Notification of Non-Compliance; Reporting Sample Clauses

Notification of Non-Compliance; Reporting. ALJ will immediately notify Evelo of any claim, demand, communication, investigation, or inquiry of any type related to this Agreement or a Product in the Territory, or otherwise impacting the Products in the Territory, including any subpoena, civil investigative demand, or congressional inquiry letter, from any Governmental Authority. In addition, ALJ will give notice to Evelo of the substance of any report relating to non-compliance with Applicable Laws or Professional Requirements by ALJ’s personnel in connection with ALJ’s activities under this Agreement within a reasonable time (but in no event later than three days) after such report is received. In addition, ALJ will provide Evelo with a quarterly written report summarizing the substance of any investigation by ALJ relating to any ALJ Sales Personnel’s alleged violation of Applicable Laws or Professional Requirements in connection with such Party’s promotion of a Product.
Sample 1
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Notification of Non-Compliance; Reporting. Unless prohibited by Applicable Law, each Party shall immediately notify the other Party of any claim, demand, communication, investigation, or inquiry of any type related to this Agreement or a Licensed Product in the Territory, or otherwise impacting the Licensed Products in the Territory, including any subpoena, civil investigative demand, or congressional inquiry letter, from any Governmental Authority. In addition, each Party shall give notice to the other Party’s Chief Compliance Officer in the U.S. or the other Party’s General Counsel in the U.S. of the substance of any report relating to non-compliance with Applicable Laws or Professional Requirements by the other Party’s personnel in connection with the other Party’s activities under this Agreement within a reasonable time (but in no event later than [***] Business Days) after such report is received. In addition, each Party shall provide the other Party with a quarterly written report summarizing the substance of any investigation [***] Portions of this exhibit have been redacted pursuant to a confidential treatment request. An unredacted version of this exhibit has been filed separately with the Commission. by such Party relating to its PSRs’ and Sales Managers’ alleged violation of Applicable Laws or Professional Requirements in connection with such Party’s promotion of a Licensed Product; provided that such report will not include any personally identifiable information.
Sample 1

Related to Notification of Non-Compliance; Reporting

  • Compliance Reporting a. Provide reports to the Securities and Exchange Commission, the National Association of Securities Dealers and the States in which the Fund is registered.

  • Notice of Non-Compliance Each party shall give prompt notice to the other party of any representation or warranty made by it in this Agreement becoming untrue or inaccurate in any respect or the failure by it to comply with or satisfy in any material respect any covenant, condition or agreement to be complied with or satisfied by it under this Agreement.

  • Compliance Reports The Subadvisor at its expense will provide the Advisor with such compliance reports relating to its duties under this Agreement as may be agreed upon by such parties from time to time.

  • Notification of Breach / Compliance Reports The Adviser shall notify the Trust immediately upon detection of (i) any material failure to manage any Fund in accordance with its investment objectives and policies or any applicable law; or (ii) any material breach of any of the Funds’ or the Adviser’s policies, guidelines or procedures. In addition, the Adviser shall provide a quarterly report regarding each Fund’s compliance with its investment objectives and policies, applicable law, including, but not limited to the 1940 Act and Subchapter M of the Code, as applicable, and the Fund’s policies, guidelines or procedures as applicable to the Adviser’s obligations under this Agreement. The Adviser agrees to correct any such failure promptly and to take any action that the Board may reasonably request in connection with any such breach. Upon request, the Adviser shall also provide the officers of the Trust with supporting certifications in connection with such certifications of Fund financial statements and disclosure controls pursuant to the Xxxxxxxx-Xxxxx Act. The Adviser will promptly notify the Trust in the event (i) the Adviser is served or otherwise receives notice of any action, suit, proceeding, inquiry or investigation, at law or in equity, before or by any court, public board, or body, involving the affairs of the Trust (excluding class action suits in which a Fund is a member of the plaintiff class by reason of the Fund’s ownership of shares in the defendant) or the compliance by the Adviser with the federal or state securities laws or (ii) an actual change in control of the Adviser resulting in an “assignment” (as defined in the 0000 Xxx) has occurred or is otherwise proposed to occur.

  • Assessments of Compliance and Attestation Reports SECTION 3.22 Access to Certain Documentation.

  • Reporting of Compliance Matters (a) The Sub-Adviser shall promptly provide to the Trust’s Chief Compliance Officer (“CCO”) the following documents:

  • Information for Regulatory Compliance Each of the Company and the Depositary shall provide to the other, as promptly as practicable, information from its records or otherwise available to it that is reasonably requested by the other to permit the other to comply with applicable law or requirements of governmental or regulatory authorities.

  • Report on Attestation of Compliance with Applicable Servicing Criteria The Servicer shall, using its best reasonable efforts, on or before March 1st, but in no event later than March 15th, of each calendar year, commencing in 2007, at its own expense, cause a firm of independent public accountants (who may also render other services to Servicer), which is a member of the American Institute of Certified Public Accountants, to furnish to the Seller, the Trustee, the Depositor and the Master Servicer (i) year-end audited (if available) financial statements of the Servicer and (ii) a report to the effect that such firm that attests to, and reports on, the assessment made by such asserting party pursuant to Section 5.04 below, which report shall be made in accordance with standards for attestation engagements issued or adopted by the Public Company Accounting Oversight Board. In addition, the Servicer shall, using its best reasonable efforts, on or before March 1st, but in no event later than March 15th, of each calendar year, commencing in 2007, at its own expense, furnish to the Seller, the NIMS Insurer, the Trustee, the Depositor and Master Servicer a report meeting the requirements of clause (ii) above regarding the attestation of any Subservicer or Subcontractor which is “participating in the servicing function” within the meaning of Item 1122 of Regulation AB (each, without respect to any threshold limitations in Instruction 2. to Item 1122 of Regulation AB, a “Participating Entity”).

  • Report on Assessment of Compliance and Attestation (a) On or before March 1 of each calendar year, commencing in 2007, the Servicer shall:

  • Reporting Compliance The Company is subject to, and is in full compliance in all material respects with, the reporting requirements of Section 13 and Section 15(d), as applicable, of the Exchange Act.

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