations and Proceedings. The parties to this Agreement agree to cooperate fully cooperate, to the full extent permitted by applicable laws and regulations, in any securities regulatory investigation or proceeding or any judicial proceeding with respect to each party’s 's activities under this Agreement and promptly to notify the other party of any such investigation or proceeding.
Appears in 3 contracts
Samples: Form of Selected Dealer Agreement (Morgan Stanley FX Series Funds), Selected Dealer Agreement (Morgan Stanley Series Funds), Selected Dealer Agreement (Morgan Stanley Fundamental Value Fund)
Investigations and Proceedings. The parties to this Agreement agree to reasonably 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.
Appears in 3 contracts
Samples: Participation Agreement (Blackstone Alternative Alpha Fund II), Participation Agreement (Blackstone Alternative Alpha Fund II), Dealer Agreement (Blackstone Alternative Alpha Fund)
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 activity under this Agreement and promptly to notify the other party of any such investigation or proceedingAgreement.
Appears in 2 contracts
Samples: Sub Distribution and Servicing Agreement (Bishop Street Funds), Sub Distribution and Servicing Agreement (TD Asset Management USA Funds Inc.)
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 of either party under this Agreement and promptly to notify the other party of any such investigation or proceeding.
Appears in 2 contracts
Samples: Services Agreement (Allianz Life Variable Account B), Services Agreement (Allianz Life of Ny Variable Account C)
Investigations and Proceedings. The parties Each party to this Agreement agree to shall 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 promptly of any such investigation or proceeding.
Appears in 1 contract
Samples: Distribution and Shareholder Services Agreement (Aul American Unit Trust)
Investigations and Proceedings. The parties to this Agreement agree to cooperate fully cooperate, to the full extent permitted by applicable laws and regulations, 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.
Appears in 1 contract
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 of either party under this Agreement and promptly to notify the other party of any such investigation or proceeding.
Appears in 1 contract
Investigations and Proceedings. The parties to this Agreement agree to cooperate fully in any securities secunt1es regulatory investigation or proceeding or any judicial proceeding with respect to each party’s activities of either party under this Agreement and promptly to notify the other party of any such investigation or proceeding.
Appears in 1 contract
Samples: Participation Agreement (Guardian Separate Account E)
