Compliance Responsibilities a. Fund Company is responsible for (i) the compliance of each prospectus, registration statement, annual or other periodic report, proxy statement and item of advertising or marketing material of or relating to each Fund with all applicable laws, rules and regulations (except for advertising or marketing material prepared by Schwab which contains an untrue statement of material fact or an omission of a material fact necessary in order to make the statements made, in light of the circumstances under which they were made, not misleading and that was not published or provided to Schwab by Fund Company or any Affiliate (defined below) or accurately derived from information published or provided by them), (ii) the distribution and tabulation of proxies in accordance with all applicable laws, rules and regulations (except for such proxy related services provided by Xxxxxx’x mailing agent), (iii) the registration or qualification of the shares of each Fund under all applicable laws, rules and regulations, and (iv) the compliance by Fund Company and each “affiliated person” of Fund Company as that term is defined under the Investment Company Act of 1940, as amended (“1940 Act”), herein referred to as “Affiliate” with all applicable laws, rules and regulations (including the 1940 Act and the Investment Advisers Act of 1940, as amended), and the rules and regulations of each self-regulatory organization with jurisdiction over Fund Company or Affiliate, except to the extent that the failure to so comply by Fund Company or any Affiliate is caused by Xxxxxx’x breach of this Agreement.
b. In the event that the Account holds more than five percent (5%) of the outstanding Fund shares, Fund Company will be responsible for requesting Schwab to confirm its status as shareholder of record and to confirm whether any Schwab customer beneficially owns more than five percent (5%) of the outstanding Fund shares through its Schwab brokerage account. For this purpose, Fund Company shall indicate in its inquiry the number of Fund shares that equal five percent (5%) of outstanding Fund shares. Schwab shall promptly reply to any such inquiries.
x. Xxxxxx is responsible for Xxxxxx’x compliance with all applicable laws, rules and regulations governing Xxxxxx’x performance under this Agreement, except to the extent that Xxxxxx’x failure to comply with any law, rule or regulation is caused by Fund Company’s breach of this Agreement.
d. Except as set forth in this Agreement or as otherwise ...
Compliance Responsibilities. It is the responsibility of both the Manager and Incumbent(s) of the role to ensure the employee(s) performing the role will meet relevant requirements of:
Compliance Responsibilities a. Fund Company is responsible for (i) the compliance of each prospectus, registration statement, annual or other periodic report, proxy statement and item of advertising or marketing material of or relating to each Fund with all applicable laws, rules and regulations (except for advertising or marketing material prepared by Schwab that was not published or provided to Schwab by or on behalf of Fund Company or any Affiliate (defined below) or accurately derived from information published or provided by or on behalf of Fund Company or any Affiliate), (ii) the distribution and tabulation of proxies in accordance with all applicable laws, rules and regulations (except for such proxy related services provided by Schwab's mailing agent), (iii) the registration or qualification xx xxx xhares of each Fund under all applicable laws, rules and regulations, and (iv) the compliance by Fund Company and each Affiliate of Fund Company, as that term is defined below, with all applicable laws, rules and regulations (including the Investment Company Act of 1940, as amended (the "1940 Act"), and the Investment Advisers Act of 1940, as amended), and the rules and regulations of each self-regulatory organization with jurisdiction over Fund Company or Affiliate, except to the extent that the failure to so comply by Fund Company or any Affiliate is caused by Schwab's breach of this Agreement. Fund Company's responsibilitixx xxxxx Sections 3(a)(i) to 3(a)(iv) include, but are not limited to, compliance of information published, distributed, or made available, and activities conducted through, the Internet and any other electronic medium. For purposes of this Agreement, an "Affiliate" of a person means (i) any person directly or indirectly controlling, controlled by, or under common control with, such person, (ii) any officer, director, partner, corporation, or employee of such person, and (iii) if such person is an investment company, any investment advisor thereof or any member of the advisory board thereof.
b. In the event that the Account holds five percent (5 %) or more of the outstanding Fund shares, Fund Company will be responsible for requesting Schwab to confirm its status as shareholder of record and to confirm whether any MFMP investor beneficially owns five percent (5%) or more of the outstanding Fund shares through its Schwab brokerage account. For this purpose, Fund Company shall indicate in its inquiry the number of Fund shares that equal five percent (5 %) of outs...
Compliance Responsibilities. (a) Vanguard is responsible for (i) the compliance of each prospectus, registration statement, annual or other periodic report, proxy statement and item of advertising or marketing material prepared by it relating to each VVIF Portfolio with all applicable laws, rules and regulations (except for advertising or marketing material prepared by the Agent to the extent any information therein was not published or provided to the Agent by or on behalf of Vanguard or the VVI Fund or accurately derived from information published or provided by or on behalf of Vanguard or the VVI Fund), (ii) the registration or qualification of the shares of each VVIF Portfolio under all applicable laws, rules and regulations, and (iii) the compliance by Vanguard and the VVI Fund with all applicable laws, rules and regulations (including the 0000 Xxx) governing its performance under this Agreement, and the rules and regulations of each self-regulatory organization with jurisdiction over Vanguard or the VVI Fund, except to the extent that the failure to so comply by Vanguard or the VVI Fund is caused by the Agent’s breach of this Agreement or the Agent’s willful misconduct or negligence in the performance of, or failure to perform, its obligations under this Agreement.
(b) The Agent is responsible for the Agent’s compliance with all applicable laws, rules and regulations governing its performance under this Agreement, and the rules and regulations of each self-regulatory organization with jurisdiction over the Agent, except to the extent that the Agent’s failure to comply with any law, rule or regulation is caused by Vanguard’s breach of this Agreement, or Vanguard’s willful misconduct or negligence in the performance of, or failure to perform, its obligations under this Agreement.
Compliance Responsibilities. The following constitutes the general requirements for program compliance:
(1) SITE DEDICATION. Land owned or under site control by the grantee, which is developed for infrastructure with EDA funds, shall be dedicated for public use.
Compliance Responsibilities. (a) At all times, Organization shall comply with all applicable laws, rules and regulations in performing the Services. Organization shall at all times comply with the terms of the prospectus and statement of additional information (collectively, the "Prospectus") for the Funds, including, but not limited to, the disclosure related to "Purchasing, Selling and Exchanging Fund Shares", the terms of any sales charges, redemption fees or limitation on exchanges and other short-term trading limitations (i.e., frequent purchases and sales activity by the same beneficial owner).
(b) Organization acknowledges and agrees that neither Fund Company nor any Fund is responsible for Organization's compliance with any applicable law, rule or regulation governing performance of the Services.
(c) Organization acknowledges that Fund Company has full authority to take such action as they may deem advisable in respect of all matters pertaining to the continuous offering of shares of any Fund. Fund Company reserves the right in its sole discretion to suspend sales or withdraw the offering of shares of any Fund after reasonable notice to Organization that such shares will no longer be available to the public, provided, however, that in the event that Fund Company or Fund is required by law or regulation to suspend sales or withdraw the offering, or if Fund Company believes that such suspension or withdrawal is appropriate from a portfolio management perspective, Fund Company may immediately suspend sales or withdraw the offering for any Fund and will use its reasonable best efforts to notify Organization as soon as practicable of such decision.
Compliance Responsibilities. Supplier and all goods and services provided by Supplier will comply with all applicable federal, state, and local statutes, regulations, and ordinances, including but not limited to New York State laws concerning social security numbers and other personally identifiable information, the Health Insurance Portability Accountability Act (HIPAA), the Health Information Technology for Economic and Clinical Health Act (HITECH), and the Family Educational Rights and Privacy Act (FERPA), and with the rules and regulations of the University (collectively, the “Applicable Requirements”). Supplier will ensure it has an effective administrative, technical and physical controls environment to comply with above and
Compliance Responsibilities. Supplier and all goods and services provided by Supplier will comply with all applicable federal, state, and local statutes, regulations, and ordinances, including but not limited to New York State laws concerning social security numbers and other personally identifiable information, the Health Insurance Portability Accountability Act (HIPAA), the Health Information Technology for Economic and Clinical Health Act (HITECH), and the Family Educational Rights and Privacy Act (FERPA), and with the rules and regulations of Highland Hospital (collectively, the “Applicable Requirements”). Supplier will ensure it has an effective administrative, technical and physical controls environment to comply with above and its obligations pursuant to this Agreement. At no cost or expense to Highland Hospital, Supplier shall promptly notify Highland Hospital and, if directed to do so by Highland Hospital, all others required to be notified by Applicable Requirements of any breach of the foregoing by Supplier, its employees, and agents and will permit Highland Hospital officials to inspect Supplier's on site operations, if any, at any time. The foregoing will not limit or bar any other remedies or recourse Highland Hospital may have against Supplier for other damages and expenses resulting from the breach.
Compliance Responsibilities. Notwithstanding any relationships that BCBSM may have with first tier, downstream, and related entities (including MA PPO Providers), BCBSM maintains full responsibility for adhering to and otherwise fully complying with all terms and conditions of its contract with CMS, and all applicable federal, state, and local laws, rules, and regulations, now or hereafter in effect including Medicare laws, regulations, reporting requirements, and CMS instruction. Provider acknowledges that BCBSM shall oversee and monitor Provider’s performance on an ongoing basis.
Compliance Responsibilities. Each of Buyer and Seller shall be responsible for their own compliance with regulations related to (i) the conventional gasoline antidumping compliance standards of 40 C.F.R. Subpart E, (ii) gasoline sulfur standards of 40 CFR Subpart H and (iii) the renewable fuels standards of 40 C.F.R. Subpart K.
