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.
Appears in 113 contracts
Samples: Selling Dealer Agreement (Lord Abbett Private Credit Fund), Sub Placement Agent Agreement (Ares Dynamic Credit Allocation Fund, Inc.), Selling and Shareholder Servicing Agreement (Apollo S3 Private Markets Fund)
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 each's activities under this Agreement and promptly to notify the other party of any such investigation or proceeding.
Appears in 46 contracts
Samples: Dealer Agreement (Global Total Return Fund Inc /Md), Dealer Agreement (Prudential Natural Resources Fund Inc), Dealer Agreement (Command Tax Free Fund)
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 's activities under this Agreement and promptly to notify the other party of any such investigation or proceeding.
Appears in 17 contracts
Samples: Dealer Agreement (Van Kampen Reserve Fund), Dealer Agreement (Van Kampen Unit Trusts, Municipal Series 560), Services Agreement (Strong Short Term Global Bond Fund Inc)
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 's activities under this Agreement and promptly to notify the other party of any such investigation or proceeding.
Appears in 17 contracts
Samples: Sub Placement Agent Agreement (RiverNorth Managed Duration Municipal Income Fund II, Inc.), Sub Placement Agent Agreement (RiverNorth Flexible Municipal Income Fund, Inc.), Sub Placement Agent Agreement (RiverNorth Opportunistic Municipal Income Fund, Inc.)
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 's activity under this Agreement and promptly to notify the other party of any such investigation or proceeding.
Appears in 8 contracts
Samples: Bank Agency Agreement (Barclays Global Investors Funds), Sub Distribution and Servicing Agreement (Japan Fund Inc), Sub Distribution and Servicing Agreement (Advisors Inner Circle Fund II)
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 partyeach’s activities under this Agreement and promptly to notify the other party of any such investigation or proceeding.
Appears in 6 contracts
Samples: Dealer Agreement (TCW Funds Inc), Dealer Agreement (TCW Funds Inc), Dealer Agreement (TCW Funds Inc)
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 's activity under this Agreement and promptly to notify the other party of any such investigation or proceedingAgreement.
Appears in 4 contracts
Samples: Sub Distribution and Servicing Agreement (Winton Diversified Opportunities Fund), Administrative Services Agreement (Aul American Unit Trust), Sub Distribution and Servicing Agreement (Advisors Inner Circle Fund)
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.
Appears in 4 contracts
Samples: Dealer Agreement (Manning & Napier Fund, Inc.), Dealer Agreement (Eaton Vance Unit Trust - Series 1), Distribution Agreement (Wells Fargo Variable Trust)
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 activity under this Agreement and promptly to notify the other party of any such investigation or proceeding.
Appears in 4 contracts
Samples: Sub Distribution and Servicing Agreement (Wilshire Variable Insurance Trust), Sub Distribution Agreement (Barclays Global Investors Funds), Sub Distribution and Servicing Agreement (Bishop Street Funds)
Investigations and Proceedings. The parties to this Agreement agree to cooperate fully in any securities or insurance regulatory investigation or proceeding or any judicial proceeding with respect to each party’s the others' activities under this Agreement and promptly to notify the other party parties of any such investigation or proceeding.
Appears in 3 contracts
Samples: Broker and Agency Sales Agreement (Prudential Individual Variable Contract Account), Broker and Agency Sales Agreement (Prudential Qualified Individual Variable Contract Account/Nj), Broker and Agency Sales Agreement (Pruco Life Flexible Premium Variable Annuity Account)
Investigations and Proceedings. The parties to this Agreement agree to cooperate fully cooperate, to the full extent permitted by applicable laws and regulations, in any securities regulatory investigation or proceeding or any judicial proceeding with respect to each party’s 's activities under this Agreement and promptly to notify the other party of any such investigation or proceeding.
Appears in 3 contracts
Samples: Selected Dealer Agreement (Morgan Stanley Series Funds), Selected Dealer Agreement (Morgan Stanley FX Series Funds), Selected Dealer Agreement (Morgan Stanley Fundamental Value Fund)
Investigations and Proceedings. The parties to this Agreement agree to reasonably 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.
Appears in 3 contracts
Samples: Participation Agreement (Blackstone Alternative Alpha Fund II), Participation Agreement (Blackstone Alternative Alpha Fund II), Dealer Agreement (Blackstone Alternative Alpha Fund)
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 of either party under this Agreement and promptly to notify the other party of any such investigation or proceeding.
Appears in 2 contracts
Samples: Services Agreement (Allianz Life of Ny Variable Account C), Services Agreement (Allianz Life Variable Account B)
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 activity under this Agreement and promptly to notify the other party of any such investigation or proceedingAgreement.
Appears in 2 contracts
Samples: Sub Distribution and Servicing Agreement (Bishop Street Funds), Sub Distribution and Servicing Agreement (TD Asset Management USA Funds Inc.)
Investigations and Proceedings. The parties to this Agreement agree to cooperate fully in any securities secunt1es regulatory investigation or proceeding or any judicial proceeding with respect to each party’s activities of either party under this Agreement and promptly to notify the other party of any such investigation or proceeding.
Appears in 1 contract
Samples: Fund Participation Agreement (Guardian Separate Account E)
Investigations and Proceedings. The parties Each party to this Agreement agree to shall 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 promptly of any such investigation or proceeding.
Appears in 1 contract
Samples: Distribution and Shareholder Services Agreement (Aul American Unit Trust)
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 of either party under this Agreement and promptly to notify the other party of any such investigation or proceeding.
Appears in 1 contract
Investigations and Proceedings. The parties to this Agreement agree to cooperate fully cooperate, to the full extent permitted by applicable laws and regulations, 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.
Appears in 1 contract
