COMPLAINTS, INVESTIGATIONS AND PROCEEDINGS Sample Clauses

COMPLAINTS, INVESTIGATIONS AND PROCEEDINGS. X. Xxxxxx-Dealer agrees to immediately provide Notice to Company of any Policy complaints, investigations or disciplinary proceedings received by Broker-Dealer or any of its affiliates or Registered Representatives relating to the Policies, Company or any threatened or filed action or civil litigation arising out of the conduct of business under this Agreement. Additionally, Broker- Dealer shall immediately forward to Company, by certified mail and to the address provided for Notice in this Agreement any legal process or notice of claims served on Broker-Dealer or any of its affiliates or Registered Representatives in a suit or proceeding against Broker-Dealer or any of its affiliates or Registered Representatives arising out of the conduct of business under this Agreement. B. Broker-Dealer and any of its affiliates and Registered Representatives shall cooperate with Company in investigating and responding to any complaint, attorney demand, or inquiry received from state insurance departments or other regulatory agencies or legislative bodies, and in any settlement or trial of any actions arising out of the conduct of business under this Agreement. Cooperate, as referred to in this provision, shall include, but is not limited to, the provision of information as may be necessary to furnish Company with a complete understanding of the facts and circumstances surrounding the complaint, demand or inquiry. C. Any response by Broker-Dealer or any of its affiliates or Registered Representatives to a Policy complaint arising out of the conduct of business under this Agreement must be sent to Company for its approval before being sent. Any responses to such Policy complaints must be sent to Company not less than fifteen (15) business days before being sent, except that if a more prompt response is required, the proposed response may be communicated to Company. D. Broker-Dealer and any of its affiliates or Registered Representatives are not authorized, and are expressly forbidden, from settling or offering to settle any complaint or litigation from a Policy owner, assignee, beneficiary or other party in interest to a Policy.
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COMPLAINTS, INVESTIGATIONS AND PROCEEDINGS. Each of General Agent and Broker-Dealer shall promptly notify The Company and Jxxx Hxxxxxx Distributors LLC if it receives notice of any customer complaint or of any threatened or pending regulatory investigation or proceeding, civil action or arbitration (a “Proceeding”) involving the Contracts. The Company or Jxxx Hxxxxxx Distributors LLC will promptly notify General Agent or Broker-Dealer if it receives notice of any customer complaint or of any Proceeding involving General Agent or Broker-Dealer and a Contract. Each party shall cooperate with the other parties in investigating and responding to any such complaint or Proceeding, and in any settlement or trial of any actions arising out of the conduct of business under this Agreement. No response by General Agent or Broker-Dealer to an individual customer complaint involving a Contract will be sent until it has been approved by The Company or Jxxx Hxxxxxx Distributors LLC or dealt with otherwise in accordance with The Company’s administrative procedures.
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COMPLAINTS, INVESTIGATIONS AND PROCEEDINGS. Each of General Agent and Broker-Dealer shall promptly notify Manulife USA and ManEquity if it receives notice of any customer complaint or of any threatened or pending regulatory investigation or proceeding, civil action or arbitration (a "Proceeding") involving the Contracts. Manulife USA or ManEquity will promptly notify General Agent or Broker-Dealer if it receives notice of any customer complaint or of any Proceeding involving General Agent or Broker-Dealer and the Contracts. Each party shall cooperate with the other parties in investigating and responding to any such complaint or Proceeding, and in any settlement or trial of any actions arising out of the conduct of business under this Agreement. No response by General Agent or Broker-Dealer to an individual customer complaint involving a Contract will be sent until it has been approved by Manulife USA or ManEquity or dealt with otherwise in accordance with Manulife USA's administrative procedures.
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COMPLAINTS, INVESTIGATIONS AND PROCEEDINGS. Broker will promptly notify PIMS of any allegation that Broker, or any of its employees, violated any law or regulation which may impact its ability to represent PIMS, or comply with any term or condition of this Agreement. Further, Broker will provide PIMS with full details, including copies of all documents pertaining thereto. Broker will cooperate fully with PIMS in any regulatory, judicial or company investigation or proceeding involving the solicitation of applications for, or the sale of, COLI/TOLI Contracts by Broker or any of its employees. Furthermore, Broker will keep accurate and complete books and records of all transactions relating to the solicitation of applications and the sale of COLI/TOLI Contracts for PIMS. These books and records will be made available to PIMS for inspection upon request, including after termination of this Agreement.
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COMPLAINTS, INVESTIGATIONS AND PROCEEDINGS. Each of Wholesaling Agency and Wholesaling Broker-Dealer shall promptly notify the Company and Principal Underwriter if either Wholesaling Agency and Wholesaling Broker-Dealer receive notice of any customer complaint or of any threatened or pending regulatory investigation or proceeding, civil action or arbitration (a “Proceeding”) involving the Contracts. Each of the Company and Principal Underwriter will promptly notify Wholesaling Agency and Wholesaling Broker-Dealer if either the Company and Principal Underwriter receive notice of any customer complaint involving Wholesaling Agency or Wholesaling Broker-Dealer of any Proceeding involving Wholesaling Agency, Wholesaling Broker-Dealer or any Contract. Each party shall cooperate with the other Parties in investigating and responding to any such complaint or Proceeding, and in any settlement or trial of any actions arising out of the conduct of business under this Agreement. In the unlikely event that a customer complaint is made directly to Wholesaling Agency or Wholesaling Broker-Dealer, no response by Wholesaling Agency or Wholesaling Broker-Dealer to a customer complaint involving a Contract will be provided until the Company and Principal Underwriter (for Securities Contracts only) has approved it.
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COMPLAINTS, INVESTIGATIONS AND PROCEEDINGS a. Broker-Dealer shall promptly notify the Company and AEC if it, or an Agent, receives notice of any customer complaint or of any threatened or pending regulatory investigation or proceeding, civil action or arbitration (a “Proceeding”) involving the Contracts. The Company or AEC will promptly notify Broker-Dealer if it receives notice of any customer complaint or of any Proceeding involving Broker-Dealer and a Contract. Each party shall cooperate with the other parties in investigating and responding to any such complaint or Proceeding, and in any settlement or trial of any actions arising out of the conduct of business under this Agreement. No response by Broker-Dealer to an individual customer complaint involving a Contract will be sent until it has been previously reviewed and approved by the Company.
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COMPLAINTS, INVESTIGATIONS AND PROCEEDINGS a. Selling Broker-Dealer shall promptly notify the Insurer and Distributor if it, or an Agent, receives notice of any customer complaint or of any threatened or pending regulatory investigation or proceeding, civil action or arbitration (a “Proceeding”) involving the Contracts. The Insurer or Distributor will promptly notify Selling Broker-Dealer if it receives notice of any customer complaint or of any Proceeding involving Selling Broker-Dealer and a Contract. Each party shall cooperate with the other parties in investigating and responding to any such complaint or Proceeding, and in any settlement or trial of any actions arising out of the conduct of business under this Agreement. No response by Selling Broker-Dealer to an individual customer complaint involving a Contract will be sent until it has been previously reviewed and approved by the Insurer and Distributor, as applicable.
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COMPLAINTS, INVESTIGATIONS AND PROCEEDINGS. A. Broker-Dealer agrees to immediately provide Notice to Company of any Policy complaints, investigations or disciplinary proceedings received by Broker-Dealer or any of its affiliates or Registered Representatives relating to the Policies, Company or any threatened or filed action or civil litigation arising out of the conduct of business under this Agreement. Additionally, Broker-Dealer shall immediately forward to Company, by certified mail and to the address provided for Notice in this Agreement any legal process or notice of claims served on Broker-Dealer or any of its affiliates or Registered Representatives in a suit or proceeding against Broker-Dealer or any of its affiliates or Registered Representatives arising out of the conduct of business under this Agreement.
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COMPLAINTS, INVESTIGATIONS AND PROCEEDINGS. You will promptly notify us of any allegation, reports or investigations that you or any of your employees violated any state, federal, or securities laws such as but not limited to bank fraud, insurance fraud, wire fraud, securities fraud, accounting fraud or any regulation of the Securities and Exchange Commission which may impact your ability to issue Certificate of Insurance for us, or any term or condition of this Agreement and will promptly notify us of complaints made to you, or any of your employees or representatives, concerning our business. Likewise, you will provide us with full details, including copies of all documents pertaining thereto. You will also cooperate fully with us in any regulatory, judicial or our investigation or proceeding related to the solicitation of applications for or the sale of policies by you or any of your employees or representatives. You will keep accurate and complete records of all transactions, including financial transactions relating to the solicitation of applications and the sale of Policies for us. These records will be made available to us for inspection upon request, including after termination of this Agreement.
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Related to COMPLAINTS, INVESTIGATIONS AND PROCEEDINGS

  • Investigations and Proceedings The parties to this Agreement agree to cooperate fully in any securities regulatory investigation or proceeding or any judicial proceeding with respect to each party’s activities under this Agreement and promptly to notify the other party of any such investigation or proceeding.

  • Actions and Proceedings Lender has the right to appear in and defend any action or proceeding brought with respect to the Property and to bring any action or proceeding, in the name and on behalf of Borrower, which Lender, in its discretion, decides should be brought to protect its interest in the Property.

  • Complaints Investigation The employee who complains of harassment under the provisions of the Human Rights Code must first comply with the Employer’s harassment policy procedures before filing a grievance or human rights complaint.

  • COMPLAINTS AND INVESTIGATIONS 1. This article applies to complaints or allegations made externally and not from normal supervisory activities. 2. A department head shall be responsible for ensuring that all allegations of misconduct or other complaints against an employee on which any action is to be taken or a record is to be made shall be investigated. The investigator shall be allowed to interview the complainant prior to notifying the employee.

  • Litigation and Proceedings There are no actions, suits, proceedings, or investigations pending or, to the knowledge of the Company after reasonable investigation, threatened by or against the Company or affecting the Company or its properties, at law or in equity, before any court or other governmental agency or instrumentality, domestic or foreign, or before any arbitrator of any kind. The Company does not have any knowledge of any material default on its part with respect to any judgment, order, injunction, decree, award, rule, or regulation of any court, arbitrator, or governmental agency or instrumentality or of any circumstances which, after reasonable investigation, would result in the discovery of such a default.

  • Investigations; Litigation There is no investigation or review pending (or, to the knowledge of Parent, threatened) by any Governmental Entity with respect to Parent or any of its Subsidiaries which would have, individually or in the aggregate, a Parent Material Adverse Effect, and there are no actions, suits, inquiries, investigations or proceedings pending (or, to Parent’s knowledge, threatened) against or affecting Parent or its Subsidiaries, or any of their respective properties at law or in equity before, and there are no orders, judgments or decrees of, or before, any Governmental Entity, in each case which would have, individually or in the aggregate, a Parent Material Adverse Effect.

  • Litigation; Proceedings Except as specifically disclosed in Schedule 3.1(g), there is no action, suit, notice of violation, proceeding or investigation pending or, to the best knowledge of the Company, threatened against or affecting the Company or any of its Subsidiaries or any of their respective properties before or by any court, governmental or administrative agency or regulatory authority (federal, state, county, local or foreign) which (i) relates to or challenges the legality, validity or enforceability of any of the Transaction Documents, the Shares or the Underlying Shares, (ii) could, individually or in the aggregate, have a Material Adverse Effect or (iii) could, individually or in the aggregate, materially impair the ability of the Company to perform fully on a timely basis its obligations under the Transaction Documents.

  • Suits and Proceedings To Seller’s Knowledge, except as listed in Exhibit H, there are no legal actions, suits or similar proceedings pending and served, or threatened in writing against Seller or the Property which (i) are not adequately covered by existing insurance and (ii) if adversely determined, would materially and adversely affect the value of the Property, the continued operations thereof, or Seller’s ability to consummate the transactions contemplated hereby.

  • Litigation; Governmental Proceedings There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the Exchange.

  • Legal Actions A Receiver may bring, prosecute, enforce, defend and abandon any action, suit or proceedings in relation to any Security Asset which he thinks fit.

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