Common use of Investigation and Proceeding Clause in Contracts

Investigation and Proceeding. (a) Distributor and Company agree to cooperate fully in any insurance regulatory investigation or proceeding or judicial proceeding arising in connection with the Contracts distributed under this Agreement. Distributor and Company further agree to cooperate fully in any securities regulatory investigation or proceeding or judicial proceeding with respect to Company, Distributor, their affiliates and their agents or representatives to the extent that such investigation or proceeding is in connection with Contracts distributed under this Agreement. The Distributor shall furnish applicable federal and state regulatory authorities with any information or reports in connection with its services under this Agreement which such authorities may request in order to ascertain whether the Company's operations are being conducted in a manner consistent with any applicable law or regulation. (b) In the case of a substantive customer complaint, Distributor and Company will cooperate in investigating such complaint and any response to such complaint will be sent to the other party to this Agreement for approval not less than five business days prior to its being sent to the customer or regulatory authority, except that if a more prompt response is required, the proposed response shall be communicated by telephone or telegraph.

Appears in 7 contracts

Samples: Distribution Agreement (Pruco Life of New Jersey Variable Contract Real Property Acc), Distribution Agreement (Pruco Life Variable Contract Real Property Account), Distribution Agreement (Pruco Life Variable Insurance Account)

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Investigation and Proceeding. (a) The Distributor and the Company agree to cooperate fully in any insurance regulatory investigation or proceeding or judicial proceeding arising in connection with the Contracts distributed under this Agreement. The Distributor and the Company further agree to cooperate fully in any securities regulatory investigation or proceeding or judicial proceeding with respect to the Company, the Distributor, or their affiliates and their affiliates, agents or representatives to the extent that such investigation or proceeding is in connection with Contracts distributed under this Agreement. The Distributor shall furnish applicable federal and state regulatory authorities with any information or reports in connection with its services under the provisions of this Agreement Article I which such authorities may request in order to ascertain whether the Company's ’s operations are being conducted in a manner consistent with any applicable law or regulationregulations. (b) In the case of a substantive customer complaint, the Distributor and the Company will shall cooperate in investigating such complaint and any complaint. Any response to such complaint will by the Distributor or the Company shall be sent to the other party to this Agreement for approval not less than five business days prior to its being sent to the customer or regulatory authority, except that if a more prompt response is required, the proposed response shall be communicated by telephone or telegraphother means of communication.

Appears in 4 contracts

Samples: Underwriting Agreement (Mony Series Fund Inc), Underwriting Agreement (Mony Series Fund Inc), Underwriting Agreement (Mony Series Fund Inc)

Investigation and Proceeding. (a) Distributor and Company agree to cooperate fully in any insurance regulatory investigation or proceeding or judicial proceeding arising in connection with the Contracts distributed under this Agreement. Distributor and Company further agree to cooperate fully in any securities regulatory investigation or proceeding or judicial proceeding with respect to Company, Distributor, their affiliates and their agents or representatives to the extent that such investigation or proceeding is in connection with Contracts distributed under this Agreement. The Distributor shall furnish applicable federal and state regulatory authorities with any information or reports in connection with its services under this Agreement which such authorities may request in order to ascertain whether the Company's operations are being conducted in a manner consistent with any applicable law or regulationregulations. (b) In the case of a substantive customer complaint, Distributor and Company will cooperate in investigating such complaint and any response to such complaint will be sent to the other party to this Agreement for approval not less than five business days FIVE (5) BUSINESS DAYS prior to its being sent to the customer or regulatory authority, except that if a more prompt response is required, the proposed response shall be communicated by telephone or telegraph.

Appears in 4 contracts

Samples: Distribution Agreement (Prudential Individual Variable Contract Account), Distribution Agreement (Pruco Life Flexible Premium Variable Annuity Account), Distribution Agreement (Pruco Life Insurance of New Jersey)

Investigation and Proceeding. (a) Distributor and Company agree to cooperate fully in any insurance regulatory investigation or proceeding or judicial proceeding arising in connection with the Contracts distributed under this Agreement. Distributor and Company further agree to cooperate fully in any securities regulatory investigation or proceeding or judicial proceeding with respect to Company, Distributor, their affiliates and their agents or representatives to the extent that such investigation or proceeding is in connection with Contracts distributed under this Agreement. The Distributor shall furnish applicable federal and state regulatory authorities with any information or reports in connection with its services under this Agreement which such authorities may request in order to ascertain whether the Company's operations are being conducted in a manner consistent with any applicable law or regulationregulations. (b) In the case of a substantive customer complaint, Distributor and Company will cooperate in investigating such complaint and any response to such complaint will be sent to the other party to this Agreement for approval not less than five business days prior to its being sent to the customer or regulatory authority, except that if a more prompt response is required, the proposed response shall be communicated by telephone or telegraph.

Appears in 4 contracts

Samples: Distribution Agreement (Prudential Variable Appreciable Account), Distribution Agreement (Prudential Variable Appreciable Account), Distribution Agreement (Pruco Life Pruvider Variable Appreciable Account)

Investigation and Proceeding. (a) Distributor and Company agree to cooperate fully in any insurance regulatory investigation or proceeding or judicial proceeding arising in connection with the Contracts distributed under this Agreement. Distributor and Company further agree to cooperate fully in any securities regulatory investigation or proceeding or judicial proceeding with respect to Company, Distributor, their affiliates and their agents or representatives to the extent that such investigation or proceeding is in connection with Contracts distributed under this Agreement. The Distributor shall furnish applicable federal and state regulatory authorities with any information or reports in connection with its services under this Agreement which such authorities may request in order to ascertain whether the Company's operations are being conducted in a manner consistent with any applicable law or regulationregulations. (b) In the case of a substantive customer complaint, Distributor and Company will cooperate in investigating such complaint and any response to such complaint will be sent to the other party to this Agreement for approval not less than five business days prior to its being sent to the customer or regulatory authority, except that if a more prompt response is required, the proposed response is required, the proposed response shall be communicated by telephone or telegraph.

Appears in 4 contracts

Samples: Distribution Agreement (Pruco Life Variable Universal Account), Distribution Agreement (Pruco Life Variable Appreciable Account), Distribution Agreement (Pruco Life Variable Universal Account)

Investigation and Proceeding. (a) Distributor and Company agree to cooperate fully in any insurance regulatory investigation or proceeding or judicial proceeding arising in connection with the Contracts distributed under this Agreement. Distributor and Company further agree to cooperate fully in any securities regulatory investigation or proceeding or judicial proceeding with respect to Company, Distributor, their affiliates and their agents or representatives to the extent that such investigation or proceeding is in connection with Contracts distributed under this Agreement. The Distributor shall furnish applicable federal and state regulatory authorities with any information or reports in connection with its services under this Agreement which such authorities may request in order to ascertain whether the Company's operations are being conducted in a manner consistent with any applicable law or regulationregulations. (b) In the case of a substantive customer complaint, Distributor and Company will cooperate in investigating such complaint and any response to such complaint will be sent to the other party to this Agreement for approval not less than five business days prior to its being sent to the customer or regulatory authority, except that if a more prompt response is required, the proposed response shall be communicated by telephone or telegraph.

Appears in 3 contracts

Samples: Distribution Agreement (Pruco Life Variable Universal Account), Distribution Agreement (Pruco Life Variable Appreciable Account), Distribution Agreement (Pruco Life Variable Universal Account)

Investigation and Proceeding. (a) Distributor and Company agree to cooperate fully in any insurance regulatory investigation or proceeding or judicial proceeding arising in connection with the Contracts and Certificates distributed under this Agreement. Distributor and Company further agree to cooperate fully in any securities regulatory investigation or proceeding or judicial proceeding with respect to Company, Distributor, their affiliates and their agents or representatives to the extent that such investigation or proceeding is in connection with the Contracts and Certificates distributed under this Agreement. The Distributor shall furnish applicable federal and state regulatory authorities with any information or reports in connection with its services under this Agreement which such authorities may request in order to ascertain whether the Company's operations are being conducted in a manner consistent with any applicable law or regulation. (b) . In the case of a substantive customer complaint, Distributor and Company will cooperate in investigating such complaint and any response to such complaint will be sent to the other party to this Agreement for approval not less than five business days prior to its before being sent to the customer or regulatory authority, except that if a more prompt response is required, the proposed response shall be communicated by telephone or telegraph.

Appears in 2 contracts

Samples: Distribution Agreement (Prudential Discovery Select Group Variable Contract Acct), Distribution Agreement (Prudential Variable Contract Account Gi-2)

Investigation and Proceeding. (a) Distributor and Company agree to cooperate fully in any insurance regulatory investigation or proceeding or judicial proceeding arising in connection with the Contracts distributed under this Agreement. Distributor and Company further agree to cooperate fully in any securities regulatory investigation or proceeding or judicial judiciai proceeding with respect to Company, Distributor, their affiliates and their agents or representatives to the extent that such investigation or proceeding is in connection with Contracts distributed under this Agreement. The Distributor shall furnish applicable federal and state regulatory authorities with any information or reports in connection with its services under this Agreement which such authorities may request in order to ascertain whether the Company's operations are being conducted in a manner consistent with any applicable law or regulationregulations. (b) In the case of a substantive customer complaint, Distributor and Company will cooperate in investigating such complaint and any response to such complaint will be sent to the other party to this Agreement for approval not less than five business days prior to its being sent to the customer or regulatory authority, except that if a more prompt response is required, the proposed response shall be communicated by telephone or telegraph.

Appears in 2 contracts

Samples: Distribution Agreement (Pruco Life of New Jersey Variable Appreciable Account), Distribution Agreement (Pruco Life of New Jersey Variable Appreciable Account)

Investigation and Proceeding. (a) The Distributor and the Company agree to cooperate fully in any insurance regulatory investigation or proceeding or judicial proceeding arising in connection with the Contracts distributed under this Agreement. The Distributor and the Company further agree to cooperate fully in any securities regulatory investigation or proceeding or judicial proceeding with respect to the Company, the Distributor, or their affiliates and their affiliates, agents or representatives to the extent that such investigation or proceeding is in connection with Contracts distributed under this Agreement. The Distributor shall furnish applicable federal and state regulatory authorities with any information or reports in connection with its services under the provisions of this Agreement Article I which such authorities may request in order to ascertain whether the Company's operations are being conducted in a manner consistent with any applicable law or regulationregulations. (b) In the case of a substantive customer complaint, the Distributor and the Company will shall cooperate in investigating such complaint and any complaint. Any response to such complaint will by the Distributor or the Company shall be sent to the other party to this Agreement for approval not less than five business days prior to its being sent to the customer or regulatory authority, except that if a more prompt response is required, the proposed response shall be communicated by telephone or telegraphother means of communication.

Appears in 2 contracts

Samples: Underwriting Agreement (Mony Variable Account L), Underwriting Agreement (Mony Variable Account A)

Investigation and Proceeding. (a) Distributor and Company agree to cooperate fully in any insurance regulatory investigation or proceeding or judicial proceeding arising in connection with the Contracts distributed under this Agreement. Distributor and Company further agree to cooperate fully in any securities regulatory investigation or proceeding or judicial proceeding with respect to Company, Distributor, their affiliates and their agents or representatives to the extent that such investigation or proceeding is in connection with Contracts distributed under this Agreement. The Distributor shall furnish applicable federal and state regulatory authorities with any information or reports in connection with its services under this Agreement which such authorities may request in order to ascertain whether the Company's operations are being conducted in a manner consistent with any applicable law or regulationregulations. (b) In the case of a substantive customer complaint, Distributor and Company will cooperate in investigating such complaint and any response to such complaint will be sent to the other party to this Agreement for approval not less than five business days prior to its being sent to the customer or regulatory authority, except that if a more prompt response is required, the proposed response shall be communicated by telephone or telegraph.

Appears in 2 contracts

Samples: Distribution Agreement (Pruco Life of New Jersey Flxble Prmium Variable Annuity Acct), Distribution Agreement (Pruco Life of New Jersey Flxble Prmium Variable Annuity Acct)

Investigation and Proceeding. (a) Distributor and Company agree to cooperate fully in any insurance regulatory investigation or proceeding or judicial proceeding arising in connection with the Contracts distributed under this Agreement. Distributor and Company further agree to cooperate fully in any securities regulatory investigation or proceeding or judicial proceeding with respect to Company, Distributor, their affiliates and their agents or representatives to the extent that such investigation or proceeding is in connection with the Contracts distributed under this Agreement. The Distributor shall furnish applicable federal and state regulatory authorities with any information or reports in connection with its services under this Agreement which such authorities may request in order to ascertain whether the Company's ’s operations are being conducted in a manner consistent with any applicable law or regulation. (b) . In the case of a substantive customer complaint, Distributor and Company will cooperate in investigating such complaint and any response to such complaint will be sent to the other party to this Agreement for approval not less than five business days prior to its before being sent to the customer or regulatory authority, except that if a more prompt response is required, the proposed response shall be communicated by telephone or telegraph.

Appears in 2 contracts

Samples: Distribution Agreement (Priac Variable Contract Account A), Distribution Agreement (Priac Variable Contract Account A)

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Investigation and Proceeding. (a) The Distributor and the Company agree to cooperate fully in any insurance regulatory investigation or proceeding or judicial proceeding arising in connection with the Contracts distributed under this Agreement. The Distributor and the Company further agree to cooperate fully in any securities regulatory investigation or proceeding or judicial proceeding with respect to the Company, the Distributor, or their affiliates and their affiliates, agents or representatives to the extent that such investigation or proceeding is in connection with Contracts distributed under this Agreement. The Distributor shall furnish applicable federal and state regulatory authorities with any information or reports in connection with its services under the provisions of this Agreement Article I which such authorities may request in order to ascertain whether the Company's operations are being conducted in a manner consistent with any applicable law or regulationregulations. (b) In the case of a substantive customer complaint, the Distributor and the Company will shall cooperate in investigating such complaint and any complaint. Any response to such complaint will by the Distributor or the Company shall be sent to the other party to this Agreement for approval not less than five business days prior to its being sent to the customer or regulatory authority, except that if a more prompt response is required, the proposed response shall be communicated by telephone or telegraph.other means of communication

Appears in 1 contract

Samples: Underwriting Agreement (Mony America Variable Account L)

Investigation and Proceeding. (a) Distributor and Company agree to cooperate fully in any insurance regulatory investigation or proceeding or judicial proceeding arising in connection with the Contracts Contract distributed under this Agreement. Distributor and Company further agree to cooperate fully in any securities regulatory investigation or proceeding or judicial proceeding with respect to Company, Distributor, their affiliates and their agents or representatives to the extent that such investigation or proceeding is in connection with Contracts Contract distributed under this Agreement. The Distributor shall furnish applicable federal and state regulatory authorities with any information or reports in connection with its services under this Agreement which such authorities may request in order to ascertain whether the Company's operations are being conducted in a manner consistent with any applicable law or regulationregulations. (b) In the case of a substantive customer complaint, Distributor and Company will cooperate in investigating such complaint and any response to such complaint will be sent to the other party to this Agreement for approval not less than five business days FIVE (5) BUSINESS Days prior to its being sent to the customer or regulatory authority, except that if a more prompt response is required, the proposed response shall be communicated by telephone or telegraph.

Appears in 1 contract

Samples: Distribution Agreement (Prudential Qualified Individual Variable Contract Account/Nj)

Investigation and Proceeding. (a) The Distributor and the Company agree to cooperate fully in any insurance regulatory investigation or proceeding or judicial proceeding arising in connection with the Contracts distributed under this Agreement. The Distributor and the Company further agree to cooperate fully in any securities regulatory investigation or proceeding or judicial proceeding with respect to the Company, the Distributor, or their affiliates and their affiliates, agents or representatives to the extent that such investigation or proceeding is in connection with Contracts distributed under this Agreement. The Distributor shall furnish applicable federal and state regulatory authorities with any information or reports in connection with its services under the provisions of this Agreement Article I which such authorities may request in order to ascertain whether the Company's ’s operations are being being’ conducted in a manner consistent with any applicable law or regulationregulations. (b) In the case of a substantive customer complaint, the Distributor and the Company will shall cooperate in investigating such complaint and any complaint. Any response to such complaint will by the Distributor or the Company shall be sent to the other party to this Agreement for approval not less than five business days prior to its being sent to the customer or regulatory authority, except that if a more prompt response is required, the proposed response shall be communicated by telephone or telegraphother means of communication.

Appears in 1 contract

Samples: Underwriting Agreement (Mony America Variable Account A)

Investigation and Proceeding. (a) Distributor and Company agree to cooperate fully in any insurance regulatory investigation or proceeding or judicial proceeding arising in connection with the Contracts and Certificates distributed under this Agreement. Distributor and Company further agree to cooperate fully in any securities regulatory investigation or proceeding or judicial proceeding with respect to Company, Distributor, their affiliates and their agents or representatives to the extent that such investigation or proceeding is in connection with the Contracts and Certificates distributed under this Agreement. The Distributor shall furnish applicable federal and state regulatory authorities with any information or reports in connection with its services under this Agreement which such authorities may request in order to ascertain whether the Company's ’s operations are being conducted in a manner consistent with any applicable law or regulation. (b) . In the case of a substantive customer complaint, Distributor and Company will cooperate in investigating such complaint and any response to such complaint will be sent to the other party to this Agreement for approval not less than five business days prior to its before being sent to the customer or regulatory authority, except that if a more prompt response is required, the proposed response shall be communicated by telephone or telegraph.

Appears in 1 contract

Samples: Distribution Agreement (Prudential Variable Contract Account Gi-2)

Investigation and Proceeding. (a) The Distributor and the Company agree to cooperate fully in any insurance regulatory investigation or proceeding or judicial proceeding arising in connection with the Contracts distributed under this Agreement. The Distributor and the Company further agree to cooperate fully in any securities regulatory investigation or proceeding or judicial proceeding with respect to the Company, the Distributor, or their affiliates and their affiliates, agents or representatives to the extent that such investigation or proceeding is in connection with Contracts distributed under this Agreement. The Distributor shall furnish applicable federal and state regulatory authorities with any information or reports in connection with its services under the provisions of this Agreement Article I which such authorities may request in order to ascertain whether the Company's operations are being being' conducted in a manner consistent with any applicable law or regulationregulations. (b) In the case of a substantive customer complaint, the Distributor and the Company will shall cooperate in investigating such complaint and any complaint. Any response to such complaint will by the Distributor or the Company shall be sent to the other party to this Agreement for approval not less than five business days prior to its being sent to the customer or regulatory authority, except that if a more prompt response is required, the proposed response shall be communicated by telephone or telegraphother means of communication.

Appears in 1 contract

Samples: Underwriting Agreement (Mony Life Insurance Company of America)

Investigation and Proceeding. (a) Distributor and Company agree to cooperate fully in any insurance regulatory investigation or proceeding or judicial proceeding arising in connection with the Contracts distributed under this Agreement. Distributor and Company further agree to cooperate fully in any securities regulatory investigation or proceeding or judicial proceeding with respect to Company, Distributor, their affiliates and their agents or representatives to the extent that such investigation or proceeding is in connection with Contracts distributed under this Agreement. The Distributor shall furnish applicable federal and state regulatory authorities with any information or reports in connection with its services under this Agreement which such authorities may request in order to ascertain whether the Company's operations are being conducted in a manner consistent with any applicable law or regulationregulations. (b) In the case of a substantive customer complaint, Distributor and Company will cooperate in investigating such complaint and any response to such complaint will be sent to the other party to this Agreement for approval not less than five business days prior to its being sent to the customer or regulatory authority, except that if a more prompt response is required, the proposed response shall be communicated by telephone or telegraph.

Appears in 1 contract

Samples: Distribution Agreement (Prudential Variable Appreciable Account)

Investigation and Proceeding. (a) Distributor and Company agree to cooperate fully in any insurance regulatory investigation or proceeding or judicial proceeding arising in connection with the Contracts and Certificates distributed under this Agreement. Distributor and Company further agree to cooperate fully in any securities regulatory investigation or proceeding or judicial proceeding with respect to Company, Distributor, their affiliates and their agents or representatives to the extent that such investigation or proceeding is in connection with the Contracts and Certificates distributed under this Agreement. The Distributor shall furnish applicable federal and state regulatory authorities with any information or reports in connection with its services under this Agreement which such authorities may request in order to ascertain whether the Company's operations are being conducted in a manner consistent with any applicable law or regulation. (b) . In the case of a substantive customer complaint, Distributor and Company will cooperate in investigating such complaint and any response to such complaint will be sent to the other party to this Agreement for approval not less than five business days prior to its before being sent to the customer or regulatory authority, except that if a more prompt response is required, the proposed response shall be communicated by telephone or telegraph.

Appears in 1 contract

Samples: Distribution Agreement (Prudential Variable Contract Account Gi-2)

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