Legal Events and Disciplinary History Sample Clauses

Legal Events and Disciplinary History. Consultant does not have any legal events and disciplinary history on its Form MA and Form MA-I, which includes information about any criminal actions, regulatory actions, investigations, terminations, judgments, liens, civil judicial actions, customer complaints, arbitrations and civil litigation. The Authority may electronically access Consultant’s most recent Form MA and each most recent Form MA- I filed with the Commission at the following website: xxx.xxx.xxx/xxxxx/searchedgar/companysearch.html There have been no material changes to a legal or disciplinary event disclosure on any Form MA or Form MA-I filed with the SEC.
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Legal Events and Disciplinary History. A regulatory disclosure action has been made on MFSOK’s Form MA and on Form MA-I for two of MFSOK’s municipal advisory personnel relating to a 2017 U.S. Securities and Exchange Commission (“SEC”) order. The details of which are available in Item 9; C (2), C (4), C (5) and the corresponding regulatory action DRP section on Form MA and Item 6: C (2), C (4), C (5), C (6) and the corresponding regulatory action DRP section on Form MA-I for both Xxxx X. Xxxxx and Xxx Xxxxx. In addition, the Oklahoma Department of Securities adopted the above proceedings which are identified in Item 9; D (2), D (4) and the corresponding regulatory action DRP section on Form MA. The Client may electronically access MFSOK’s most recent Form MA and each most recent Form MA- I filed with the Commission at the following website: xxx.xxx.xxx/xxxxx/searchedgar/companysearch.html. There has been no change to any legal or disciplinary event that has been disclosed on MFSOK’s SEC registration for MA filings since December 18, 2017.
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Legal Events and Disciplinary History. MFSOK does not have any legal events and disciplinary history on its Form MA and Form MA-I, which includes information about any criminal actions, regulatory actions, investigations, terminations, judgments, liens, civil judicial actions, customer complaints, arbitrations and civil litigation. The District may electronically access MFSOK’s most recent Form MA and each most recent Form MA-I filed with the Commission at the following website: xxx.xxx.xxx/xxxxx/searchedgar/companysearch.html. There have been no material changes to a legal or disciplinary event disclosure on any Form MA or Form MA-I filed with the SEC.
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Legal Events and Disciplinary History. CONSULTANT does not have any legal events and disciplinary history on its Form MA and Form MA-I, which includes information about any criminal actions, regulatory actions, investigations, terminations, judgments, liens, civil judicial actions, customer complaints, arbitrations and civil litigation. The KFPD may electronically access CONSULTANT’ most recent Form MA and each most recent Form MA-I filed with the Commission at the following website: xxx.xxx.xxx/xxxxx/searchedgar/companysearch.html There have been no material changes to a legal or disciplinary event disclosure on any Form MA or Form MA-I filed with the SEC.
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Legal Events and Disciplinary History. MA does not have any legal events and disciplinary history on their Form MA and Form MA-I, which includes information about any criminal actions, regulatory actions, investigations, terminations, judgments, liens, civil judicial actions, customer complaints, arbitrations and civil litigation. The Agency may electronically access MA’s most recent Forms MA and each most recent Forms MA-I filed with the Commission at the following website: xxx.xxx.xxx/xxxxx/searchedgar/companysearch.html. There have been no material changes to a legal or disciplinary event disclosure on any Form MA or Form MA-I filed with the SEC. Registration and Customer Complaints Pursuant to Municipal Securities Rulemaking Board Rule G-10, on Investor and Municipal Advisory Client Education and Protection, Municipal Advisors are required to provide certain written information to their municipal entity and obligated person clients which include the following: • Del Rio Advisors, LLC is currently registered as a Municipal Advisor with the U.S. Securities and Exchange Commission and the Municipal Securities Rulemaking Board. Within the Municipal Securities Rulemaking Board (“MSRB”) website at xxx.xxxx.xxx, the Agency may obtain the Municipal Advisory client brochure that is posted on the MSRB website. The brochure describes the protections that may be provided by the MSRB Rules along with how to file a complaint with financial regulatory authorities.
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Legal Events and Disciplinary History. Xxxx Xxxxxxxxxxx does not have any legal events and disciplinary history on its Form MA and Form MA-I’s, which includes information about any criminal actions, regulatory actions, investigations, terminations, judgments, liens, civil judicial actions, customer complaints, arbitrations and civil litigation. Issuer may electronically access the Municipal Advisor’s most recent Form MA and each most recent Form MA-I filed with the Securities and Exchange Commission at the following website: xxx.xxx.xxx/xxxxx/searchedgar/companysearch.htm There have been no material changes to a legal or disciplinary event disclosure on any Form MA or Form MA-I filed with the SEC. XI. MSRB RULE G-10 DISCLOSURE Pursuant to Municipal Securities Rulemaking Board Rule G-10, on Investor and Municipal Advisory Client Education and Protection, Municipal Advisors are required to provide certain written information to their municipal entity and obligated person clients which include the following: • Xxxx Xxxxxxxxxxx is currently registered as a Municipal Advisor with the U.S. Securities and Exchange Commission and the Municipal Securities Rulemaking Board. • Within the Municipal Securities Rulemaking Board (“MSRB”) website at xxx.xxxx.xxx, The Housing Finance Authority of Hillsborough County may obtain the Municipal Advisory client brochure that is posted on the MSRB website. The brochure describes the protections that may be provided by the MSRB Rules along with how to file a complaint with financial regulatory authorities. ATTEST: XXXX XXXXXXXXXXX By: Xxxx Xxxxxxxxxxx Witness Authorized Signature Title Witness ACCEPTED: HOUSING FINANCE HFA OF HILLSBOROUGH COUNTY Date BY: Xxxxx X. Xxxxxxx, Chairman Date Approved by General Counsel By: Approved as To Form And Legal Sufficiency Xxxx Xxxxx Xxxxxx, County Attorney EXHIBIT A Additional Duties of DIRECTOR
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Related to Legal Events and Disciplinary History

  • Notice of Criminal Activity and Disciplinary Actions a. Xxxxxxx shall immediately report in writing to their contract manager when Xxxxxxx has knowledge or any reason to believe that they or any person with ownership or controlling interest in the organization/business, or their agent, employee, contractor or volunteer that is providing services under this Contract has:

  • DISCHARGE AND DISCIPLINARY PROCEDURE 8.01 Management shall not take disciplinary action without first warning the employee, unless the circumstances justify immediate suspension or discharge. In the event of a claim that an employee has been discharged or suspended unjustly or unreasonably, the grievance shall be filed at Step Three (3) of the grievance procedure within five (5) working days.

  • SUSPENSION AND DISCIPLINE 29.01 When an employee is suspended or discharged from duty, the Employer undertakes to notify the employee in writing, with a copy to the Association, of the reason for such suspension or discharge. The Employer shall endeavour to give such notification at the time of suspension or discharge.

  • DISCHARGE AND DISCIPLINARY ACTION 10.01 A claim by an employee that they have been discharged or suspended, without just cause, shall be a proper subject for a grievance. Such a grievance shall be submitted in writing to the Employer at Step Two within ten (10) working days after the employee receives notice that they have ceased to work for the Employer or has been notified of the suspension, as the case may be. Notwithstanding the time limits contained in Article 9.03 Step Two, the Parties will meet in an attempt to resolve the grievance within five (5) working days of said grievance being filed at Step Two.

  • Complaints and Disputes 28.1. If the Client wishes to report a complaint, he must send an email to the Company with the completed “Complaints Form” found on the Website. The Company will try to resolve it without undue delay and according to the Company’s Complaints Procedure for Clients.

  • DISCHARGE, SUSPENSION AND DISCIPLINE 14.01 (a) In the event an Employee is suspended as a disciplinary measure and the Employee considers that an injustice has been done, the matter may be taken up at Step 2 of the Grievance Procedure.

  • DISMISSAL, SUSPENSION AND DISCIPLINE 13 11.1 Procedure 13 11.2 Dismissal and Suspension 13 11.3 Burden of Proof 13 11.4 Right to Grieve Other Disciplinary Action 13 11.5 Personnel File 13 11.6 Right to Have Union Representative Present 14 11.7 Abandonment of Position 14 11.8 Probation 14 11.9 Employee Investigations 15 ARTICLE 12 - SENIORITY 15 12.1 Seniority Defined 15 12.2 Seniority List 16 12.3 Loss of Seniority 16 12.4 Re-Employment 17 12.5 Bridging of Service 17 12.6 Same Seniority 17 ARTICLE 13 - LAYOFF AND RECALL 17 13.1 Definition of a Layoff 17 13.2 Pre-Layoff Canvass 17 13.3 Layoff 18 13.4 Bumping 18 13.5 Recall 19 13.6 Advance Notice 19 13.7 Grievance on Layoffs and Recalls 19 13.8 Worksite Closure 19 ARTICLE 14 - HOURS OF WORK 20 14.1 Definitions 20 14.2 Hours of Work 20 14.3 Rest Periods 21 14.4 Meal Periods 22 14.5 Flextime 22 14.6 Staff Meetings 22 (ii) 14.7 Standby Provisions 22 14.8 Conversion of Hours 23 ARTICLE 15 - SHIFTS 23 15.1 Exchange of Shifts 23 15.2 Shortfall of Shifts 23 15.3 Short Changeover Premium 23 15.4 Split Shifts 23 15.5 Work Schedules 23 ARTICLE 16 - OVERTIME 24 16.1 Definitions 24 16.2 Overtime Entitlement 24 16.3 Recording of Overtime 24 16.4 Sharing of Overtime 24 16.5 Overtime Compensation 24 16.6 No Layoff to Compensate for Overtime 24 16.7 Right to Refuse Overtime 25 16.8 Callback Provisions 25 16.9 Rest Interval 25 16.10 Overtime for Part-Time Employees 25 16.11 Authorization and Application of Overtime 25 ARTICLE 17 - HOLIDAYS 26 17.1 Paid Holidays 26 17.2 Holiday Falling on Saturday or Sunday 26 17.3 Holiday Falling on a Day of Rest 26

  • DISCIPLINE, SUSPENSION AND DISCHARGE 14.01 The Employer shall not discipline, suspend or discharge any employee except for just cause.

  • Permitted Uses and Disclosures of PHI 2.1 Unless otherwise limited herein, Business Associate may:

  • DISCIPLINE AND DISCHARGE 21.01 The Employer may warn, suspend, demote or discharge employees for just cause. If the conduct or performance of an employee warrants disciplinary action, such action shall be confirmed in writing. A copy of all such documentation shall be provided to the employee(s) involved and forwarded to the office of the Union at the time they are issued.

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