VALIC. (i) is registered as an investment adviser under the Advisers Act and will continue to be so registered for so long as this Agreement remains in effect: (ii) is not prohibited by the 1940 Act or the Advisers Act from performing the services contemplated by this Agreement; (iii) has met, and will continue to meet for so long as this Agreement remains in effect, any applicable federal or state requirements, or the applicable requirements of any regulatory or industry self-regulatory agency, necessary to be met in order to perform the services contemplated by this Agreement, (iv) has the authority to enter into and perform the services contemplated by this Agreement, and (v) will immediately notify the SUB-ADVISER of the occurrence of any event that would disqualify VALIC from serving as an investment adviser of an investment company pursuant to Section 9(a) of the 1940 Act or otherwise.
VALIC upon receipt of necessary information and written or verbal instructions from the Company, shall maintain and keep current the following books: Accounts and Records, journals or other records of original entry relating to the business of the Company, and necessary or advisable for compliance with applicable regulations, including Rules 31(a)-1 and 31(a)-2 of the Investment Company Act of 1940, as amended (the "1940 Act"), in such form as may be mutually agreed to between the Company and VALIC:
VALIC agrees to perform the Administrative Services specified in Exhibit A hereto for the benefit of the Contract Owners.
VALIC. (i) is registered as an investment adviser under the Advisers Act and will continue to be so registered for so long as this Agreement remains in effect: (ii) is not prohibited by the 1940 Act or the Advisers Act from performing the services contemplated by this Agreement; (iii) has met, and will continue to meet for so long as this Agreement remains in effect, any applicable federal or state requirements, or the applicable requirements of any regulatory or industry self-regulatory agency, necessary to be met in order to perform the services contemplated by this Agreement, (iv) has the authority to enter into and perform the services contemplated by this Agreement, and (v) will immediately notify the SUB-ADVISER of the occurrence of any event that would disqualify VALIC from serving as an investment adviser of an investment company pursuant to Section 9(a) of the 1940 Act or otherwise. VALIC warrants and represents to SUB-ADVISER (i) that the Covered Fund(s) has been and throughout the term of this Agreement will be operated, and any securities or other financial instruments issued by the Covered Fund(s) have been and throughout the term of this Agreement will be offered and sold, in full compliance with all applicable laws, and (ii) that procedures reasonably designed to prevent and detect direct or indirect investments in securities or other financial instruments issued by Covered Fund(s), or operations of Covered Fund(s), for the purpose of, related to, or in any way involving money laundering have been and throughout the term of this Agreement will be applied.
VALIC. VALIC shall perform the services described herein, with respect to the Funds identified in Schedule A hereto, in accordance with procedures established from time to time by agreement of the Trust and VALIC, and between VALIC and the Contract owners and participants, in each case subject to terms and conditions set forth in the Trust's current prospectus. Except as specifically provided herein, VALIC shall not be nor be held out to be an agent of the Trust or any Fund.
VALIC shall prepare and file with the appropriate governmental agencies such tax-related information, returns and reports as are required under applicable laws or regulations to be filed for reporting (a) dividends and other distributions, (b) amounts withheld on dividends and other distributions and payments, and (c) gross proceeds of sales transactions.
VALIC. (c) The Employer has entered into Information Sharing Agreements with the following Vendors, which are approved for contract exchanges to/from the following Investment Arrangements under Section 9.06(B)(3):
VALIC. 6.9.5.2 The enrollment period of entering a tax deferred annuities program will be the first two weeks in October and the first two weeks in February.
VALIC. (i) is registered as an investment adviser under the Advisers Act and will continue to be so registered for so long as this Agreement remains in effect: (ii) is not prohibited by the 1940 Act or the Advisers Act from performing the services contemplated by this Agreement;
VALIC agrees to perform the Administrative Services specified in Exhibit A hereto for the benefit of the Shareholders. Subject to paragraph 8 hereof, and the provisions of Article III of the Participation Agreement, VALIC shall initially bear the costs of the following: (a) printing and distributing the Fund's prospectus, SAI, periodic shareholder reports, proxy material and other shareholder communications to be distributed to prospective contract owners except as provided in the Participation Agreement; (b) printing and distributing all sales or promotional material developed by VALIC; and (c) servicing contract owners who have allocated contract value to the Fund, including but not limited to those items listed in Exhibit A.
