Compliance Oversight Clause Samples

Compliance Oversight. Subadviser agrees to cooperate with periodic reviews of Subadviser’s compliance program by the Fund’s compliance personnel in performance of their responsibilities under Rule 38a-1 of the 1940 Act. Subadviser agrees to provide to the Fund copies of its compliance program and such additional information and certifications as may reasonably be requested by the Fund’s compliance personnel. Subadviser agrees to promptly notify the Adviser of any material compliance violations which affect the Fund.

Compliance Oversight. The Sub-advisor agrees to cooperate fully with periodic reviews of the Sub-advisor’s compliance program by the Funds’ and by the Advisor’s compliance personnel and to provide to the Funds and the Advisor in writing such additional written information and certifications regarding Sub-advisor’s policies and procedures as may reasonably be requested by the compliance personnel to ensure compliance with Rule 38a-1 under the 1940 Act. All such reviews and requests for information shall be directed to the Sub-advisor’s

Compliance Oversight. As reasonably requested by the Corporation on behalf of the Corporation’s officers and in accordance with the scope of the Subadviser’s obligations and responsibilities contained in this Agreement, the Subadviser shall provide reasonable assistance to the Corporation in connection with the Corporation’s compliance with the ▇▇▇▇▇▇▇▇-▇▇▇▇▇ Act and the rules and regulations promulgated by the SEC thereunder, and Rule 38a-1 under the 1940 Act. Such assistance shall include, but not be limited to, (i) certifying annually, upon the reasonable request of the Corporation, that it is in material compliance with all applicable federal securities laws, as that term is defined in Rule 38a-1(e)(1) under the 1940 Act; (ii) facilitating and cooperating with third-party audits arranged by the Corporation to evaluate the effectiveness of its compliance controls; (iii) providing the Corporation’s chief compliance officer with reasonable direct access to its compliance personnel; (iv) providing the Corporation’s chief compliance officer with periodic reports upon advance written notice; and (v) promptly providing special reports to the Corporation’s chief compliance officer in the event of material compliance issues. Further, the Subadviser is aware that: (i) the president (principal executive officer) and treasurer (principal financial officer) of the Corporation (collectively, the “Certifying Officers”) are required to certify the Corporation’s periodic reports on Form N-CSR and Form N-Q pursuant to Rule 30a-2 under the 1940 Act; and (ii) the Certifying Officers must rely upon certain matters of fact generated by the Subadviser of which they do not have firsthand knowledge. Consequently, the Subadviser has in place procedures and controls that are reasonably designed to ensure the adequacy of the services provided to the Corporation under this Agreement and the accuracy of the information prepared by it and which is included in the Corporation’s periodic reports, and shall provide certifications to the Corporation to be relied upon by the Certifying Officers in certifying the Corporation’s periodic reports on Form N-CSR and Form N-Q (and such other periodic reports that may require certification in the future), in a form reasonably satisfactory to the Corporation. Notwithstanding the foregoing, the parties understand and agree that the Subadviser does not have access to all of the books and records of the Funds necessary to perform certain compliance testing. Accordingly, ...

Compliance Oversight. The sexual harassment laws are enforced by the Equal Employment Opportunity Commission (EEOC) at the federal level and the Texas Workforce Commission, Civil Rights Division (TWCCRD) at the state level. Filing a complaint under this OP does not preclude an employee from filing a complaint with the EEOC or the TWC according to the established procedures and timelines of those agencies. Further information may be obtained from ▇▇▇.▇▇▇▇.▇▇▇ or ▇▇▇.▇▇▇.▇▇▇▇▇.▇▇.▇▇. TCDD Executive Director Effective Date Texas Council for Developmental Disabilities OP 02-05 Operating Procedures Page 1

Compliance Oversight. Upon written request from Extreme, Supplier shall confirm compliance with this Agreement and any applicable industry standards and shall promptly provide to Extreme a written information security questionnaire regarding Supplier’s information technology resources, data security protocols and applicable policies. Failure to provide such information shall be grounds for Extreme to terminate this Agreement immediately.

Compliance Oversight. The Office of University Compliance and Integrity (University Compliance) • Evaluates all federal and state healthcare privacy laws, regulations, rules and ordinances (Rules) to ensure compliance with the Rules. • Develops and maintains all required University-wide Privacy Rule policies and procedures. • Develops and maintains HIPAA health care Privacy Rule training modules and ensures appropriate Workforce members complete the required training. • Performs audits and assessments of the Components to ensure their compliance with the Privacy Rules and associated FIU Policies and Procedures. • Partners with the Division of Information Technology HIPAA Security Officer to ensure compliance with all federal and state healthcare privacy and security laws, regulations rules, and ordinances.

Compliance Oversight. (1) The Board shall be responsible for monitoring and coordinating the Bank’s adherence to the provisions of this Agreement, the Matters Requiring Attention and the violations cited in the March 5, 2007 ▇▇▇ and each examination thereafter. (2) By December 31, 2007, and every ninety (90) days thereafter, the Board shall complete a written progress report setting forth in detail: (a) A description of the action needed to achieve full compliance with each Article of this Agreement, each Matter Requiring Attention, and each violation cited in the March 5, 2007 ▇▇▇ and each examination thereafter; (b) Actions taken to comply with each Article of this Agreement, each Matter Requiring Attention, and each violation cited in the March 5, 2007 ▇▇▇ and each examination thereafter; and (c) The results and status of those actions. (3) The Board shall forward a copy of the progress report to the Assistant Deputy Comptroller within ten (10) days of completing such report.

Compliance Oversight. Upon Customer’s written request, to confirm Service Provider’s compliance with this Agreement, as well as any applicable laws, regulations and industry standards, Service Provider grants Customer or, upon Customer’s election, a third party on Customer’s behalf, permission to perform an assessment, audit, examination or review of all controls in Service Provider’s or Authorized Person’s physical and/or technical environment in relation to all Customer Information being handled and/or services being provided to Customer pursuant to this Agreement. Service Provider shall fully cooperate with such assessment by providing access to knowledgeable personnel, physical premises, documentation, infrastructure and application software that processes, stores or transports Customer Information for Customer pursuant to this Agreement. In addition, upon Customer’s written request, Service Provider shall provide Customer with the results of any audit by or on behalf of Service Provider performed that assesses the effectiveness of Service Provider’s information security program as relevant to the security and confidentiality of Customer Information shared during the course of this Agreement.

Compliance Oversight. Upon our written request, you shall confirm compliance with this Agreement and any applicable industry standards, and shall promptly provide us a fully completed written information security questionnaire regarding your information technology resources, Security Protocols and applicable policies. Failure to provide such information shall be grounds for us to terminate this Agreement immediately.