Common use of Regulatory Investigations Clause in Contracts

Regulatory Investigations. AFSG and PFL agree to cooperate fully in ------------------------- any insurance or judicial regulatory investigation or proceeding arising in connection with Contracts distributed under this Agreement. AFSG and PFL further agree to cooperate fully in any securities regulatory inspection, inquiry, investigation or proceeding or any judicial proceeding with respect to PFL, AFSG, 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) AFSG will be notified promptly of any customer complaint or notice of any regulatory inspection, inquiry investigation or proceeding or judicial proceeding received by PFL with respect to AFSG or any representative or which may affect PFL's issuance of any Contracts marketed under this Agreement; and (b) AFSG will promptly notify PFL of any customer complaint or notice of any regulatory inspection, inquiry, investigation or judicial proceeding received by AFSG or any representative with respect to PFL or its affiliates in connection with any Contracts distributed under this Agreement. In the case of a customer complaint, AFSG and PFL will cooperate in investigating such complaint and shall arrive at a mutually satisfactory response.

Appears in 8 contracts

Samples: Principal Underwriting Agreement (PFL Endeavor Variable Annuity Account /New/), Principal Underwriting Agreement (Separate Account Va I), Principal Underwriting Agreement (PFL Retirement Builder Variable Annuity Account)

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Regulatory Investigations. AFSG and PFL Transamerica agree to cooperate ------------------------- fully in ------------------------- any insurance or judicial regulatory investigation or proceeding arising in connection with Contracts distributed under this Agreement. AFSG and PFL Transamerica further agree to cooperate fully in any securities regulatory inspection, inquiry, investigation or proceeding or any judicial proceeding with respect to PFLTransamerica, AFSG, 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) AFSG will be notified promptly of any customer complaint or notice of any regulatory inspection, inquiry investigation or proceeding or judicial proceeding received by PFL Transamerica with respect to AFSG or any representative or which may affect PFLTransamerica's issuance of any Contracts marketed under this Agreement; and (b) AFSG will promptly notify PFL Transamerica of any customer complaint or notice of any regulatory inspection, inquiry, investigation or judicial proceeding received by AFSG or any representative with respect to PFL Transamerica or its affiliates in connection with any Contracts distributed under this Agreement. In the case of a customer complaint, AFSG and PFL Transamerica will cooperate in investigating such complaint and shall arrive at a mutually satisfactory response.

Appears in 6 contracts

Samples: Principal Underwriting Agreement (Separate Account Va K), Principal Underwriting Agreement (Separate Account Va F), Principal Underwriting Agreement (Separate Account Va B)

Regulatory Investigations. AFSG and PFL Transamerica agree to cooperate fully in ------------------------- any insurance or judicial regulatory investigation or proceeding arising in connection with Contracts distributed under this Agreement. AFSG and PFL Transamerica further agree to cooperate fully in any securities regulatory inspection, inquiry, investigation or proceeding or any judicial proceeding with respect to PFLTransamerica, AFSG, 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) AFSG will be notified promptly of any customer complaint or notice of any regulatory inspection, inquiry investigation or proceeding or judicial proceeding received by PFL Transamerica with respect to AFSG or any representative or which may affect PFL's Transamerica’s issuance of any Contracts marketed under this Agreement; and (b) AFSG will promptly notify PFL Transamerica of any customer complaint or notice of any regulatory inspection, inquiry, investigation or judicial proceeding received by AFSG or any representative with respect to PFL Transamerica or its affiliates in connection with any Contracts distributed under this Agreement. In the case of a customer complaint, AFSG and PFL Transamerica will cooperate in investigating such complaint and shall arrive at a mutually satisfactory response.

Appears in 3 contracts

Samples: Principal Underwriting Agreement (Separate Account Va X), Principal Underwriting Agreement (Transamerica Separate Account Va-6), Principal Underwriting Agreement (Separate Account Va 7 of Transamerica Life Ins & Annuity Co)

Regulatory Investigations. AFSG and PFL TFLIC agree to cooperate fully in ------------------------- any insurance or judicial regulatory investigation or proceeding arising in connection with Contracts distributed under this Agreement. AFSG and PFL TFLIC further agree to cooperate fully in any securities regulatory inspection, inquiry, investigation or proceeding or any judicial proceeding with respect to PFLTFLIC, AFSG, 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) AFSG will be notified promptly of any customer complaint or notice of any regulatory inspection, inquiry investigation or proceeding or judicial proceeding received by PFL TFLIC with respect to AFSG or any representative or which may affect PFL's TFLIC’s issuance of any Contracts marketed under this Agreement; and (b) AFSG will promptly notify PFL TFLIC of any customer complaint or notice of any regulatory inspection, inquiry, investigation or judicial proceeding received by AFSG or any representative with respect to PFL TFLIC or its affiliates in connection with any Contracts distributed under this Agreement. In the case of a customer complaint, AFSG and PFL TFLIC will cooperate in investigating such complaint and shall arrive at a mutually satisfactory response.

Appears in 3 contracts

Samples: Principal Underwriting Agreement (TFLIC Separate Account VNY), Principal Underwriting Agreement (Tflic Series Life Account), Principal Underwriting Agreement (Separate Account VA WNY)

Regulatory Investigations. AFSG and PFL agree to cooperate fully in any ------------------------- any insurance or judicial regulatory investigation or proceeding arising in connection with Contracts distributed under this Agreement. AFSG and PFL further agree to cooperate fully in any securities regulatory inspection, inquiry, investigation or proceeding or any judicial proceeding with respect to PFL, AFSG, 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) AFSG will be notified promptly of any customer complaint or notice of any regulatory inspection, inquiry investigation or proceeding or judicial proceeding received by PFL with respect to AFSG or any representative or which may affect PFL's issuance of any Contracts marketed under this Agreement; and (b) AFSG will promptly notify PFL of any customer complaint or notice of any regulatory inspection, inquiry, investigation or judicial proceeding received by AFSG or any representative with respect to PFL or its affiliates in connection with any Contracts distributed under this Agreement. In the case of a customer complaint, AFSG and PFL will cooperate in investigating such complaint and shall arrive at a mutually satisfactory response.

Appears in 2 contracts

Samples: Principal Underwriting Agreement (PFL Life Variable Annuity Account E), Principal Underwriting Agreement (PFL Life Variable Annuity Account D)

Regulatory Investigations. AFSG and PFL agree to cooperate fully in ------------------------- any insurance or judicial regulatory investigation or proceeding arising in connection with Contracts distributed under this Agreement. AFSG and PFL further agree to cooperate fully in any securities regulatory inspection, inquiry, investigation or proceeding or any judicial proceeding with respect to PFL, AFSG, 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) AFSG will be notified promptly of any customer complaint or notice of any regulatory inspection, inquiry investigation or proceeding or judicial proceeding received by PFL with respect to AFSG or any representative or which may affect PFL's issuance of any Contracts marketed under this Agreement; and (b) AFSG will promptly notify PFL of any customer complaint compliant or notice of any regulatory inspection, inquiry, investigation or judicial proceeding received by AFSG or any representative with respect to PFL or its affiliates in connection with any Contracts distributed under this Agreement. In the case of a customer complaint, AFSG and PFL will cooperate in investigating such complaint and shall arrive at a mutually satisfactory response.

Appears in 1 contract

Samples: Principal Distribution Agreement (Legacy Builder Variable Life Separate Account)

Regulatory Investigations. AFSG and PFL Transamerica agree to ------------------------- cooperate fully in ------------------------- any insurance or judicial regulatory investigation or proceeding arising in connection with Contracts distributed under this Agreement. AFSG and PFL Transamerica further agree to cooperate fully in any securities regulatory inspection, inquiry, investigation or proceeding or any judicial proceeding with respect to PFLTransamerica, AFSG, 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) AFSG will be notified promptly of any customer complaint or notice of any regulatory inspection, inquiry investigation or proceeding or judicial proceeding received by PFL Transamerica with respect to AFSG or any representative or which may affect PFLTransamerica's issuance of any Contracts marketed under this Agreement; and (b) AFSG will promptly notify PFL Transamerica of any customer complaint or notice of any regulatory inspection, inquiry, investigation or judicial proceeding received by AFSG or any representative with respect to PFL Transamerica or its affiliates in connection with any Contracts distributed under this Agreement. In the case of a customer complaint, AFSG and PFL Transamerica will cooperate in investigating such complaint and shall arrive at a mutually satisfactory response.

Appears in 1 contract

Samples: Principal Underwriting Agreement (Separate Account Va J)

Regulatory Investigations. AFSG and PFL PBL agree to cooperate fully in ------------------------- any insurance or judicial regulatory investigation or proceeding arising in connection with Contracts distributed under this Agreement. AFSG and PFL PBL further agree to cooperate fully in any securities regulatory inspection, inquiry, investigation or proceeding or any judicial proceeding with respect to PFLPBL, AFSG, 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) AFSG will be notified promptly of any customer complaint or notice of any regulatory inspection, inquiry investigation or proceeding or judicial proceeding received by PFL PBL with respect to AFSG or any representative or which may affect PFL's PBL’s issuance of any Contracts marketed under this Agreement; and (b) AFSG will promptly notify PFL PBL of any customer complaint or notice of any regulatory inspection, inquiry, investigation or judicial proceeding received by AFSG or any representative with respect to PFL PBL or its affiliates in connection with any Contracts distributed under this Agreement. In the case of a customer complaint, AFSG and PFL PBL will cooperate in investigating such complaint and shall arrive at a mutually satisfactory response.

Appears in 1 contract

Samples: Principal Underwriting Agreement (Peoples Benefit Life Insurance Co Separate Account V)

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Regulatory Investigations. AFSG and PFL WRL agree to cooperate fully in ------------------------- any insurance or judicial regulatory investigation or proceeding arising in connection with Contracts distributed under this Agreement. AFSG and PFL WRL further agree to cooperate fully in any securities regulatory inspection, inquiry, investigation or proceeding or any judicial proceeding with respect to PFLWRL, AFSG, 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) AFSG will be notified promptly of any customer complaint or notice of any regulatory inspection, inquiry investigation or proceeding or judicial proceeding received by PFL WRL with respect to AFSG or any representative or which may affect PFL's WRL’s issuance of any Contracts marketed under this Agreement; and (b) AFSG will promptly notify PFL WRL of any customer complaint or notice of any regulatory inspection, inquiry, investigation or judicial proceeding received by AFSG or any representative with respect to PFL WRL or its affiliates in connection with any Contracts distributed under this Agreement. In the case of a customer complaint, AFSG and PFL WRL will cooperate in investigating such complaint and shall arrive at a mutually satisfactory response.

Appears in 1 contract

Samples: Principal Underwriting Agreement (Separate Account Va U)

Regulatory Investigations. AFSG and PFL AUSA agree to cooperate ------------------------- fully in ------------------------- any insurance or judicial regulatory investigation or proceeding arising in connection with Contracts distributed under this Agreement. AFSG and PFL AUSA further agree to cooperate fully in any securities regulatory inspection, inquiry, investigation or proceeding or any judicial proceeding with respect to PFLAUSA, AFSG, 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) AFSG will be notified promptly of any customer complaint or notice of any regulatory inspection, inquiry investigation or proceeding or judicial proceeding received by PFL AUSA with respect to AFSG or any representative or which may affect PFLAUSA's issuance of any Contracts marketed under this Agreement; and (b) AFSG will promptly notify PFL AUSA of any customer complaint or notice of any regulatory inspection, inquiry, investigation or judicial proceeding received by AFSG or any representative with respect to PFL AUSA or its affiliates in connection with any Contracts distributed under this Agreement. In the case of a customer complaint, AFSG and PFL AUSA will cooperate in investigating such complaint and shall arrive at a mutually satisfactory response.

Appears in 1 contract

Samples: Principal Underwriting Agreement (Ausa Endeavor Target Account)

Regulatory Investigations. AFSG and PFL Transamerica agree to cooperate fully in ------------------------- any insurance or judicial regulatory investigation or proceeding arising in connection with Contracts distributed under this Agreement. AFSG and PFL Transamerica further agree to cooperate fully in any securities regulatory inspection, inquiry, investigation or proceeding or any judicial proceeding with respect to PFLTransamerica, AFSG, 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) AFSG will be notified promptly of any customer complaint or notice of any regulatory inspection, inquiry investigation or proceeding or judicial proceeding received by PFL Transamerica with respect to AFSG or any representative or which may affect PFLTransamerica's issuance of any Contracts marketed under this Agreement; and (b) AFSG will promptly notify PFL Transamerica of any customer complaint or notice of any regulatory inspection, inquiry, investigation or judicial proceeding received by AFSG or any representative with respect to PFL Transamerica or its affiliates in connection with any Contracts distributed under this Agreement. In the case of a customer complaint, AFSG and PFL Transamerica will cooperate in investigating such complaint and shall arrive at a mutually satisfactory response.

Appears in 1 contract

Samples: Principal Underwriting Agreement (Separate Account Va P)

Regulatory Investigations. AFSG and PFL XXXX agree to cooperate fully in ------------------------- any insurance or judicial regulatory investigation or proceeding arising in connection with Contracts distributed under this Agreement. AFSG and PFL XXXX further agree to cooperate fully in any securities regulatory inspection, inquiry, investigation or proceeding or any judicial proceeding with respect to PFLXXXX, AFSG, 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) AFSG will be notified promptly of any customer complaint or notice of any regulatory inspection, inquiry investigation or proceeding or judicial proceeding received by PFL XXXX with respect to AFSG or any representative or which may affect PFLTONY's issuance of any Contracts marketed under this Agreement; and (b) AFSG will promptly notify PFL XXXX of any customer complaint or notice of any regulatory inspection, inquiry, investigation or judicial proceeding received by AFSG or any representative with respect to PFL XXXX or its affiliates in connection with any Contracts distributed under this Agreement. In the case of a customer complaint, AFSG and PFL XXXX will cooperate in investigating such complaint and shall arrive at a mutually satisfactory response.

Appears in 1 contract

Samples: Principal Underwriting Agreement (Separate Account Va 2lny of First Transamerica Life Ins Co)

Regulatory Investigations. AFSG and PFL AUSA agree to cooperate fully in ------------------------- any insurance or judicial regulatory investigation or proceeding arising in connection with Contracts distributed under this Agreement. AFSG and PFL AUSA further agree to cooperate fully in any securities regulatory inspection, inquiry, investigation or proceeding or any judicial proceeding with respect to PFLAUSA, AFSG, 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) AFSG will be notified promptly of any customer complaint or notice of any regulatory inspection, inquiry investigation or proceeding or judicial proceeding received by PFL AUSA with respect to AFSG or any representative or which may affect PFLAUSA's issuance of any Contracts marketed under this Agreement; and and (b) AFSG will promptly notify PFL AUSA of any customer complaint or notice of any regulatory inspection, inquiry, investigation or judicial proceeding received by AFSG or any representative with respect to PFL AUSA or its affiliates in connection with any Contracts distributed under this Agreement. In the case of a customer complaint, AFSG and PFL AUSA will cooperate in investigating such complaint and shall arrive at a mutually satisfactory response.

Appears in 1 contract

Samples: Principal Underwriting Agreement (Ausa Endeavor Variable Annuity Account)

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