Compliance and Recordkeeping Sample Clauses

Compliance and Recordkeeping. Fairfax and WSSC shall conduct annual on- site inspections and obtain samples, and shall maintain documentation to verify compliance with, the Pretreatment Program and shall provide DC Water access to the pretreatment records. They shall also provide DC Water with reasonable access to all pretreatment records required by federal, state, and local regulations.
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Compliance and Recordkeeping. A. The Company represents that it is duly registered as a broker-dealer under the Securities Exchange Act of 1934 (“1934 Act”) and is a member in good standing of the National Association of Securities Dealers, Inc. (“NASD”) and, to the extent necessary to offer the Contracts, shall be duly registered or otherwise qualified under the securities laws of any state or other jurisdiction. The Company shall be responsible for carrying out its sales and underwriting obligations hereunder in continued compliance with federal and state securities laws and regulations. Without limiting the generality of the foregoing, the Company agrees that it shall be responsible for: (1) ensuring that no person shall offer or sell the Contracts on its behalf until such person is duly registered as a representative of the Company, duly licensed and appointed by the Company, and appropriately licensed, registered or otherwise qualified to offer and sell such Contracts under the federal securities laws and any applicable securities or insurance laws of each state or other jurisdiction in which such Contracts may be lawfully sold, in which the Company is licensed to sell the Contracts and in which such person shall offer or sell the Contracts; and (2) training, supervising, and controlling of all such persons for purposes of complying on a continuous basis with the NASD Rules of Fair Practice and federal and state securities law requirements applicable in connection with the offering and sale of the Contracts. In this connection, the Company shall: (a) conduct such training as in its opinion is necessary to accomplish the purposes of this Agreement; (b) establish and implement reasonable written procedures for supervision of sales practices of persons associated with it who are engaged in selling the Contracts; and (c) take reasonable steps to ensure that such persons shall not make recommendations to an applicant to purchase a Contract and shall not sell a Contract in the absence of reasonable grounds to believe that the purchase of the Contract is suitable for such applicant. B. The Company will (1) maintain and preserve in accordance with Rules 17a-3 and l7a-4 under the 1934 Act (or the corresponding provisions of any future federal securities laws or regulations) all accounts, books and records required to be maintained in connection with the offer and sale of the Contracts being offered for sale pursuant to this Agreement which accounts, books, and records shall remain the prop...
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Compliance and Recordkeeping. Dealer warrants that it will comply with all applicable laws and with the terms of this Agreement in the sale and service of Products and further agrees to maintain all records of its sales of Products for at least twenty-four (24) months after each such sale. Dealer further agrees to permit Electrolux reasonable access to such records (excluding information regarding Dealer's resale prices), and to the Dealer's offices and business locations, upon two (2) days' notice from Electrolux, to enable Electrolux to fulfill any reporting requirement imposed by law or regulation, and to monitor Dealer's compliance with its obligations under this Agreement.
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Compliance and Recordkeeping. 1. IDI is authorized to appoint the organizations described in paragraph 6 of Article A above as independent agents of PROTECTIVE for the sale of the Policies. IDI is responsible for ensuring that Brokers are duly qualified, under the insurance laws of the applicable jurisdictions, to sell the Policies.
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Compliance and Recordkeeping. 1. IDI is authorized to appoint the organizations described in paragraph 6 of Article A above as independent agents of PROTECTIVE for the sale of the Policies. IDI is responsible for ensuring that Brokers are duly qualified, under the insurance laws of the applicable jurisdictions, to sell the Policies. 2. PROTECTIVE and IDI wish to ensure that Policies sold by IDI will be issued to purchasers for whom the Policies will be suitable. IDI shall take reasonable steps to ensure that the various representatives appointed by it shall not make recommendations to an applicant to purchase a Policy in the absence of reasonable grounds to believe that the purchase of the Policies is suitable for such applicant. While not limited to the following, a determination of suitability shall be based on information furnished to a representative after reasonable inquiry of such applicant concerning the applicant’s retirement and financial needs, objectives and situation. IDI is not authorized to give any information or to make any representations concerning the Policies other than those contained in the current prospectus filed with the SEC or in such sales literature as may be authorized by PROTECTIVE.
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Compliance and Recordkeeping. 1. PML is authorized to appoint the organizations described in paragraph 6 of Article A above as independent general agents of Providentmutual for the sale of the Contracts. PML is responsible for ensuring that Brokers are duly qualified, under the insurance laws of the applicable jurisdictions, to sell the Contracts. 2. Providentmutual and PML wish to ensure that Contracts sold by PML will be issued to purchasers for whom the Contracts -3- 4 will be suitable. PML shall take reasonable steps to ensure that the various representatives appointed by it shall not make recommendations to an applicant to purchase a Contract in the absence of reasonable grounds to believe that the purchase of the Contracts is suitable for such applicant. While not limited to the following, a determination of suitability shall be based on information furnished to a representative after reasonable inquiry of such applicant concerning the applicant's retirement and financial needs, objectives and situation. PML is not authorized to give any information or to make any representations concerning the Contracts other than those contained in the current prospectus filed with the Commission or in such sales literature as may be authorized by Providentmutual. 3. Providentmutual, at its sole expense, shall have the responsibility for furnishing PML and its representatives with prospectuses, financial statements, sales promotion materials as well as individual sales proposals related to the sale of the Contracts, and other documents which PML reasonably requests for use in connection with the distribution of the Contracts. Providentmutual shall have responsibility for preparing, filing with the appropriate federal and state regulatory authorities and printing all required prospectuses and/or registration statements in connection with the Contracts and the payments of all related expenses. PML shall not use any sales materials that have not been approved by Providentmutual; provided, however, that PML shall have responsibility for approving and filing all sales literature and advertisements with the NASD and the Commission as required by law or rule. 4. On behalf of PML, Providentmutual shall cause to be maintained and preserved, for the periods prescribed, such accounts, books and other documents as are required of Providentmutual and PML by the 1934 Act, any applicable releases issued by the Commission under the federal securities laws, and any other applicable laws and regulations in conne...
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Related to Compliance and Recordkeeping

  • Reporting and Recordkeeping The ownership of the property whether securities, cash and/or other property, and whether held by the Custodian or a subcustodian or in a depository, clearing agency or clearing system, shall be clearly recorded on the Custodian's books as belonging to the Series and not for the Custodian's own interest. Where certificates are legended or otherwise not fungible with publicly traded certificates (and in other cases where the Custodian and the Series may agree), the Series reserves the right to instruct the Custodian as to the name only in which such securities shall be registered and the Custodian, to the extent reasonably practicable, shall comply with such Instructions; provided, however, if the Custodian reasonably determines that compliance with such Instructions is not reasonably practicable or otherwise may conflict with applicable law, rule or regulation, the Custodian shall promptly notify the Series and shall comply with reasonable alternatives as to which the parties may agree. The Custodian shall keep accurate and detailed accounts of all investments, receipts, disbursements and other transactions for the Series. All accounts, books and records of the Custodian relating thereto shall be open to inspection and audit at all reasonable times during normal business hours of the Custodian by any person designated by the Series. All such books, records and accounts shall be maintained and preserved in the form reasonably requested by the Series and in accordance with the Act and the Rules and Regulations thereunder, including, without limitation, Section 31 thereof and Rule 31a-1 and 31a-2 thereunder. All books, records and accounts pertaining to the Series, which are in the possession of the Custodian, shall be the property of the Fund and such materials or (unless the delivery of original materials is required pursuant to applicable law) legible copies thereof in a format reasonably acceptable to the Fund, shall be surrendered promptly upon request; provided, however, that the Custodian shall be entitled to retain a copy or the original of any such books, records and accounts as may be required or permitted by applicable law and the Custodian's own policies and procedures. The Custodian will supply to the Series from time to time, as mutually agreed upon, a statement in respect to any property of the Series held by the Custodian or by a subcustodian.

  • Recordkeeping A. To maintain its accounting records in accordance with generally accepted accounting principles (“GAAP”). GAAP are established by the Financial Accounting Standards Board (“FASB”). B. To retain in the form in which it was created: 1. A record developed and maintained in accordance with 40 TAC §49.305, or its successor, until the latest of the following: a. seven years after the Contractor submits a claim for the service about which the record relates; b. seven years after all issues that arise from any litigation, claim, negotiation, audit, open records request, administrative review, or other action involving the record are resolved; or c. the person about whom the record relates becomes 21 years of age; and

  • Recordkeeping Requirements COLLEGE and SCHOOL DISTRICT shall comply with the requirements governing maintenance of records of each request for access to and each disclosure of, student education records set forth under Title 34, Code of Federal Regulations § 99.32 and under Education Code § 49064 as applicable.

  • Recordkeeping and Reporting The Subadvisor shall maintain the records and information required by Rule 31a-1 under the 1940 Act described in Schedule B attached hereto, with respect to the Assets of the Series. In addition, the Subadvisor shall maintain such other records relating to the services the Subadvisor provides under this Agreement as may be required in the future by applicable SEC and other applicable rules, and shall retain such information for such times and in such manner as required by applicable rules, including but not limited to Rule 31a-2 under the 1940 Act. The records maintained by the Subadvisor hereunder shall be the property of the Fund and shall be surrendered promptly upon request; subject, however, to the Subadvisor's right to retain all such records as the Subadvisor is required to maintain under the Advisers Act and the rules and regulations promulgated thereunder; provided, further, that the Fund shall be entitled to make and maintain copies of any records so retained by request.

  • Reporting and Record Keeping CONTRACTOR shall comply with all program and fiscal reporting requirements set forth by appropriate Federal, State and local agencies, and as required by the COUNTY. (c) CONTRACTOR agrees to provide to COUNTY, to any Federal or State department having monitoring or review authority, to COUNTY's authorized representatives, and/or their appropriate audit agencies upon reasonable notice, access to and the right to examine all records and documents necessary to determine compliance with relevant Federal, State, and local statutes, rules and regulations, and this Agreement, and to evaluate the quality, appropriateness and timeliness of services performed.

  • TIME KEEPING A Contractor may utilize brassing or other systems to check employees in and out. Each employee must check in and out. The Contractor will provide adequate facilities for checking in and out in an expeditious manner.

  • Compliance with Safeguarding Customer Information Requirements The Servicer has implemented and will maintain security measures designed to meet the objectives of the Interagency Guidelines Establishing Standards for Safeguarding Customer Information published in final form on February 1, 2001, 66 Fed. Reg. 8616, and the rules promulgated thereunder, as amended from time to time (the “Guidelines”). The Servicer shall promptly provide the Seller information regarding the implementation of such security measures upon the reasonable request of the Seller.

  • Compliance with Record Keeping Requirements Participating Dealer agrees to comply with the record keeping requirements of the Exchange Act, including but not limited to, Rules 17a-3 and 17a-4 promulgated under the Exchange Act. Participating Dealer further agrees to keep such records with respect to each customer who purchases Primary Shares, his suitability and the amount of Primary Shares sold, and to retain such records for such period of time as may be required by the Commission, any state securities commission, FINRA or the Company.

  • Recordkeeping/Confidentiality 1. Price Services shall keep records relating to the Services to be performed hereunder, in the form and manner as it may deem advisable, provided that Price Services shall keep all records in such form and in such manner as required by applicable law. 2. Price Services and the Fund agree that all books, records, information and data pertaining to the business of the other party which are exchanged or received pursuant to the negotiation or the carrying out of this Agreement shall remain confidential, and shall not be voluntarily disclosed to any other person, except: (a) after prior notification to and approval in writing by the other party hereto, which approval shall not be unreasonably withheld and may not be withheld where Price Services or the Fund may be exposed to civil or criminal contempt proceedings for failure to comply; (b) when requested to divulge such information by duly constituted governmental authorities; or (c) after so requested by the other party hereto. Without limiting the foregoing, Price Services has implemented, and will maintain during the term of this Agreement, reasonable measures designed to (i) ensure the security and confidentiality of identifying information concerning Shareholders, (ii) use such information to provide the Services hereunder, (iii) protect against any anticipated threats or hazards to the security or integrity of such information, (iv) protect against unauthorized access to or use of such information that could result in substantial harm or inconvenience to the subject of such information, and (v) ensure appropriate disposal of such information, to the extent such information is being disposed of by Price Services.

  • Documentation and Record Keeping 1. Records to be Maintained Subrecipient shall maintain all records required by the Federal regulations specified in 24 CFR 570.506 that are pertinent to the activities to be funded under this Contract. Such records shall include, but not be limited to: a. Records providing a full description of each activity undertaken; b. Records demonstrating that each activity undertaken meets the one of the National Objectives of the CDBG program; c. Records required to determine the eligibility of activities; d. Records required to document the acquisition, improvement, use, or disposition of real property acquired or improved with CDBG assistance; e. Records documenting compliance with the fair housing and equal opportunity components of the CDBG program; f. Financial records as required by federal regulations 24 CFR 570.502, and 24 CFR 84.21-28; and g. Other records necessary to document compliance with Subpart K of 23 CFR.

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