Regulatory Filing Services Clause Samples
The Regulatory Filing Services clause outlines the responsibilities and procedures for preparing, submitting, and managing required filings with government or regulatory authorities on behalf of a party. Typically, this clause specifies which party is responsible for ensuring compliance with applicable laws, the scope of filings covered (such as licenses, permits, or periodic reports), and may detail timelines or required documentation. Its core function is to allocate responsibility for regulatory compliance, thereby reducing the risk of legal penalties or business interruptions due to missed or improper filings.
Regulatory Filing Services. The Company shall pay the following fees for regulatory filing services (N-CSR, N-Q and N-PX):
Regulatory Filing Services. (i) ARKap shall file on Issuer’s behalf all required federal and state filings, including notice filings at the cost set forth in Section 2(a) above.
Regulatory Filing Services a. Company provides Regulatory Filing Services as follows unless the Client and Company agree in a Deal Sheet or other writing: Company shall file on Client’s behalf all required federal and state filings, including notice filings. For a Reg A Offering, Regulatory Filing Services specifically includes Company’s filing of Form 5110.
Regulatory Filing Services. (i) Company will provide Regulatory Filing Services at the cost set forth in Section 2(b) above.
Regulatory Filing Services. (i) Company shall file on Client’s behalf all required federal and state filings, including notice filings.
Regulatory Filing Services. Form N-CSR Filing Fee: (2 filings per year per registrant) Form N-Q Filing Fee: (2 filings per year per registrant) Form N-PX Filing Fee: (1 filing per year per registrant) Out-of-Pocket Expenses:
Regulatory Filing Services. The Company shall pay the following fees for regulatory filing and services:
