Compliance Notices Clause Samples
A Compliance Notices clause requires one party to inform the other if they become aware of any non-compliance with applicable laws, regulations, or contractual obligations. Typically, this clause outlines the process for providing such notices, including the timeframe and method of communication, and may specify the types of compliance issues that must be reported, such as regulatory violations or breaches of contract. Its core function is to ensure transparency and prompt communication between parties, enabling timely corrective action and reducing the risk of ongoing or unaddressed violations.
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Compliance Notices. Throughout the term of this Agreement, the Sub-Adviser shall submit to the Adviser: (a) any material changes to the Sub-Adviser’s written policies and procedures (“Compliance Policies”) as required by Rule 206(4)-7 under the Advisers Act and Rule 38a-1 under the 1940 Act that affect the services provided by Sub-Adviser to the Company, (b) notification of regulatory examinations of the Sub-Adviser and general descriptions of the results of such examinations, (c) the annual assessment of the Sub-Adviser’s compliance program and (d) notification of any material compliance matter that affects the services provided by the Sub-Adviser to the Company including but not limited to any material violation of the Compliance Policies or of the code of ethics of the Sub-Adviser. Throughout the term of this Agreement, the Sub-Adviser shall provide the Adviser with any certifications, information and access to personnel and resources (including those resources that will permit testing of the Compliance Policies by the Adviser) that the Adviser may reasonably request to enable the Company to comply with Rule 38a-1 under the 1940 Act. The Adviser shall provide to the Sub-Adviser all information reasonably requested by the Sub-Adviser in order to comply with the provisions hereof, the 1940 Act, the Advisers Act, the U.S. Commodity Exchange Act, as amended and the regulations promulgated thereunder.
Compliance Notices. Throughout the term of this Agreement, Sub-Adviser shall submit to K2: (a) any material changes to Sub-Adviser’s written policies and procedures (“Compliance Policies”) as required by Rule 206(4)-7 under the Advisers Act and Rule 38a-1 under the 1940 Act that relate to the services provided by Sub-Adviser to the Fund, (b) notification of regulatory examinations of Sub-Adviser and general descriptions of the results of such examinations and of any periodic testing of the Compliance Policies, and (c) notification of any material compliance matter that relates to the services provided by Sub-Adviser to the Fund including but not limited to any material violation of the Compliance Policies or of the code of ethics of Sub-Adviser. Throughout the term of this Agreement, Sub-Adviser shall provide K2 with any certifications, information and access to personnel and resources (including those resources that will permit testing of the Compliance Policies by K2) that K2 may reasonably request to enable the Fund to comply with Rule 38a-1 under the 1940 Act.
Compliance Notices. The Company will deliver to the Trustee, within thirty (30) days after the end of each of its fiscal quarters, commencing with the quarter ending June 30, 1998, an Officer's Certificate stating that
(1) review of the activities of the Company during such quarter and of performance under this Indenture has been made under his supervision; and
(2) to the best of his knowledge, based on such review, the Company has fulfilled all its obligations under this Indenture throughout the quarter, or, if there has been a default in the fulfillment of any such obligation, specifying each such default known to him and the nature and status thereof.
Compliance Notices. The License granted hereunder is conditioned upon Licensee’s compliance with the provisions of the trademark, patent, industrial design and copyright laws of the United States and of any other country or countries within the Territory. All Licensed Articles and Licensed Materials shall bear applicable Trademark and Copyright Notices in Licensor's name and shall also include and comply with Labeling Requirements and any other legal notices that Licensor may from time to time require. Except as may be otherwise approved by Licensor, Licensee agrees to use the Licensed Marks as the sole trademark of any Licensed Articles bearing the Licensed Marks.
Compliance Notices. Throughout the term of this Agreement, the Sub-Adviser shall submit to the Adviser: (a) any material changes to the written policies and procedures as required by Rule 206(4)-7 under the Advisers Act of 1940 and Rule 38a-1 under the Investment Company Act that relate to the services provided by the Sub-Adviser to the Company; (b) notification of regulatory examinations of the Sub-Adviser and general descriptions of the results of such examinations and of any periodic testing of applicable compliance policies; and (c) notification of any material compliance matter that relates to the services provided by the Sub-Adviser to the Company, including but not limited to any material violation of applicable compliance policies or the code of ethics of the Sub-Adviser. Throughout the term of this Agreement, the Sub-Adviser shall provide the Adviser with any certifications, information and access to personnel and resources that the Adviser may reasonably request to enable the Company to comply with Rule 38a-1 under the Investment Company Act.
Compliance Notices. The Commission, in connection with and arising from its compliance activities and audit of the performance of this Contract by the Contractor (or otherwise), may (but is not obliged to) from time to time identify in a report, notice or other communication what the Commission considers may be a failure by the Contractor to comply with this Contract and/or Applicable Laws in a particular respect (a “Compliance Notice”) and the reasons for such consideration. Any such Compliance Notice is in all cases subject to the terms of clause 11.3.
Compliance Notices. In the event you fail to comply with any part of this Lease, we can, but we do not have to, take any action necessary to effect your compliance upon ten (10) days prior written notice to you. If we are required to pay any amount to obtain your compliance, the amount we pay plus all of our expenses in causing your compliance, shall become additional rent and shall be paid by you at the time of the next due rental payment. If any notices are required under this Lease, they shall be sufficient if given personally or mailed to the address set forth in this Lease by certified or registered mail, postage prepaid. This Lease is for the benefit of and is binding upon you and your personal representatives, successors and assigns.
Compliance Notices. 25 SECTION 3.8 Corporate Existence . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25
Compliance Notices. Throughout the term of this Agreement, Sub-Advisers shall submit to K2 any material changes to Sub-Advisers’ written policies and procedures (“Compliance Policies”) as required by Rule 206(4)-7 under the Advisers Act and Rule 38a-1 under the 1940 Act that relate to the services provided by Sub-Advisers to the Fund via the Sub-Advisers’ annual compliance certification, and RBC UK shall submit to K2 notification of any material compliance matter that relates to the services provided by Sub-Advisers to the Fund including but not limited to any material violation of the Compliance Policies or of the code of ethics of Sub-Advisers. Throughout the term of this Agreement, Sub-Advisers shall provide K2 with any certifications in such form as K2 provides from time to time, and any information and access to personnel and resources (including those resources that will permit testing of the Compliance Policies by K2), each of the foregoing provisos shall apply to the extent that K2 may reasonably request to enable the Fund to comply with Rule 38a-1 under the 1940 Act.
Compliance Notices. Hulu will provide Plaintiffs’ Counsel written notice upon initial compliance with each of the following Paragraphs of this Agreement: 3.1, 3.2, 4.1, 4.2, 5.2, 6.2, 6.3, and 6.4.