SECURITIES VIOLATIONS. The Company represents and warrants that none of its directors or officers is or has within the last five years, been the subject of, or a defendant in: (i) an enforcement action or prosecution (or settlement in lieu thereof) brought by a governmental authority relating to a violation of securities, tax, fiduciary or criminal laws, or (ii) a civil action (or settlement in lieu thereof) brought by shareholders or investors in a common investment vehicle for violation of duties owed to the shareholders or investors.
Appears in 6 contracts
Samples: Note Purchase Agreement (Monogram Biosciences, Inc.), Stock Purchase Agreement (Virologic Inc), Securities Purchase Agreement (Epimmune Inc)
