REPORTING COMPLIANCE ISSUES Sample Clauses

REPORTING COMPLIANCE ISSUES. If an employee has a good faith reason to believe that any violation of our Code of Conduct has occurred, he or she is required by our Code of Conduct to report such violation. Additionally, any good faith reason to believe that a threat to human health, safety, the environment or Shell assets has arisen or exists in or as the result of conduct in the workplace must be reported promptly. Reporting to your supervisor or your Human Resources representative discharges this obligation. Such parties have the responsibility to see that the appropriate Compliance Officer or his or her designee and, when compliance with law issues are raised, the appropriate representatives of the Legal Organization are promptly informed. If you feel you cannot for any reason report a suspected violation of the Code of Conduct to any of these individuals, the Shell hotline is available to receive such calls between the hours of 8 a.m. and 5 p.m. (Central time) from Monday through Friday. The Shell hotline telephone number is 1-800-738-1615. Calls made after business hours will be recorded and xxxxxxxx xxxxxg business hours. The Shell hotline is manned by the American Arbitration Association and is not located on Shell property. If requested, calls to this hotline will remain anonymous and Shell will not be informed by the American Arbitration Association of the identity of the caller. Any caller so requesting will be informed of the outcome of the investigation of his or her report. The American Arbitration Association describes their organization as follows: The American Arbitration Association ("AAA"), founded in 1926, is a private organization which provides education and administrative services in the dispute resolution field. As the oldest, national alternative dispute resolution (ADR) provider in the United States, the AAA is the leader in developing and implementing new peaceful resolution methods. In addition to mediation, fact-finding, minitrial, and arbitration services, the AAA also is proactive in teaching and designing communication structures which maintain peace between and among countries, companies and other representational entities. The AAA conducts all processes with the utmost integrity and confidentiality. Any attempt at retaliation or intimidation against anyone reporting in good faith a suspected violation of' our Code of Conduct or any condition thought to constitute a threat to human health, safety, the environment or Shell assets is a serious violation o...
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REPORTING COMPLIANCE ISSUES. If an employee has a good faith reason to believe that any violation of our Code of Conduct has occurred, he or she is required to report such violation. Additionally, any good faith reason to believe that a threat to human health, safety, the environment or Enterprise assets has arisen or exists in or as the result of conduct in the workplace must be reported promptly. Reporting to your vice president, senior vice president, executive vice president or your Human Resources representative discharges this obligation. Such parties have the responsibility to see that the appropriate Enterprise management and, when compliance with law issues are raised, the appropriate representatives of the Enterprise Law Department are promptly notified. Any attempt at retaliation or intimidation against anyone reporting in good faith a suspected violation of our Code of Conduct or any condition thought to constitute a threat to human health, safety, the environment or Enterprise assets is a serious violation of our Code of Conduct.

Related to REPORTING COMPLIANCE ISSUES

  • 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.

  • Regulatory Compliance Cooperation (a) CIT/VC agrees to use commercially reasonable best efforts to avoid the occurrence of a Regulatory Problem. In the event that CIT/VC determines that it has a Regulatory Problem, the Company agrees to use commercially reasonable efforts to take all such actions as are reasonably requested by CIT/VC in order (A) to effectuate and facilitate any transfer by CIT/VC of any Securities of the Company then held by CIT/VC to any Person designated by CIT/VC (subject, however, to compliance with Section 3 of this Agreement), (B) to permit CIT/VC (or any Affiliate of CIT/VC) to exchange all or any portion of the voting Securities of the Company then held by such Person on a share-for-share basis for shares of a class of non-voting Securities of the Company, which non-voting Securities shall be identical in all respects to such voting Securities, except that such new Securities shall be non-voting and shall be convertible into voting Securities on such terms as are requested by CIT/VC in light of regulatory considerations then prevailing, and (C) to continue and preserve the respective allocation of the voting interests with respect to the Company arising out of CIT/VC's ownership of voting Securities of the Company and/or provided for in this Agreement before the transfers and amendments referred to above (including entering into such additional agreements as are requested by CIT/VC to permit any Person(s) designated by CIT/VC to exercise any voting power which is relinquished by CIT/VC upon any exchange of voting Securities for nonvoting Securities of the Company); and the Company shall enter into such additional agreements, adopt such amendments to this Agreement, the Company's Charter and the Company's By-laws and other relevant agreements and taking such additional actions, in each case as are reasonably requested by CIT/VC in order to effectuate the intent of the foregoing. If CIT/VC elects to transfer Securities of the Company to a Regulated Holder in order to avoid a Regulatory Problem, the Company shall enter into such agreements with such Regulated Holder as it may reasonably request in order to assist such Regulated Holder in complying with applicable laws, and regulations to which it is subject. Such agreements may include restrictions on the 39. redemption, repurchase or retirement of Securities of the Company that would result or be reasonably expected to result in such Regulated Holder holding more voting securities or total securities (equity and debt) than it is permitted to hold under such laws and regulations.

  • Y2K Compliance PFPC further represents and warrants that any and all electronic data processing systems and programs that it uses or retains in connection with the provision of services hereunder on or before January 1, 1999 will be year 2000 compliant.

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

  • Regulation AB Compliance If at any time the Custodian is not also serving as Servicer under the Servicing Agreement, the Custodian shall:

  • 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.

  • Accounting Compliance Participant agrees that, if a merger, reorganization, liquidation or other “transaction” as defined in Section 14 of the Plan occurs and Participant is an “affiliate” of the Company or any Affiliate (as defined in applicable legal and accounting principles) at the time of such transaction, Participant will comply with all requirements of Rule 145 of the Securities Act of 1933, as amended, and the requirements of such other legal or accounting principles, and will execute any documents necessary to ensure such compliance.

  • Listing Compliance The Company is in compliance with the requirements of The NASDAQ Stock Market LLC (“The NASDAQ Stock Market”) for continued listing of the Common Stock thereon and has no knowledge of any facts or circumstances that could reasonably lead to delisting of its Common Stock from The NASDAQ Stock Market. The Company has taken no action designed to, or likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act or the listing of the Common Stock on The NASDAQ Stock Market, nor has the Company received any notification that the SEC or The NASDAQ Stock Market is contemplating terminating such registration or listing. The transactions contemplated by the Transaction Agreements will not contravene the rules and regulations of The NASDAQ Stock Market. The Company will comply with all requirements of The NASDAQ Stock Market with respect to the issuance of the Shares, including the filing of any listing notice with respect to the issuance of the Shares.

  • Regulation M Compliance The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or, paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to the Company’s placement agent in connection with the placement of the Securities.

  • SEC Compliance Such Borrower and the applicable Fund(s) are in compliance in all material respects with all federal and state securities or similar laws and regulations, including all material rules, regulations and administrative orders of the Securities and Exchange Commission (the "SEC") and applicable Blue Sky authorities. Such Borrower and the applicable Fund(s) are in compliance in all material respects with all of the provisions of the Investment Company Act of 1940, and such Borrower has filed all reports with the SEC that are required of it or the applicable Fund(s);

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