Rule 38a-1 Compliance Sample Clauses

Rule 38a-1 Compliance. (1) Distributor shall provide to NW its adopted written compliance policies and procedures as required by Rule 38a-1 under the 1940 Act for review and approval by NW, as depositor for the Variable Accounts. Such written compliance policies and procedures: (i) shall be reasonably designed to prevent violations of the federal securities laws, as such laws are defined in Rule 38a-1 under the 1940 Act and relate to Distributor's duties under this Agreement as principal underwriter for the Contracts and the Variable Accounts; and (ii) shall include Distributor's policies and procedures with regard to compliance with the SEC's pricing rules for Variable Accounts, including but not limited to Rule 22c-1 under the 1940 Act, and with regard to NW's Disruptive Trading policy as that policy is disclosed in the Prospectuses for the Contracts (the "Rule 38a-1 policies and procedures").
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Rule 38a-1 Compliance. The Company has (i) appointed a Chief Compliance Officer and (ii) adopted and implemented written policies and procedures reasonably designed to prevent violation of the Federal Securities Laws (as that term is defined in Rule 38a-1 under the Investment Company Act) by the Company, including policies and procedures that provide oversight of compliance for each administrator and transfer agent of the Company;
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Rule 38a-1 Compliance. (i) Principal Underwriter shall provide to Insurer its adopted written compliance policies and procedures as required by Rule 38a-1 under the 1940 Act for review and approval by Insurer, as depositor for the Separate Account. Such written compliance policies and procedures: (1) shall be reasonably designed to prevent violations of the federal securities laws, as such laws are defined in Rule 38a-1 under the 1940 Act and relate to Principal Underwriter’s duties under this Agreement as principal underwriter for the Contracts and the Separate Account; and (2) shall include Principal Underwriter’s policies and procedures with regard to compliance with the SEC’s pricing rules for separate accounts, including but not limited to Rule 22c-1 under the 1940 Act, and with regard to Insurer’s Disruptive Trading policy as that policy is disclosed in the Prospectuses for the Contracts (the “Principal Underwriter’s compliance policies and procedures”).
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Rule 38a-1 Compliance. (a) Advisors has provided Institutional Fund with its written compliance policies and procedures as required by Rule 38a-1 under the 1940 Act (“Rule 38a-1 policies and procedures”) for approval by the Board. Advisors’ Rule 38a-1 policies and procedures shall be reasonably designed to prevent, detect, and correct any material violations by Institutional Fund or Advisors of the federal securities laws as defined in Rule 38a-1, and which include the 1933 Act, the Securities and Exchange Act of 1934, the Xxxxxxxx-Xxxxx Act of 2002, the 1940 Act, the Investment Advisers Act of 1940, Title V of the Xxxxx-Xxxxx-Xxxxxx Act (relating to privacy regulation), any SEC rules adopted under any of these statutes, the Bank Secrecy Act as it applies to registered investment company operations (anti-money laundering), and any rules adopted thereunder by the SEC or the Department of the Treasury (“Federal Securities Laws”).
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Rule 38a-1 Compliance. BNYM has adopted and implemented written policies and procedures reasonably designed to prevent violations of the Federal Securities Laws (as defined in Rule 38a-1 under the 0000 Xxx) by BNYM when acting as transfer agent of the Fund. It will review, no less frequently than annually, the adequacy of the policies and procedures and the effectiveness of their implementation and will report to the Fund any material changes made to the policies and procedures since the date of the last report, and any material changes to the policies and procedures recommended as a result of the annual review. BNYM will provide the Fund with a report of each Material Compliance Matter (as defined in Rule 38a-1 under the 0000 Xxx) that occurs, as well as, upon request, any other information reasonably required by the Fund to conduct the annual review of the policies and procedures of BNYM and the effectiveness of their implementation provided, however, under no circumstances will the foregoing be interpreted to require BNYM to (i) furnish any such information or types of information which it determines in its sole discretion, reasonably applied, to be information not provided to other parties pursuant to BNYM security requirements and is not information that BNYM is otherwise under legal or regulatory obligation to provide to the Fund or (ii) information constituting legal advice to BNYM for its sole benefit, legal analysis for BNYM’s sole benefit or legally privileged materials with the privilege belonging to BNYM. BNYM agrees to provide to the Fund a mutually agreed-upon form of quarterly certification with respect to the compliance provisions under Rule 38a-1 of the 1940 Act.
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Rule 38a-1 Compliance. (1) Distributor shall provide to the Life Company its adopted written compliance policies and procedures as required by Rule 38a-1 under the 1940 Act for review and approval by the Life Company, as depositor for the Variable Accounts. Such written compliance policies and procedures: (i) shall be reasonably designed to prevent violations of the federal securities laws, as such laws are defined in Rule 38a-1 under the 1940 Act and relate to Distributor’s duties under this Agreement as principal underwriter for the Contracts and the Variable Accounts; and (ii) shall include Distributor’s policies and procedures with regard to compliance with the SEC’s pricing rules for Variable Accounts, including but not limited to Rule 22c-1 under the 1940 Act, and with regard to the Life Company’s Disruptive Trading policy as that policy is disclosed in the Prospectuses for the Contracts (the “Rule 38a-1 policies and procedures”).
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Rule 38a-1 Compliance. Ultimus has adopted and implemented written policies and procedures reasonably designed to prevent violations by Ultimus of the Federal Securities Laws (as defined in Rule 38a-1) applicable to Ultimus as transfer agent for the Trust, including policies and procedures relating to Ultimus’s AML services (“38a-1 Policies”). It will periodically review the adequacy of the 38a-1 Policies and the effectiveness of their implementation and will report to the Trust any material changes made to the 38a-1 Policies since the date of the last report. Ultimus will provide the Trust with a report of each matter that it reasonably determines should be considered by the chief compliance officer of the Trust in preparing the report to the Board required by Rule 38a-1. Upon the request of the Trust made upon reasonable notice and not more than once annually, Ultimus will provide the Trust with an opportunity to review with appropriate Ultimus personnel the adequacy of the 38a-1 Policies and the effectiveness of their implementation. Ultimus shall provide the Trust each quarter with a certification relating to the 38a-1 Policies.
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Rule 38a-1 Compliance. Provide all CCO compliance services consistent with the requirements of Rule 38a-1, including without limitation: · Provide General and Ongoing Regulatory and Compliance Consultation, Advice and Recommendations to the Trust Board · Provide Ongoing Review and Oversight of Trust, Investment Advisory, Transfer Agent, Fund Accounting and Fund Administration Compliance Programs to Ensure Ongoing Implementation and Effectiveness · Establish and Maintain Interface Plan for Oversight of Trust, Adviser, Fund Accountant, Transfer Agent and Administrator · Conduct On-Site Reviews (including Risk Assessments and Testing) of Trust and Service Provider Compliance Programs at least Annually, and Make Recommendations for Amendments · Provide Regular Quarterly Compliance Report to Board · Report Violations and Recommend Remedial Actions to Audit Committee and/or Board · Provide Required Rule 38a-1 Annual Written Report to Board · Conduct Required Rule 38a-1 Annual Meeting with Independent Trustees and Be Available as Needed for In-Person Meetings with the Board and Audit Committee · Provide Compliance Support to Trust with Respect to SEC Examinations, Inspections and Regulatory Issues · Cooperate with the Trust in Responding to any Inspection by or Information Request from the SEC that Relates to Matters Covered by this Agreement · Cooperate with Legal Counsel to the Trust and Legal Counsel to its Adviser in Providing All Services Under this Agreement December 10, 2012 SCHEDULE B
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Related to Rule 38a-1 Compliance

  • Rule 144 Compliance With a view to making available to the holders of Registrable Securities the benefits of Rule 144 under the Securities Act and any other rule or regulation of the Commission that may at any time permit a holder to sell securities of the Company to the public without registration or pursuant to a registration on Form S-3 (or any successor form), the Company shall:

  • Regulation M Compliance The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or, paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to the Company’s placement agent in connection with the placement of the Securities.

  • Rule 17g-5 Compliance Seller hereby agrees that it shall provide information with respect to the Mortgage Loans or the origination thereof to any Rating Agency or nationally recognized statistical rating organization (“NRSRO”) via electronic mail at rxxx00x0xxxxxxxxxxxxxxxxxxx@xxxxxxxxxx.xxx, with a subject reference of “SEMT 2012-1” and an identification of the type of information being provided in the body of such electronic mail. The Securities Administrator, as the initial Rule 17g-5 Information Provider (the “Rule 17g-5 Information Provider”) shall notify Seller in writing of any change in the identity or contact information of the Rule 17g-5 Information Provider. Seller shall have no liability for (i) the Rule 17g-5 Information Provider’s failure to post information provided by it in accordance with the terms of this Agreement or (ii) any malfunction or disabling of the website maintained by the Rule 17g-5 Information Provider. None of the foregoing restrictions in this Section 22 prohibit or restrict oral or written communications, or providing information, between Seller, on the one hand, and any Rating Agency or NRSRO, on the other hand, with regard to (i) such Rating Agency’s or NRSRO’s review of the ratings it assigns to Seller or (ii) such Rating Agency’s or NRSRO’s evaluation of Seller’s operations in general; provided, however, that Seller shall not provide any information relating to the Mortgage Loans to such Rating Agency or NRSRO in connection with such review and evaluation by such Rating Agency or NRSRO unless: (x) borrower, property or deal specific identifiers are redacted; or (y) such information has already been provided to the Rule 17g-5 Information Provider.

  • Exchange Act Compliance During the Prospectus Delivery Period, the Company will file all documents required to be filed with the Commission pursuant to Section 13, 14 or 15 of the Exchange Act in the manner and within the time periods required by the Exchange Act.

  • Reporting Compliance The Company is subject to, and is in compliance in all material respects with, the reporting requirements of Section 13 and Section 15(d), as applicable, of the Exchange Act.

  • SEC Compliance Such Borrower and the applicable Fund(s) are in compliance in all material respects with all federal and state securities or similar laws and regulations, including all material rules, regulations and administrative orders of the Securities and Exchange Commission (the "SEC") and applicable Blue Sky authorities. Such Borrower and the applicable Fund(s) are in compliance in all material respects with all of the provisions of the Investment Company Act of 1940, and such Borrower has filed all reports with the SEC that are required of it or the applicable Fund(s);

  • Securities Act Compliance After the date of this Agreement, the Company shall promptly advise the Agent in writing (i) of the receipt of any comments of, or requests for additional or supplemental information from, the Commission; (ii) of the time and date of any filing of any post-effective amendment to the Registration Statement, any Rule 462(b) Registration Statement or any amendment or supplement to the Prospectus, any Free Writing Prospectus; (iii) of the time and date that any post-effective amendment to the Registration Statement or any Rule 462(b) Registration Statement becomes effective; and (iv) of the issuance by the Commission of any stop order suspending the effectiveness of the Registration Statement or any post-effective amendment thereto, any Rule 462(b) Registration Statement or any amendment or supplement to the Prospectus or of any order preventing or suspending the use of any Free Writing Prospectus or the Prospectus, or of any proceedings to remove, suspend or terminate from listing or quotation the Common Shares from any securities exchange upon which they are listed for trading or included or designated for quotation, or of the threatening or initiation of any proceedings for any of such purposes. If the Commission shall enter any such stop order at any time, the Company will use its best efforts to obtain the lifting of such order as soon as practicable. Additionally, the Company agrees that it shall comply with the provisions of Rule 424(b) and Rule 433, as applicable, under the Securities Act and will use its reasonable efforts to confirm that any filings made by the Company under such Rule 424(b) or Rule 433 were received in a timely manner by the Commission.

  • CEQA Compliance The District has complied with all assessment requirements imposed upon it by the California Environmental Quality Act (Public Resource Code Section 21000 et seq. (“CEQA”) in connection with the Project, and no further environmental review of the Project is necessary pursuant to CEQA before the construction of the Project may commence.

  • OFAC Compliance (a) Tenant represents and warrants that (a) Tenant and each person or entity owning an interest in Tenant is (i) not currently identified on the Specially Designated Nationals and Blocked Persons List maintained by the Office of Foreign Assets Control, Department of the Treasury (“OFAC”) and/or on any other similar list maintained by OFAC pursuant to any authorizing statute, executive order or regulation (collectively, the “List”), and (ii) not a person or entity with whom a citizen of the United States is prohibited to engage in transactions by any trade embargo, economic sanction, or other prohibition of United States law, regulation, or Executive Order of the President of the United States, (b) none of the funds or other assets of Tenant constitute property of, or are beneficially owned, directly or indirectly, by any Embargoed Person (as hereinafter defined), (c) no Embargoed Person has any interest of any nature whatsoever in Tenant (whether directly or indirectly), (d) none of the funds of Tenant have been derived from any unlawful activity with the result that the investment in Tenant is prohibited by law or that the Lease is in violation of law, and (e) Tenant has implemented procedures, and will consistently apply those procedures, to ensure the foregoing representations and warranties remain true and correct at all times. The term “

  • PCI Compliance A. The Acquiring Bank will provide The Merchant with appropriate training on PCI PED and/or DSS rules and regulations in respect of The Merchants obligations. Initial training will be provided and at appropriate intervals as and when relevant changes are made to such rules and regulations.

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