Common use of Regulatory Investigations Clause in Contracts

Regulatory Investigations. TCI and TLIC agree to cooperate fully in any insurance or judicial regulatory investigation or proceeding arising in connection with Contracts distributed under this Agreement. TCI and TLIC further agree to cooperate fully in any securities regulatory inspection, inquiry, investigation or proceeding or any judicial proceeding with respect to TLIC, TCI, their affiliates and their representatives to the extent that such inspection, inquiry, investigation or proceeding or judicial proceeding is in connection with Contracts distributed under this Agreement. Without limiting the foregoing: (a) TCI will be notified promptly of any customer complaint or notice of any regulatory inspection, inquiry investigation or proceeding or judicial proceeding received by TLIC with respect to TCI or any representative or which may affect TLIC’s issuance of any Contracts marketed under this Agreement; and (b) TCI will promptly notify TLIC of any customer complaint or notice of any regulatory inspection, inquiry, investigation or judicial proceeding received by TCI or any representative with respect to TLIC or its affiliates in connection with any Contracts distributed under this Agreement. In the case of a customer complaint, TCI and TLIC will cooperate in investigating such complaint and shall arrive at a mutually satisfactory response.

Appears in 14 contracts

Samples: Principal Underwriting Agreement (Transamerica Life Insurance Co), Principal Underwriting Agreement (Separate Account Vul 3), Principal Underwriting Agreement (Transamerica Corporate Separate Account Sixteen)

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Regulatory Investigations. TCI and TLIC TALIC agree to cooperate fully in any insurance or judicial regulatory investigation or proceeding arising in connection with Contracts distributed under this Agreement. TCI and TLIC TALIC further agree to cooperate fully in any securities regulatory inspection, inquiry, investigation or proceeding or any judicial proceeding with respect to TLICTALIC, TCI, their affiliates and their representatives to the extent that such inspection, inquiry, investigation or proceeding or judicial proceeding is in connection with Contracts distributed under this Agreement. Without limiting the foregoing: (a) TCI will be notified promptly of any customer complaint or notice of any regulatory inspection, inquiry investigation or proceeding or judicial proceeding received by TLIC TALIC with respect to TCI or any representative or which may affect TLICTALIC’s issuance of any Contracts marketed under this Agreement; and (b) TCI will promptly notify TLIC TALIC of any customer complaint or notice of any regulatory inspection, inquiry, investigation or judicial proceeding received by TCI or any representative with respect to TLIC TALIC or its affiliates in connection with any Contracts distributed under this Agreement. In the case of a customer complaint, TCI and TLIC TALIC will cooperate in investigating such complaint and shall arrive at a mutually satisfactory response.

Appears in 12 contracts

Samples: Principal Underwriting Agreement (Merrill Lynch Life Variable Annuity Separate Account D), Principal Underwriting Agreement (Merrill Lynch Life Variable Annuity Separate Account D), Principal Underwriting Agreement (Merrill Lynch Life Variable Annuity Separate Account D)

Regulatory Investigations. TCI and TLIC TALICNY agree to cooperate fully in any insurance or judicial regulatory investigation or proceeding arising in connection with Contracts distributed under this Agreement. TCI and TLIC TALICNY further agree to cooperate fully in any securities regulatory inspection, inquiry, investigation or proceeding or any judicial proceeding with respect to TLICTALICNY, TCI, their affiliates and their representatives to the extent that such inspection, inquiry, investigation or proceeding or judicial proceeding is in connection with Contracts distributed under this Agreement. Without limiting the foregoing: (a) TCI will be notified promptly of any customer complaint or notice of any regulatory inspection, inquiry investigation or proceeding or judicial proceeding received by TLIC TALICNY with respect to TCI or any representative or which may affect TLICTALICNY’s issuance of any Contracts marketed under this Agreement; and (b) TCI will promptly notify TLIC TALICNY of any customer complaint or notice of any regulatory inspection, inquiry, investigation or judicial proceeding received by TCI or any representative with respect to TLIC TALICNY or its affiliates in connection with any Contracts distributed under this Agreement. In the case of a customer complaint, TCI and TLIC TALICNY will cooperate in investigating such complaint and shall arrive at a mutually satisfactory response.

Appears in 8 contracts

Samples: Principal Underwriting Agreement, Principal Underwriting Agreement (Ml of New York Variable Annuity Separate Account A), Principal Underwriting Agreement (Ml of New York Variable Annuity Separate Account D)

Regulatory Investigations. TCI and TLIC WRL agree to cooperate fully in any insurance or judicial regulatory investigation or proceeding arising in connection with Contracts distributed under this Agreement. TCI and TLIC WRL further agree to cooperate fully in any securities regulatory inspection, inquiry, investigation or proceeding or any judicial proceeding with respect to TLICWRL, TCI, their affiliates and their representatives to the extent that such inspection, inquiry, investigation or proceeding or judicial proceeding is in connection with Contracts distributed under this Agreement. Without limiting the foregoing: (a) TCI will be notified promptly of any customer complaint or notice of any regulatory inspection, inquiry investigation or proceeding or judicial proceeding received by TLIC WRL with respect to TCI or any representative or which may affect TLICWRL’s issuance of any Contracts marketed under this Agreement; and (b) TCI will promptly notify TLIC WRL of any customer complaint or notice of any regulatory inspection, inquiry, investigation or judicial proceeding received by TCI or any representative with respect to TLIC WRL or its affiliates in connection with any Contracts distributed under this Agreement. In the case of a customer complaint, TCI and TLIC WRL will cooperate in investigating such complaint and shall arrive at a mutually satisfactory response.

Appears in 8 contracts

Samples: Principal Underwriting Agreement (Separate Account Va U), Principal Underwriting Agreement (Separate Account Va U), Principal Underwriting Agreement (WRL Series Annuity Account)

Regulatory Investigations. TCI and TLIC TFLIC agree to cooperate fully in any insurance or judicial regulatory investigation or proceeding arising in connection with Contracts distributed under this Agreement. TCI and TLIC TFLIC further agree to cooperate fully in any securities regulatory inspection, inquiry, investigation or proceeding or any judicial proceeding with respect to TLICTFLIC, TCI, their affiliates and their representatives to the extent that such inspection, inquiry, investigation or proceeding or judicial proceeding is in connection with Contracts distributed under this Agreement. Without limiting the foregoing: (a) TCI will be notified promptly of any customer complaint or notice of any regulatory inspection, inquiry investigation or proceeding or judicial proceeding received by TLIC TFLIC with respect to TCI or any representative or which may affect TLICTFLIC’s issuance of any Contracts marketed under this Agreement; and (b) TCI will promptly notify TLIC TFLIC of any customer complaint or notice of any regulatory inspection, inquiry, investigation or judicial proceeding received by TCI or any representative with respect to TLIC TFLIC or its affiliates in connection with any Contracts distributed under this Agreement. In the case of a customer complaint, TCI and TLIC TFLIC will cooperate in investigating such complaint and shall arrive at a mutually satisfactory response.

Appears in 6 contracts

Samples: Principal Underwriting Agreement (Transamerica Financial Life Insurance Co), Principal Underwriting Agreement (TFLIC Separate Account VNY), Principal Underwriting Agreement (Separate Account Va Bny)

Regulatory Investigations. TCI and TLIC MLLIC agree to cooperate fully in any insurance or judicial regulatory investigation or proceeding arising in connection with Contracts distributed under this Agreement. TCI and TLIC MLLIC further agree to cooperate fully in any securities regulatory inspection, inquiry, investigation or proceeding or any judicial proceeding with respect to TLICMLLIC, TCI, their affiliates and their representatives to the extent that such inspection, inquiry, investigation or proceeding or judicial proceeding is in connection with Contracts distributed under this Agreement. Without limiting the foregoing: (a) TCI will be notified promptly of any customer complaint or notice of any regulatory inspection, inquiry investigation or proceeding or judicial proceeding received by TLIC MLLIC with respect to TCI or any representative or which may affect TLICMLLIC’s issuance of any Contracts marketed under this Agreement; and (b) TCI will promptly notify TLIC MLLIC of any customer complaint or notice of any regulatory inspection, inquiry, investigation or judicial proceeding received by TCI or any representative with respect to TLIC MLLIC or its affiliates in connection with any Contracts distributed under this Agreement. In the case of a customer complaint, TCI and TLIC MLLIC will cooperate in investigating such complaint and shall arrive at a mutually satisfactory response.

Appears in 2 contracts

Samples: Principal Underwriting Agreement (Merrill Lynch Life Insurance Co), Principal Underwriting Agreement (Merrill Lynch Life Variable Annuity Separate Account A)

Regulatory Investigations. TCI and TLIC TALIC agree to cooperate fully in any insurance or judicial regulatory investigation or proceeding arising in connection with Contracts Securities distributed under this Agreement. TCI and TLIC TALIC further agree to cooperate fully in any securities regulatory inspection, inquiry, investigation or proceeding or any judicial proceeding with respect to TLICTALIC, TCI, their affiliates and their representatives to the extent that such inspection, inquiry, investigation or proceeding or judicial proceeding is in connection with Contracts Securities distributed under this Agreement. Without limiting the foregoing: (a) TALIC will promptly notify TCI will be notified promptly of any customer complaint or notice of any regulatory inspection, inquiry investigation or proceeding or judicial proceeding received by TLIC TALIC with respect to TCI or any representative or which may affect TLICTALIC’s issuance of any Contracts Securities marketed under this Agreement; and (b) TCI will promptly notify TLIC TALIC of any customer complaint or notice of any regulatory inspection, inquiry, investigation or judicial proceeding received by TCI or TCI, any representative with respect to TLIC TALIC or its affiliates in connection with any Contracts Securities distributed under this Agreement. In the case of a customer complaint, TCI and TLIC TALIC will cooperate in investigating such complaint and shall arrive at a mutually satisfactory response.

Appears in 2 contracts

Samples: Principal Underwriting Agreement (TRANSAMERICA ADVISORS LIFE INSURANCE Co), Underwriting Agreement (TRANSAMERICA ADVISORS LIFE INSURANCE Co)

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Regulatory Investigations. TCI and TLIC MLLICNY agree to cooperate fully in any insurance or judicial regulatory investigation or proceeding arising in connection with Contracts distributed under this Agreement. TCI and TLIC MLLICNY further agree to cooperate fully in any securities regulatory inspection, inquiry, investigation or proceeding or any judicial proceeding with respect to TLICMLLICNY, TCI, their affiliates and their representatives to the extent that such inspection, inquiry, investigation or proceeding or judicial proceeding is in connection with Contracts distributed under this Agreement. Without limiting the foregoing: (a) TCI will be notified promptly of any customer complaint or notice of any regulatory inspection, inquiry investigation or proceeding or judicial proceeding received by TLIC MLLICNY with respect to TCI or any representative or which may affect TLICMLLICNY’s issuance of any Contracts marketed under this Agreement; and (b) TCI will promptly notify TLIC MLLICNY of any customer complaint or notice of any regulatory inspection, inquiry, investigation or judicial proceeding received by TCI or any representative with respect to TLIC MLLICNY or its affiliates in connection with any Contracts distributed under this Agreement. In the case of a customer complaint, TCI and TLIC MLLICNY will cooperate in investigating such complaint and shall arrive at a mutually satisfactory response.

Appears in 2 contracts

Samples: Principal Underwriting Agreement (Ml Life Insurance Co of New York), Principal Underwriting Agreement (Ml of New York Variable Annuity Separate Account A)

Regulatory Investigations. TCI and TLIC WRL agree to cooperate fully in any insurance or judicial regulatory investigation or proceeding arising in connection with Contracts distributed under this Agreement. TCI and TLIC WRL further agree to cooperate fully in any securities regulatory inspection, inquiry, investigation or proceeding or any judicial proceeding with respect to TLICWRL, TCI, their affiliates and their representatives to the extent that such inspection, inquiry, investigation or proceeding or judicial proceeding is in connection with Contracts distributed under this Agreement. Without limiting the foregoing: (a) TCI will be notified promptly of any customer complaint or notice of any regulatory inspection, inquiry investigation or proceeding or judicial proceeding received by TLIC WRL with respect to TCI or any representative or which may affect TLIC’s WRL's issuance of any Contracts marketed under this Agreement; and (b) TCI will promptly notify TLIC WRL of any customer complaint or notice of any regulatory inspection, inquiry, investigation or judicial proceeding received by TCI or any representative with respect to TLIC WRL or its affiliates in connection with any Contracts distributed under this Agreement. In the case of a customer complaint, TCI and TLIC WRL will cooperate in investigating such complaint and shall arrive at a mutually satisfactory response.

Appears in 2 contracts

Samples: Principal Underwriting Agreement (WRL Series Life Account), Principal Underwriting Agreement (WRL Series Life Corporate Account)

Regulatory Investigations. TCI and TLIC TALICNY agree to cooperate fully in any insurance or judicial regulatory investigation or proceeding arising in connection with Contracts distributed under this Agreement. TCI and TLIC TALICNY further agree to cooperate fully in any securities regulatory inspection, inquiry, investigation or proceeding or any judicial proceeding with respect to TLICTALICNY, TCI, their affiliates and their representatives to the extent that such inspection, inquiry, investigation or proceeding or judicial proceeding is in connection with Contracts distributed under this Agreement. Without limiting the foregoing: (a) TCI will be notified promptly of any customer complaint or notice of any regulatory inspection, inquiry investigation or proceeding or judicial proceeding received by TLIC TALICNY with respect to TCI or any representative or which may affect TLICTALICNY’s issuance of any Contracts marketed under this Agreement; and (b) TCI will promptly notify TLIC TALICNY of any customer complaint or notice of any regulatory inspection, inquiry, investigation or judicial proceeding received by TCI or any representative with respect to TLIC TALICNY or its affiliates in connection with any Contracts distributed under this Agreement. Agreement In the case of a customer complaint, TCI and TLIC TALICNY will cooperate in investigating such complaint and shall arrive at a mutually satisfactory response.

Appears in 1 contract

Samples: Principal Underwriting Agreement (TRANSAMERICA ADVISORS LIFE INSURANCE Co OF NEW YORK)

Regulatory Investigations. TCI and TLIC TFLIC agree to cooperate fully in any insurance or judicial regulatory investigation or proceeding arising in connection with Contracts distributed under this Agreement. TCI and TLIC TFLIC further agree to cooperate fully in any securities regulatory inspection, inquiry, investigation or proceeding or any judicial proceeding with respect to TLICTFLIC, TCI, their affiliates and their representatives to the extent that such inspection, inquiry, investigation or proceeding or judicial proceeding is in connection with Contracts distributed under this Agreement. Without limiting the foregoing: (a) TCI will be notified promptly of any customer complaint or notice of any regulatory inspection, inquiry investigation or proceeding or judicial proceeding received by TLIC TFLIC with respect to TCI or any representative or which may affect TLIC’s TFLIC's issuance of any Contracts marketed under this Agreement; and (b) TCI will promptly notify TLIC TFLIC of any customer complaint or notice of any regulatory inspection, inquiry, investigation or judicial proceeding received by TCI or any representative with respect to TLIC TFLIC or its affiliates in connection with any Contracts distributed under this Agreement. In the case of a customer complaint, TCI and TLIC TFLIC will cooperate in investigating such complaint and shall arrive at a mutually satisfactory response.

Appears in 1 contract

Samples: Principal Underwriting Agreement (Tflic Series Life Account)

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