Investigations and Complaints. To the extent permitted by applicable law, Contractor shall promptly advise the Plan in writing of any extraordinary investigation, examination, complaint or disciplinary action or other proceeding relating to or affecting Contractor’s ability to perform its duties under this Contract which is commenced by any of the following: (1) any Attorney General or any regulatory agency of any state of the United States; (2) any U.S. Government department or agency; or (3) any governmental agency regulating business in any country in which Contractor is doing business. Except as otherwise required by law, the Plan shall maintain the confidentiality of all such information until investigating entity makes the information public.
Investigations and Complaints. As of the date hereof and during the prior five (5) years, to the best of Manager’s knowledge, (1) none of Manager or Manager Professional is or has been the subject of, or a defendant in (a) any civil or criminal investigation, examination, complaint, disciplinary action, or other proceeding which is commenced by any of the following: (i) the SEC, (ii) any stock exchange, (iii) the Financial Industry Regulatory Authority, (iv) any Attorney General or any regulatory agency of any state of the United States, (v) any U.S. Government department or agency, or (vi) any governmental agency regulating securities of any country in which Manager is doing business, (b) any action (or settlement or sanction in lieu thereof) brought by investors for violation of duties owed to such investors, or (c) any lawsuit or legal proceeding and which, if adversely determined, would be reasonably likely to adversely affect Manager’s ability to perform under this Agreement and (2) there is no pending or threatened action, lawsuit, legal, or administrative proceeding or allegations of misconduct that (a) would reasonably be expected to adversely affect Manager or any Manager Professional who is performing services with respect to the Account, (b) would reasonably be expected to adversely affect the ability of Manager or a Manager Professional to discharge any of its duties or obligations under this Agreement, or (c) would reasonably be expected to adversely affect the operations, properties, or business of Manager. Manager shall promptly notify LACERA in the event that any investigation, action, proceeding, or allegations described in this paragraph is threatened or initiated against Manager or any Manager Professional who has performed any service with respect to LACERA’s account in the twenty-four (24) preceding months.
Investigations and Complaints. As of the Effective Date and during the prior five (5) years, to the best of Vendor’s knowledge, (i) no Vendor Personnel is or has been the subject of, or a defendant in (1) any civil or criminal investigation, examination, complaint, disciplinary action or other proceeding which is commenced by any of the following: (A) the Securities and Exchange Commission of the United States (“SEC”), (B) any stock exchange, (C) the Financial Industry Regulatory Authority, (D) any Attorney General or any regulatory agency of any state of the United States, (E) any U.S. Government department or agency, or (F) any governmental agency regulating securities of any country in which Vendor is doing business, (2) any action (or settlement or sanction in lieu thereof) brought by investors for violation of duties owed to such investors, or (3) any lawsuit or legal proceeding and which, if adversely determined, would be reasonably likely to adversely affect Vendor’s ability to perform under this Agreement and (ii) there is no pending or threatened action, lawsuit, legal or administrative proceeding or allegations of misconduct that (X) would reasonably be expected to adversely affect the ability of Vendor or a Vendor Personnel to discharge any of its duties or obligations under this Agreement or (Y) would reasonably be expected to adversely affect the operations, properties or business of Vendor. Vendor shall promptly notify LACERA in the event that any investigation, action, proceeding or allegations described in this paragraph is threatened or initiated against Vendor or any Vendor Personnel who has performed any service under this Agreement in the twenty-four
Investigations and Complaints. As of the effective date of this Agreement and during the prior five (5) years, to the best of Consultant’s knowledge, (A) none of Consultant or Consultant Personnel is or has been the subject of, or a defendant in (i) any civil or criminal investigation, examination, complaint, disciplinary action or other proceeding which is commenced by any of the following: (a) the Securities and Exchange Commission of the United States (“SEC”), (b) any stock exchange, (c) the Financial Industry Regulatory Authority, (d) any Attorney General or any regulatory agency of any state of the United States, (e) any U.S. Government department or agency, or (f) any governmental agency regulating securities of any country in which Consultant is doing business, (ii) any action (or settlement or sanction in lieu thereof) brought by investors for violation of duties owed to such investors, or (iii) any lawsuit or legal proceeding and which, if adversely determined, would be reasonably likely to adversely affect Consultant’s ability to perform under this Agreement and (B) there is no pending or threatened action, lawsuit, legal or administrative proceeding or allegations of misconduct that (i) would reasonably be expected to adversely affect the ability of Consultant or a Consultant Personnel to discharge any of its duties or obligations under this Agreement or (ii) would reasonably be expected to adversely affect the operations, properties or business of Consultant. To the knowledge of Consultant, in the last five (5) years, (i) no allegations of sexual harassment have been made against any member of the senior management team of Consultant or against a Consultant Personnel and (ii) Consultant has not entered into any settlement agreement related to allegations of sexual harassment or misconduct by a senior management team member of Consultant or a Consultant Personnel. Consultant shall promptly notify LACERA in the event that any investigation, action, proceeding or allegations described in this paragraph is threatened or initiated against Consultant or any Consultant Personnel who has performed any service under this Agreement in the twenty-four (24) preceding months.
Investigations and Complaints. To the extent permitted by applicable law, Actuary shall promptly advise LACERA in writing of any civil or criminal investigation, examination, complaint, disciplinary action or other proceeding involving Actuary, any of its subsidiaries or affiliates, any of Actuary's Agents, or any professional employed by Actuary who has performed any services with respect to LACERA in the twelve (12) preceding months, which is commenced by any of: (1) the AICPA,
Investigations and Complaints. To the extent not prohibited by applicable law, Consultant shall promptly advise ACERA, in writing, of any non-routine investigation, examination, complaint, disciplinary action or other proceeding involving Consultant, any of its subsidiaries or affiliates, any of Consultant’s Agents, or any investment professional employed by Consultant who has performed any Consulting Services in the twenty four (24) months preceding such actions, which is commenced by: (1) the Securities and Exchange Commission of the United States, (2) the New York Stock Exchange, (3) the American Stock Exchange, (4) the National Association of Securities Dealers, (5) any Attorney General of any State in the United States, (6) any State or U.S. government department or agency, or (7) any other governmental agency within or outside the United States regulating securities, real estate, real estate brokers, or real estate agents or consultants.
Investigations and Complaints. To the extent permitted by applicable law, Investment Manager shall promptly advise the Plan in writing of any subpoena, investigation, examination, complaint, disciplinary action or other proceeding relating to or affecting Investment Manager or involving any investment professional employed by Investment Manager who has performed any service with respect to the Account or Managed Assets or otherwise under this Agreement in the preceding twenty-four (24) months, which is commenced by any of the following: (1) the SEC, (2) the New York Stock Exchange (NYSE), (3) the American Stock Exchange (AMEX), (4) the Financial Industry Regulatory Authority (FINRA), (5) any attorney general or any regulatory agency of any state of the United States, (6) any United States governmental department or agency, or (7) any governmental agency regulating securities of any country in which Investment Manager is doing business.
Investigations and Complaints. To the extent permitted by applicable law, Consultant shall promptly advise LACERA in writing of any civil or criminal investigation, examination, complaint, disciplinary action or other proceeding involving Consultant, any of its subsidiaries or affiliates, any of Consultant's Agents, or any investment professional employed by Consultant who has performed any services with respect to LACERA in the twenty four (24) preceding months, which is commenced by any of: (1) the Securities and Exchange Commission of the United States, (2) any stock exchange operating in the United States, (3) the National Association of Securities Dealers, (4) any Attorney General or any regulatory agency of any State in the United States, (5) any State or U.S. government department or agency, or (6) any governmental agency regulating securities of any country in which Consultant does business. Except as otherwise required by law, LACERA shall maintain the confidentiality of all such information until the investigating entity makes the information public.
