Compliance Matter definition

Compliance Matter means any written or other communication sent to the Advisor by any foreign, federal or state agency or regulatory authority or any self-regulatory authority in connection with any of the following: (i) the Advisor's compliance with, or failure to comply with, Applicable Law as they relate to the Advisor's investment management operations; (ii) the business or affairs of the Advisor or any current or former client of the Advisor as they relate to the Advisor's investment management operations; or (iii) compliance by any person other than the Advisor with, or such person's failure to comply with, Applicable Law as they relate to the Advisor's investment management operations.

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Compliance Matter means any written or other communication sent to the Advisor by any United States federal or state agency or regulatory authority or any self-regulatory authority, in each case having jurisdiction over the Advisor, in connection with the Advisor's compliance with, or failure to comply with, Applicable Laws as they relate to the Advisor's investment management operations. For the avoidance of doubt, the term "Advisor" as used in this Section 6 shall include both Sanford C. Bernstein & Co., ▇▇▇ ▇▇▇ ▇▇▇▇▇▇▇▇ Capital Management L.P.

Compliance Matter means an event, condition, activity, practice, action or omission which gives rise to a violation of an Environmental Law at or affecting any property or facility of the Business other than the Tychy, Poland and Gliwice, Poland facilities but which excludes Environmental Contamination.

Examples of Compliance Matter in a sentence

• The Sub-Advisor shall cooperate fully with the Trust CCO so as to facilitate the Trust CCO’s performance of the Trust CCO’s responsibilities under Rule 38a-1 to review, evaluate and report to the Trust’s Board of Trustees on the operation of the Sub-Advisor Compliance Procedures, and shall promptly report to the Trust CCO any Material Compliance Matter arising under the Sub-Advisor Compliance Procedures involving the Sub-Advisor Assets.

• The Sub-Adviser shall cooperate fully with the Trust CCO so as to facilitate the Trust CCO’s performance of the Trust CCO’s responsibilities under Rule 38a-1 to review, evaluate and report to the Trust’s Board on the operation of the Sub-Adviser Compliance Procedures, and shall promptly report to the Trust CCO any Material Compliance Matter arising under the Sub-Adviser Compliance Procedures involving the Portfolio or Segment.

• It will provide the Trust with an annual report of each Material Compliance Matter (as defined under the rules related to the ▇▇▇▇ ▇▇▇) that occurred since the date of the last report.

• The Sub-Advisor shall cooperate fully with the Trust CCO so as to facilitate the Trust CCO's performance of the Trust CCO's responsibilities under Rule 38a-1 to review, evaluate and report to the Trust's Board of Trustees on the operation of the Sub-Advisor Compliance Procedures, and shall promptly report to the Trust CCO any Material Compliance Matter arising under the Sub-Advisor Compliance Procedures involving the Sub-Advisor Assets.

• In order to assist the Trust in satisfying the requirements of Rule 38a-1 under the 1940 Act (the “Rule”), USBFS will provide the Trust’s Chief Compliance Officer with reasonable access to USBFS’ fund records relating to the services provided by it under this Agreement, and will provide quarterly compliance reports and related certifications regarding any Material Compliance Matter (as defined in the Rule) involving USBFS that affect or could affect the Trust.

• It will provide the Fund with an annual report of each Material Compliance Matter (as defined under the rules related to the ▇▇▇▇ ▇▇▇) that occurred since the date of the last report.

• A "Material Compliance Matter" has the same meaning as the term defined in Rule 38a-1, and includes any compliance matter that involves: (1) a violation of the federal securities laws by Distributor (or its officers, directors, employees, or agents); (2) a violation of Distributor's Rule 38a-1 policies and procedures; or (3) a weakness in the design or implementation of Distributor's Rule 38a-1 policies and procedures.

• In the event that the CCO reports a Material Compliance Matter and is not reasonably satisfied with the Trust’s efforts to address and remedy the same, the CCO shall report such Material Compliance Matter to the Trustees.

• It will provide the Trust with an annual report of each Material Compliance Matter (as defined under the rules related to the 1▇▇▇ ▇▇▇) that occurred since the date of the last report.

• In order to assist the Trust is satisfying the requirements of Rule 38a-1 under the 1940 Act (the “Rule”), Custodian will provide the Trust’s Chief Compliance Officer with reasonable access to Custodian’s records relating the services provided by it under this Agreement, and will provide quarterly compliance reports and related certifications regarding any Material Compliance Matter (as defined in the Rule) involving Custodian that affects or could affect the Trust.

More Definitions of Compliance Matter

Compliance Matter means a matter relating to compliance with any Health Care Laws that is identified by a Party, whether through internal audit or otherwise, for which another Party may bear responsibility or exposure.

Compliance Matter means matters which may damage company prop- erty or reputation of Kanematsu Group through violation of laws and regulations, company regulations or general societal norms.

Compliance Matter is defined in Section 6.11.

Compliance Matter means any written or other communication sent to the Sub-Adviser by any foreign, federal or state agency or regulatory authority or any self-regulatory authority in connection with any of the following: (i) the Sub-Adviser’s failure to comply with Applicable Law as they relate to the Sub-Adviser’s investment management operations; (ii) the business or affairs of the Sub-Adviser or any current or former client of the Sub-Adviser as they relate to the Sub-Adviser’s investment management operations with respect to the Fund; or (iii) compliance by any person other than the Sub-Adviser with, or such person’s failure to comply with, Applicable Law as they relate to the Sub-Adviser’s investment management operations.

Compliance Matter is defined in Section 7.13.