Regulatory and Compliance. The provisions of this Article IV shall in no way limit the ability of any Stockholder, or the corporate parent or affiliate thereof, to make any disclosure regarding any project, research or agreement of the Company, of a kind required to comply with either (i) the securities laws and regulations of the United States, the Republic of Singapore or any other jurisdiction in which such entity shall have any securities or reporting obligations; or (ii) the disclosure rules of any securities exchange, market, quotation system, alternative trading system or similar institution on which the securities of such entity are traded, quoted, marketed or otherwise listed or available for sale.
Regulatory and Compliance. 13. In accordance with s83 of the Consumer Rights Act 2015 We are a member of the Consumer Redress Scheme operated by the Property Redress Scheme. They can be contacted by telephone on 0000 000 0000 and more information can be found about them on their website at xxx.xxxxxx.xx.xx. You should note that they will not deal with a complaint unless You have complained to Us first and given Us a reasonable opportunity to respond. Our PRS Membership Number is PRS005422.
Regulatory and Compliance. (a) The Seller has not, since the Relevant Date, received written notice from any Government Agency or regulatory body that it is in violation of, or in default with respect to, any statute, regulation, order, decree or judgment of any court or Government Agency.
Regulatory and Compliance. 4.1 Each Group Company has all material licences, registrations permits, consents and other authorisations (public and private) necessary and customary for the operation of its business in the places and in the manner in which such business is carried out at today’s date (together the Authorisations), and, so far as the Seller is aware, such Authorisations are valid and in full force and effect.
Regulatory and Compliance. 5. Taxation
Regulatory and Compliance. (q) As of the Effective Date, Innate, its Affiliates and, to their knowledge, their contractors, have at all times (a) researched and developed the CD39 Option Product in accordance with all Applicable Laws, and (b) undertaken clinical trials and prepared, maintained and retained all Regulatory Documentation in accordance with GLP, GCP, regulations and other Applicable Laws.
Regulatory and Compliance a) Preparation and filing of all federal and state reports, with the assistance of outside counsel as appropriate, including: - Post-effective amendments under the Securities Act of 1933 and the Investment Company Act of 1940. - Form N-SAR, the semi-annual report for registered investment companies. - Semi-annual and annual financial statements. - Rule 24f-2 notice filing regarding sales of securities. - Rule 17g-1 filing regarding fidelity bond coverage. - Ongoing monitoring and filing of state blue sky registrations. b) Prepare, file and arrange for the mailing of reports to shareholders, including prospectuses, proxies, financial statements and other reports as required by law. c) Maintain all books and records of the Fund as required by federal and state law. d) Establish and maintain procedures for compliance with federal and state regulations and establish and implement compliance procedures and controls for the investment advisory operations. e) Monitor compliance with the Fund's investment limitations and restrictions, as outlined in the prospectus and statement of additional information. f) Supervise and coordinate materials, communications and other matters in connection with compliance examinations of the Fund by the SEC and other regulatory agencies.
Regulatory and Compliance. 19.1 All material authorisations, licences, approvals, consents, permissions, registrations, permits, notifications, waivers, orders or exemptions ("Permits") required for or in connection with the business of the Group (including, without limit, the holding of any assets) have been obtained and are in full force and effect and the Group is in compliance with the terms and conditions of such Permits. No act, event or omission has occurred as a result of which any Permit is likely to be cancelled, suspended, modified, revoked or not renewed or otherwise affected in whole or in part.
Regulatory and Compliance. Each Provider and each Representative of such Provider, shall at all times, in connection with the provision of the Services, comply with any relevant regulatory and compliance policies and procedures of the Recipient that were in effect for the Recipient immediately prior to 15 September 2008 and that were applicable to and complied with by the Provider prior to 15 September 2008 in connection with the provision of the Services (and as such policies are subsequently amended by the Recipient from time to time acting reasonably and in good faith). For the avoidance of doubt and without limitation, this will include such regulatory and compliance policies and procedures which govern:
Regulatory and Compliance. (a) Each party hereto shall be responsible for its own compliance with any and all Applicable Laws applicable to its performance under this Agreement; provided, however, that each Xxxxxx Europe Entity and LBHI Entity shall, subject to reimbursement of out-of-pocket expenses by the requesting party, cooperate and provide one another with all reasonably requested assistance (including the execution or provision of documents and the provision of relevant information such as, but without limitation, personal account dealing information of any Representative and access to premises) required by the requesting party to ensure compliance with all Applicable Laws in connection with any regulatory action, requirement, inquiry or examination related to this Agreement or the Services.
