No Legal or Disciplinary Events Sample Clauses

No Legal or Disciplinary Events. Advisor does not have any legal events or disciplinary history on Advisor’s 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. Anyone may electronically access Advisor’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. If any material legal or regulatory action is brought against Advisor, Advisor will provide complete disclosure in detail, allowing District to evaluate Advisor, its management and personnel.
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Related to No Legal or Disciplinary Events

  • No Legal Order Pending There shall not then be in effect any legal or other order enjoining or restraining the transactions contemplated by this Agreement.

  • No Legal Actions No court or governmental authority of competent jurisdiction shall have issued an order, not subsequently vacated, restraining, enjoining or otherwise prohibiting the consummation of the transactions contemplated by this Agreement, and no person shall have instituted an action or proceeding which shall not have been previously dismissed seeking to restrain, enjoin or prohibit the consummation of the transactions contemplated by this Agreement or seeking damages with respect thereto.

  • Technical or Contractual Problems Contractor shall meet with the Department's personnel, or designated representatives, to resolve technical or contractual problems occurring during the contract term or to discuss the progress made by Contractor and the Department in the performance of their respective obligations, at no additional cost to the Department. The Department may request the meetings as problems arise and will be coordinated by the Department. The Department shall provide Contractor a minimum of three full working days notice of meeting date, time, and location. Face-to-face meetings are desired; however, at Contractor's option and expense, a conference call meeting may be substituted. Contractor’s consistent failure to participate in problem resolution meetings, Contractor missing or rescheduling two consecutive meetings, or Contractor’s failure to make a good faith effort to resolve problems may result in termination of the contract.

  • No Legal Action No action or proceeding shall be pending or threatened by any Person to enjoin, restrict or prohibit any of the Transactions or the right of the Purchaser to conduct the Purchaser Business after Closing on substantially the same basis as heretofore conducted.

  • No Legal Impediments The making of the Loans or the Issuance of such Letter of Credit on such date does not violate any Requirement of Law on the date of or immediately following such Loan or Issuance of such Letter of Credit and is not enjoined, temporarily, preliminarily or permanently. Each submission by the Borrower to the Administrative Agent of a Notice of Borrowing or a Swing Loan Request and the acceptance by the Borrower of the proceeds of each Loan requested therein, and each submission by the Borrower to an Issuer of a Letter of Credit Request, and the Issuance of each Letter of Credit requested therein, shall be deemed to constitute a representation and warranty by the Borrower as to the matters specified in clause (b) above on the date of the making of such Loan or the Issuance of such Letter of Credit.

  • Disciplinary Grievances If the grievance is not resolved at Step 2, the Union may file a request for mediation with the Public Employment Relations Commission (PERC) in accordance with WAC 000-00-000, with a copy to the Office of Financial Management/SHR/Labor Relations Section (OFM/SHR/LRS) and the Human Resources Office within fifteen (15) days of receipt of the Step 2 decision. In addition to all other filing requirements, the request must include a copy of the grievance and all previous responses.

  • No Legal Impediment No change shall have occurred in any law or regulations thereunder or interpretations thereof that in the reasonable opinion of any Bank would make it illegal for such Bank to make such Loan.

  • Disciplinary Matters 2.6.1 Prior to the imposition of any disciplinary penalty, the Company shall hold a Disciplinary Interview, which shall replace Step 1 of the grievance process. 2.6.2 The Company shall provide the Union and any employees who may be disciplined three (3) days’ notice of the Interview. 2.6.3 The Interview shall take place between the Company, the Union and the accused individual. 2.6.4 The Company shall set out its allegations and except where the allegations could constitute a criminal offence, the Union or the individual(s) shall set out their version of the events. Minutes, but not a transcript, of the Interview setting out the substance of the discussion shall be taken. 2.6.5 The minutes of the meeting shall be provided to the Union and the accused individual(s) within seven (7) days of the Interview. 2.6.6 The Union and the accused individual(s) shall forward a written reply to the minutes, if any, within seven (7) days of receipt of the minutes. 2.6.7 Should the Company choose to impose discipline, the Union has ten (10) days to file a grievance commencing at Step 2. 2.6.8 Nothing in the disciplinary interview process is intended to interfere with the Company’s right to investigate matters.

  • Discipline Procedure 1. Disciplinary action may be imposed for violation of written rules and regulations as set forth by the Board, incompetence, inefficiency, dishonesty, drunkenness, immoral conduct, insubordination, discourteous treatment of the public, neglect of duty, misfeasance, malfeasance, nonfeasance, any other failure of good behavior, or conviction of a felony. 2. No employee shall be disciplined without first having had the opportunity for a hearing, if the employee so requests, with an OAPSE representative of his/her choice present. The employee shall be given a written statement containing the charges and the time and place of the hearing. The written statement shall notify the employee of his/her rights to OAPSE representation. The employee must be given the opportunity to sign the statement acknowledging receipt of the statement and date received. Under emergency conditions as determined by the supervisor (including, but not limited to, health and/or safety of the employee or other employees; blatant insubordination; or refusal to work), the supervisor may immediately suspend an employee without pay for a period of up to three (3) work days without the formal hearing described above. An opportunity for a formal hearing with the supervisor must be provided within the suspension period. Failure to provide an opportunity for a hearing during the suspension period shall preclude the right of further discipline for the offense causing the initial suspension. Emergency suspensions will not be subject to Section 6 of this Article. 3. Disciplinary action of less than discharge should generally be progressive and corrective in nature. A. Disciplinary actions shall be grievable. This Section shall supersede existing state law governing termination of employment (O.R.C. 3319.081). B. In determining progressive and corrective action, just cause shall be construed and limited to the nature and seriousness of the offense, the effect the alleged conduct has on the Board’s operation, the discipline or lack thereof used in other similar situations known to the Board, and the appropriateness of the proposed penalty in view of the record and length of service of the charged employee. The enumeration of these factors is not intended to preclude either the exercise of good and sound business judgment or to minimize the importance of an employee’s property interest in his job.

  • Disciplinary Measures ‌ 21.01 Any disciplinary measure must be the subject of a written notice addressed to the employee concerned and stating the reasons for the measure. Such notice must be sent simultaneously to the Union. Only those disciplinary measures of which the employee and the Union have been informed in writing can be used as evidence in arbitration and can appear in the employee's personal file. 21.02 The Union may, in the case of any employee who is dismissed, suspended, demoted or given a written warning, file a grievance and, if necessary, submit the case to arbitration, except however in the case of an employee who is dismissed during his/her probation period. 21.03 In all cases of disciplinary measures, the University has the burden of proving that the disciplinary measure was imposed for just and sufficient cause. The arbitrator may confirm or reject the disciplinary measure, or render any other decision that he/she judges equitable under the circumstances. 21.04 In the event that a university representative finds it necessary to summon an employee for disciplinary reasons (written warning, demotion, suspension, or dismissal), the employee has the right to be accompanied by a union representative. The University will inform the employee of his/her right. 21.05 A suspension does not interrupt the continuous service of an employee. 21.06 No disciplinary measure may be imposed later than twenty (20) working days after the date of the incident which gave rise to it or of the date the immediate supervisor became aware of said incident. 21.07 No confession signed by an employee can be used as evidence against her/him in an arbitration, unless it is:

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