Investigations and Proceedings. The parties to this Agreement agree to cooperate fully in any securities regulatory investigation or proceeding or any judicial proceeding with respect to each party’s activities under this Agreement and promptly to notify the other party of any such investigation or proceeding.
Investigations and Proceedings. Unless prohibited by either (i) the terms of the subpoena, request for information or other document referred to below, (ii) law (including, without limitation, rules and regulations) or (iii) restrictions imposed by the U.S. federal or state government or any agency or instrumentality thereof and subject to the execution by the applicable Administrative Agent of a confidentiality agreement in form and substance satisfactory to both the Transferor and such Administrative Agent, as soon as possible and in any event (A) within three Business Days after the Transferor (or within five Business Days after any Originating Entity) receives any subpoena, request for information, or any other document relating to any possible violation by the Transferor or any Originating Entity of, or failure by the Transferor or any Originating Entity to comply with, any rule, regulation or statute from HHS or any other governmental agency or instrumentality, notice of such receipt and, if requested by the Agent, the information contained in, or copies of, such subpoena, request or other document, and (B) periodic updates and other management reports relating to the subpoenas, requests for information and other documents referred to in clause (A) above as may be reasonably requested by any Administrative Agent unless such updates or requests could reasonably be deemed a contravention or waiver of any available claim of legal privilege, or would otherwise materially impair available defenses, of the Transferor or any Originating Entity.
Investigations and Proceedings. The parties to this Agreement agree to use commercially reasonable efforts to cooperate in any securities regulatory investigation or proceeding or judicial proceeding with respect to each party’s activities under this Agreement and, to the extent not prohibited by any regulatory body or court with jurisdiction, to promptly notify the other party of any such investigation or proceeding.
Investigations and Proceedings. INGAE and ING Reliastar agree to cooperate fully with each other in all insurance or securities investigations or proceedings or judicial proceedings arising in connection with the Contracts distributed under this agreement. INGAE further agrees to furnish such regulatory authorities with information or reports in connection with such services as may be requested in connection with the operations of ING Reliastar or the Separate Account in connection with such investigation or proceedings. INGAE and ING Reliastar further agree to cooperate fully in any regulatory investigation or proceeding with respect to their affiliates or their agents and representatives to the extent that such investigation or proceeding is in connection with the Contracts distributed under this agreement. Without limiting any provision of this Section XII:
(a) INGAE will be notified promptly of all customer complaints or notices of all regulatory investigations or proceedings or judicial proceedings received by ING Reliastar with respect to INGAE or any agents, representatives, or sub-agents of a Broker/Dealer or general agent or other investigation or proceeding which may affect ING Reliastar's issuance of Contracts distributed or sold under this agreement;
(b) INGAE will promptly notify ING Reliastar of all customer complaints or notices of all regulatory investigations or proceedings received by INGAE or its affiliates with respect to ING Reliastar or its agents, representatives, or sub-agents of a Broker/Dealer or general agent in connection with Contracts distributed or sold under this agreement, or other activity in connection with such Contracts. In the case of a customer complaint, INGAE and ING Reliastar will cooperate fully with each other in investigating such complaint and an appropriate response will be sent to the other party under this agreement for approval at least five (5) business days prior to its distribution to the customer or regulatory authority, except that if a more prompt response is required, the response may be communicated by telephone or electronic means.
Investigations and Proceedings. Distributor and Insurer shall cooperate fully in any securities or insurance regulatory investigation or proceeding or judicial proceeding arising in connection with the offering, sale or distribution of the Contracts distributed under this Agreement. Without limiting the foregoing, Insurer and Distributor shall notify each other promptly of any customer complaint or notice of any regulatory investigation or proceeding or judicial proceeding received by either party with respect to the Contracts, whether such complaint or notice is received directly or through a Selling Broker-Dealer or otherwise.
Investigations and Proceedings. (a) DSL and ILIAC agree to cooperate fully in insurance regulatory investigations or proceedings or judicial proceedings arising in connection with the offering, sale or distribution of Annuity Contracts distributed under this Agreement. DSL and ILIAC further agree to cooperate fully in any securities regulatory investigation or proceeding or judicial proceeding with respect to ILAIC, DSL, their affiliates and their agents or representatives to the extent that such investigation or proceeding is in connection with the Annuity Contracts offered, sold or distributed under this Agreement. Without limiting the foregoing,
(i) DSL will be notified promptly of any customer complaint or notice of any regulatory investigation or proceeding or judicial proceeding received by ILIAC with respect to DSL or any agent or representative, or which may affect ILIAC’s issuance of Annuity Contracts marketed under this Agreement.
(ii) DSL will promptly notify ILIAC of any customer complaint or notice of any regulatory investigation or proceeding received by DSL or its affiliates with respect to DSL or any agent or representative in connection with any Annuity Contracts distributed under this Agreement or any activity in connection with Annuity Contracts.
(b) In the case of a substantive customer complaint, DSL and ILIAC 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.
Investigations and Proceedings. We agree and you agree to cooperate fully in any securities regulatory investigation or proceeding or judicial proceeding with respect to our respective activities under this Agreement and promptly to notify the each other of any such investigation or proceeding.
Investigations and Proceedings. EquiTrust Marketing and Farm Bureau agree to cooperate fully in any insurance regulatory investigation or proceeding or judicial proceeding arising in connection with the Contracts distributed under this Agreement. EquiTrust Marketing and Farm Bureau further agree to cooperate fully in any securities regulatory inspection, inquiry, investigation or proceeding or any judicial proceeding with respect to Farm Bureau, EquiTrust Marketing, their affiliates, or the associated persons to the extent that such inspection, inquiry, investigation or proceeding is in connection with the Contracts distributed under this Agreement. Without limiting the foregoing:
(a) EquiTrust Marketing will be notified promptly of any customer complaint or notice of any regulatory inspection, inquiry, investigation or proceeding or judicial proceeding received by Farm Bureau with respect to EquiTrust Marketing or any associated person or which may affect Farm Bureau's issuance of any Contract marketed under this Agreement; and
(b) EquiTrust Marketing will promptly notify Farm Bureau of any customer complaint or notice of any regulatory inspection, inquiry, investigation or proceeding received by EquiTrust Marketing or its affiliates with respect to EquiTrust Marketing or any associated person in connection with any Contract distributed under this Agreement or any activity in connection with any such Contract. In the case of a customer complaint, EquiTrust Marketing and Farm Bureau will cooperate in investigating such complaint and arrive at a mutually satisfactory response.
Investigations and Proceedings. EquiTrust Marketing and ETLIC agree to cooperate fully in any insurance regulatory investigation or proceeding or judicial proceeding arising in connection with the Policies and Contracts distributed under this Agreement. EquiTrust Marketing and ETLIC further agree to cooperate fully in any securities regulatory inspection, inquiry, investigation or proceeding or any judicial proceeding with respect to ETLIC, EquiTrust Marketing, their affiliates, or any associated persons to the extent that such inspection, inquiry, investigation or proceeding is in connection with the Policies and Contracts distributed under this Agreement. Without limiting the foregoing:
(a) EquiTrust Marketing will be notified promptly of any customer complaint or notice of any regulatory inspection, inquiry, investigation or proceeding or judicial proceeding received by ETLIC with respect to EquiTrust Marketing or any associated person or which may affect ETLIC’s issuance of any Policy or Contract marketed under this Agreement; and
(b) EquiTrust Marketing will promptly notify ETLIC of any customer complaint or notice of any regulatory inspection, inquiry, investigation or proceeding received by EquiTrust Marketing or its affiliates with respect to EquiTrust Marketing or any associated person in connection with any Policy or Contract distributed under this Agreement or any activity in connection with any such Policy or Contract. In the case of a customer complaint, EquiTrust Marketing and ETLIC will cooperate in investigating such complaint and arrive at a mutually satisfactory response.
Investigations and Proceedings. No action, suit, investigation, or proceeding by or before any court or governmental agency, authority or body or involving the Company or any of its Subsidiaries, or any of their respective directors, officers, employees or agents, in each case acting in their capacity as such, with respect to the Anti-Money Laundering Laws, the Sanctions Laws, or the Anti-Bribery Laws is pending or, to the knowledge of the Company, threatened.
