Anti-Money Laundering Laws. The operations of the Company and the Subsidiaries are and have been conducted at all times in compliance with applicable financial recordkeeping and reporting requirements of the Currency and Foreign Transactions Reporting Act of 1970, as amended, the applicable anti-money laundering statutes of the jurisdictions in which the Company and the Subsidiaries conduct business, the rules and regulations thereunder and any other relevant laws, rules, regulations or guidelines, issued, administered or enforced by any Governmental Entity (collectively, the “Anti-Money Laundering Laws”); and no action, suit or proceeding by or before any Governmental Entity involving the Company or any of the Subsidiaries with respect to the Anti-Money Laundering Laws is pending or, to the best knowledge of the Company, threatened.
Appears in 15 contracts
Samples: Equity Distribution Agreement (PennantPark Floating Rate Capital Ltd.), Equity Distribution Agreement (PennantPark Floating Rate Capital Ltd.), Equity Distribution Agreement (PennantPark Floating Rate Capital Ltd.)
Anti-Money Laundering Laws. The operations of the Company and the its Subsidiaries are and have been conducted at all times in compliance in all material respects with applicable financial recordkeeping and reporting requirements of the Currency and Foreign Transactions Reporting Act of 1970, as amended, the applicable anti-money laundering statutes of the jurisdictions in which the Company and the Subsidiaries conduct businessall jurisdictions, the rules and regulations thereunder and any other relevant laws, related or similar rules, regulations or guidelines, issued, administered or enforced by any Governmental Entity governmental agency (collectively, the “Anti-Money Laundering Laws”); ) and no material action, suit or proceeding by or before any Governmental Entity court or governmental agency, authority or body or any arbitrator involving the Company or any of the its Subsidiaries with respect to the Anti-Money Laundering Laws is pending or, to the best knowledge of the Company, threatened.
Appears in 9 contracts
Samples: Underwriting Agreement (China Eco-Materials Group Co. LTD), Underwriting Agreement (China Eco-Materials Group Co. LTD), Underwriting Agreement (Jowell Global Ltd.)
Anti-Money Laundering Laws. The operations of the Company and the Subsidiaries its subsidiaries are and have been conducted at all times in compliance with applicable financial recordkeeping and reporting requirements requirements, including those of the Currency and Foreign Transactions Reporting Act of 1970, as amended, the applicable anti-money laundering statutes of the all jurisdictions in which where the Company and the Subsidiaries conduct or any of its subsidiaries conducts business, the rules and regulations thereunder and any other relevant laws, related or similar applicable rules, regulations or guidelines, issued, administered or enforced by any Governmental Entity governmental agency (collectively, the “Anti-Money Laundering Laws”); , and no action, suit or proceeding by or before any Governmental Entity court or governmental agency, authority or body or any arbitrator involving the Company or any of the Subsidiaries its subsidiaries with respect to the Anti-Money Laundering Laws is pending or, to the best knowledge of the Company, threatened.
Appears in 7 contracts
Samples: Underwriting Agreement (GOLUB CAPITAL BDC, Inc.), Underwriting Agreement (GOLUB CAPITAL BDC, Inc.), Equity Distribution Agreement (GOLUB CAPITAL BDC, Inc.)
Anti-Money Laundering Laws. The operations of the Company and the its Subsidiaries are and have been conducted at all times in compliance with applicable financial recordkeeping and reporting requirements of the Currency and Foreign Transactions Reporting Act of 1970, as amended, the applicable anti-money laundering statutes of the jurisdictions in which the Company and the Subsidiaries conduct businessall applicable jurisdictions, the rules and regulations thereunder and any other relevant laws, related or similar applicable rules, regulations or guidelines, issued, administered or enforced by any Governmental Entity (collectively, the “Anti-Money Laundering Laws”); and no action, suit or proceeding by or before any Governmental Entity involving the Company or any of the its Subsidiaries with respect to the Anti-Money Laundering Laws is pending or, to the best knowledge of the Company, threatened.
Appears in 7 contracts
Samples: Exchange Agreement (Teligent, Inc.), Exchange Agreement (Teligent, Inc.), Exchange Agreement (Teligent, Inc.)
Anti-Money Laundering Laws. The operations of the Company and the Subsidiaries its subsidiaries are and have been conducted at all times in compliance with applicable financial recordkeeping and reporting requirements requirements, including those of the Currency and Foreign Transactions Reporting Act of 1970, as amended, the applicable anti-money laundering statutes of the all jurisdictions in which where the Company and the Subsidiaries conduct or any of its subsidiaries conducts business, the rules and regulations thereunder and any other relevant laws, related or similar rules, regulations or guidelines, issued, administered or enforced by any Governmental Entity governmental agency (collectively, the “Anti-Money Laundering Laws”); , and no action, suit or proceeding by or before any Governmental Entity court or governmental agency, authority or body or any arbitrator involving the Company or any of the Subsidiaries its subsidiaries with respect to the Anti-Money Laundering Laws is pending or, to the best knowledge of the Company, threatened.
Appears in 5 contracts
Samples: Underwriting Agreement (aTYR PHARMA INC), Underwriting Agreement (GOLUB CAPITAL BDC, Inc.), Underwriting Agreement (GOLUB CAPITAL BDC, Inc.)
Anti-Money Laundering Laws. The operations of the Company and the Subsidiaries are and have been conducted at all times in compliance with applicable financial recordkeeping and reporting requirements of the Currency and Foreign Transactions Reporting Act of 1970, as amended, the applicable anti-money laundering statutes of the all jurisdictions in which the Company and the or any of its Subsidiaries conduct conducts business, the rules and regulations thereunder and any other relevant laws, related or similar rules, regulations or guidelines, issued, administered or enforced by any Governmental Entity governmental agency (collectively, the “Anti-Money Laundering Laws”); and no action, suit or proceeding by or before any Governmental Entity court or governmental agency, authority or body or any arbitrator or non-governmental authority involving the Company or any of the Subsidiaries with respect to the Anti-Money Laundering Laws is pending or, to the best knowledge of the Company’s knowledge, threatened.
Appears in 5 contracts
Samples: Underwriting Agreement (Global Net Lease, Inc.), Underwriting Agreement (Global Net Lease, Inc.), Underwriting Agreement (Global Net Lease, Inc.)
Anti-Money Laundering Laws. The operations of the Company and the Subsidiaries its subsidiaries are and have been conducted at all times in compliance with applicable financial recordkeeping and reporting requirements of the Currency and Foreign Transactions Reporting Act of 1970, as amended, the applicable anti-money laundering statutes of the all jurisdictions in which where the Company and the Subsidiaries conduct or any of its subsidiaries conducts business, the rules and regulations thereunder and any other relevant laws, related or similar rules, regulations or guidelines, issued, administered or enforced by any Governmental Entity Authority (collectively, the “Anti-Money Laundering Laws”); and no . No action, suit or proceeding by or before any Governmental Entity Authority involving the Company or any of the Subsidiaries its subsidiaries with respect to the Anti-Money Laundering Laws is pending or, to the best knowledge of the Company, threatened.
Appears in 5 contracts
Samples: Common Stock (Arthur J. Gallagher & Co.), Equity Distribution Agreement (Arthur J. Gallagher & Co.), Underwriting Agreement (Arthur J. Gallagher & Co.)
Anti-Money Laundering Laws. The operations of the Company and its Subsidiaries and the obligations of the Company and its Subsidiaries are and have been conducted at all times in compliance with applicable financial recordkeeping record-keeping and reporting requirements of the Currency and Foreign Transactions Reporting Act of 1970, as amended, the applicable anti-money laundering statutes of the jurisdictions in which the Company and the Subsidiaries conduct businessall applicable jurisdictions, the rules and regulations thereunder and any other relevant laws, related or similar rules, regulations or guidelines, guidelines issued, administered or enforced by any Governmental Entity (collectively, the “Anti-Money Laundering Laws”); ) and no action, suit or proceeding by or before any Governmental Entity or any arbitrator involving the Company or any of the Subsidiaries with respect to the Anti-Money Laundering Laws is pending or, to the best knowledge of the Company, threatened.
Appears in 4 contracts
Samples: Underwriting Agreement (Versus Systems Inc.), Underwriting Agreement (Versus Systems Inc.), Underwriting Agreement (Versus Systems Inc.)
Anti-Money Laundering Laws. The operations of any member of the Company Group and the its Subsidiaries are and have been conducted at all times in compliance with applicable financial recordkeeping and reporting requirements requirements, including those of the Currency and Foreign Transactions Reporting Act of 1970, as amended, the applicable anti-money laundering statutes of the all jurisdictions in which where the Company and the or any of its Subsidiaries conduct conducts business, the rules and regulations thereunder and any other relevant laws, related or similar rules, regulations or guidelines, guidelines issued, administered or enforced by any Governmental Entity (collectively, the “Anti-Money Laundering Laws”); and no action, suit or proceeding by or before any Governmental Entity involving any member of the Company or any of the Subsidiaries Group with respect to the Anti-Money Laundering Laws is pending or, to the best knowledge of the Companymembers of the Company Group, threatened.
Appears in 4 contracts
Samples: Underwriting Agreement (Jupiter Wellness, Inc.), Underwriting Agreement (SRM Entertainment, Inc.), Underwriting Agreement (SRM Entertainment, Inc.)
Anti-Money Laundering Laws. The operations of the Company and the its Subsidiaries are and have been conducted at all times in compliance with applicable financial recordkeeping and reporting requirements of the Currency and Foreign Transactions Reporting Act of 1970, as amended, the applicable anti-money laundering statutes of the all applicable jurisdictions in which the Company and the Subsidiaries conduct business, the rules and regulations thereunder and any other relevant laws, rules, regulations or guidelines, issued, administered or enforced by any Governmental Entity (collectively, the “Anti-Money Laundering Laws”); and no action, suit or proceeding by or before any Governmental Entity involving the Company or any of the its Subsidiaries with respect to the Anti-Money Laundering Laws is pending or, to the best knowledge of the Company, threatened.
Appears in 3 contracts
Samples: Underwriting Agreement (TriState Capital Holdings, Inc.), Underwriting Agreement (TriState Capital Holdings, Inc.), Underwriting Agreement (Iberiabank Corp)
Anti-Money Laundering Laws. The operations of the Company and the Subsidiaries its subsidiaries are and have been conducted at all times in compliance with applicable financial recordkeeping and reporting requirements requirements, including those of the Currency and Foreign Transactions Reporting Act of 1970, as amended, the applicable anti-money laundering statutes of the all jurisdictions in which where the Company and the Subsidiaries or any of its subsidiaries conduct business, the rules and regulations thereunder and any other relevant laws, related or similar rules, regulations or guidelines, issued, administered or enforced by any Governmental Entity governmental agency (collectively, the “Anti-Money Laundering Laws”); ) and no action, suit or proceeding by or before any Governmental Entity court or governmental agency, authority or body or any arbitrator involving the Company or any of the Subsidiaries its subsidiaries with respect to the Anti-Money Laundering Laws is pending or, to the best knowledge of the Company, threatened.
Appears in 3 contracts
Samples: Underwriting Agreement (Mind Technology, Inc), Underwriting Agreement (Mind Technology, Inc), Mind Technology, Inc
Anti-Money Laundering Laws. The operations of the Company and the Subsidiaries its subsidiaries are and have been conducted at all times in compliance in all material respects with applicable financial recordkeeping and reporting requirements requirements, including those of the Currency and Foreign Transactions Reporting Act of 1970, as amended, the applicable anti-money laundering statutes of the jurisdictions in which the Company all jurisdictions, and the Subsidiaries conduct business, the rules and regulations thereunder and thereunder, and, to the Company’s knowledge, any other relevant laws, related or similar rules, regulations or guidelines, issued, administered or enforced by any Governmental Entity governmental or regulatory agency (collectively, the “Anti-Money Laundering Laws”); , and no action, suit or proceeding by or before any Governmental Entity court or governmental or regulatory agency, authority or body or any arbitrator involving the Company or any of the Subsidiaries its subsidiaries with respect to the Anti-Money Laundering Laws is pending or, to the best knowledge of the Company’s knowledge, threatened.
Appears in 3 contracts
Samples: Underwriting Agreement (NVR Inc), Underwriting Agreement (NVR Inc), Underwriting Agreement (NVR Inc)
Anti-Money Laundering Laws. The operations of the Company and the its Subsidiaries are and have been conducted at all times in compliance with applicable financial recordkeeping and reporting requirements of the Currency and Foreign Transactions Reporting Act of 1970, as amended, the applicable anti-money laundering statutes of the all jurisdictions in which where the Company and the or any of its Subsidiaries conduct conducts business, the rules and regulations thereunder and any other relevant laws, related or similar rules, regulations or guidelines, issued, administered or enforced by any Governmental Entity governmental agency (collectively, the “Anti-Money Laundering Laws”); , and no action, suit or proceeding by or before any Governmental Entity court or governmental agency, authority or body or any arbitrator involving the Company or any of the its Subsidiaries with respect to the Anti-Money Laundering Laws is pending or, to the best knowledge of the Company, threatened.
Appears in 3 contracts
Samples: Underwriting Agreement (Colony Starwood Homes), Equity Offeringsm Sales Agreement (Colony Starwood Homes), Underwriting Agreement (Colony Starwood Homes)
Anti-Money Laundering Laws. The operations of the Company and its Subsidiaries and, to the Subsidiaries knowledge of the Company, their respective affiliates, are and have been conducted at all times in compliance in all material respects with applicable financial recordkeeping and reporting requirements of the Currency and Foreign Transactions Reporting Act of 1970, as amended, the applicable anti-money laundering statutes of the all applicable jurisdictions in which the Company and the Subsidiaries conduct business, the rules and regulations thereunder and any other relevant laws, rules, regulations or guidelines, issued, administered or enforced by any Governmental Entity governmental agency or body (collectively, the “Anti-Money Laundering Laws”); and no action, suit or proceeding by or before any Governmental Entity court, governmental agency or body involving the Company or any of the its Subsidiaries with respect to the Anti-Money Laundering Laws is pending or, to the best knowledge of the Company, threatened.
Appears in 2 contracts
Samples: Underwriting Agreement (HomeStreet, Inc.), Underwriting Agreement (Atlantic Union Bankshares Corp)
Anti-Money Laundering Laws. The operations of the Company and the its Subsidiaries are and have been conducted at all times in compliance in all material respects with applicable financial recordkeeping and reporting requirements of the Currency and Foreign Transactions Reporting Act of 1970, as amended, the applicable anti-money laundering statutes of the all applicable jurisdictions in which where the Company and the or any of its Subsidiaries conduct conducts business, the rules and regulations thereunder and any other relevant laws, related or similar rules, regulations or guidelines, issued, administered or enforced by any Governmental Entity (collectively, the “Anti-Money Laundering Laws”); and no action, suit or proceeding by or before any Governmental Entity involving the Company or any of the Subsidiaries with respect to the Anti-Money Laundering Laws is pending or, to the best knowledge of the Company, threatened.
Appears in 2 contracts
Samples: Underwriting Agreement (Linkage Global Inc), Underwriting Agreement (Linkage Global Inc)
Anti-Money Laundering Laws. The operations of the Company and the Subsidiaries its subsidiaries are and have been conducted at all times in compliance with applicable financial recordkeeping and reporting requirements of the Currency and Foreign Transactions Reporting Act of 1970, as amended, the applicable anti-money laundering statutes of the jurisdictions in which the Company and the Subsidiaries conduct businessall applicable jurisdictions, the rules and regulations thereunder and any other relevant laws, related or similar rules, regulations or guidelines, issued, administered or enforced by any Governmental Entity (collectively, the “Anti-Money Laundering Laws”); and no action, suit or proceeding proceeding, and to the knowledge of Company, no inquiry and investigation, by or before any Governmental Entity involving the Company or any of the Subsidiaries its subsidiaries with respect to the Anti-Money Laundering Laws is pending or, to the best knowledge of the Company, threatened.
Appears in 1 contract
Anti-Money Laundering Laws. The operations of the Company and the Subsidiaries are and have been conducted at all times in material compliance with all applicable financial recordkeeping and reporting requirements of the Currency and Foreign Transactions Reporting USA PATRIOT Act, as amended, the Bank Secrecy Act of 1970, as amended, the applicable anti-money laundering statutes of the jurisdictions in which where the Company and the or any Subsidiaries conduct business, the rules and regulations thereunder and any other relevant laws, related or similar applicable rules, regulations or guidelines, issued, administered or enforced by any Governmental Entity governmental agency (collectively, the “Anti-Money Laundering Laws”); , and no action, suit or proceeding by or before any Governmental Entity court or governmental agency, authority or body involving the Company or any of the Subsidiaries with respect to the Anti-Money Laundering Laws is pending or, to the best knowledge of the Company, threatened.
Appears in 1 contract
Samples: Underwriting Agreement (Arlington Asset Investment Corp.)
Anti-Money Laundering Laws. The operations of the Company and its Subsidiaries and, to the Subsidiaries knowledge of the Company, its directors and executive officers, are and have been conducted at all times in compliance with applicable financial recordkeeping and reporting requirements of the Currency and Foreign Transactions Reporting Act of 1970, as amended, the applicable anti-money laundering statutes of the all applicable jurisdictions in which the Company and the Subsidiaries conduct business, the rules and regulations thereunder and any other relevant laws, rules, regulations or guidelines, issued, administered or enforced by any Governmental Entity governmental agency or body (collectively, the “Anti-Money Laundering Laws”); and no action, suit or proceeding by or before any Governmental Entity court, governmental agency or body involving the Company or any of the its Subsidiaries with respect to the Anti-Money Laundering Laws is pending or, to the best knowledge of the Company, threatened.
Appears in 1 contract
Anti-Money Laundering Laws. The operations of the Company and its Subsidiaries and, to the Subsidiaries knowledge of the Company, their respective affiliates, are and have been conducted at all times in compliance with applicable financial recordkeeping and reporting requirements of the Currency and Foreign Transactions Reporting Act of 1970, as amended, the applicable anti-money laundering statutes of the all applicable jurisdictions in which the Company and the Subsidiaries conduct business, the rules and regulations thereunder and any other relevant laws, rules, regulations or guidelines, issued, administered or enforced by any Governmental Entity governmental agency or body (collectively, the “Anti-Money Laundering Laws”); and no action, suit or proceeding by or before any Governmental Entity court, governmental agency or body involving the Company or any of the its Subsidiaries with respect to the Anti-Money Laundering Laws is pending or, to the best knowledge of the Company, threatened.
Appears in 1 contract
Anti-Money Laundering Laws. The Except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus, the operations of the Company and the its Subsidiaries are and have been conducted at all times in compliance with applicable financial recordkeeping and reporting requirements of the Currency and Foreign Transactions Reporting Act of 1970, as amended, the applicable anti-money laundering statutes of the jurisdictions in which applicable to the Company and the Subsidiaries conduct businessits Subsidiaries, the rules and regulations thereunder and any other relevant laws, related or similar rules, regulations or guidelines, issued, administered or enforced by any Governmental Entity governmental agency (collectively, the “Anti-Money Laundering Laws”); , and no action, suit or proceeding by or before any Governmental Entity court or governmental agency, authority or body or any arbitrator involving the Company or any of the its Subsidiaries with respect to the Anti-Money Laundering Laws is pending or, to the best knowledge of the Company, threatened.
Appears in 1 contract
Samples: Underwriting Agreement (First Mid Illinois Bancshares Inc)