Rule 38a-1 Compliance Program Sample Clauses

Rule 38a-1 Compliance Program. Transfer Agent will maintain written policies and procedures reasonably designed to prevent violations of the Federal Securities Laws, as that term is defined in Rule 38a-1, adopted by the Securities and Exchange Commission under the Investment Company Act of 1940, as amended (“Rule 38a-1”) with respect to the Services. On a quarterly basis, Transfer Agent will provide to Fund a certification certifying compliance with its responsibilities as Transfer Agent to the Funds under Rule 38a-1 or highlighting any material issue potentially impacting Transfer Agents services to the Funds. Upon Fund’s request, Transfer Agent will provide Fund with a summary of its policies and procedures in connection with Fund’s compliance with Rule 38a-1 and will provide such explanations of its policies and procedures as Fund may reasonably request. To the extent Transfer Agent makes any material changes to its written policies and procedures in order to address changing regulatory and industry developments that would impact Fund’s compliance with Rule 38a-1, Transfer Agent will notify Fund of any such changes in a timely manner. At least annually, Transfer Agent will also provide Fund a copy of third party audit reposts evaluating the Services (e.g. SSAE 18s or SOC 1s) and a copy of Transfer Agent’s annual assessment or review of Transfer Agent’s compliance programs.
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Rule 38a-1 Compliance Program. Agent will maintain written policies and procedures reasonably designed to prevent violations of the Federal Securities Laws, as that term is defined in Rule 38a-1, adopted by the Securities and Exchange Commission under the Investment Company Act of 1940, as amended (“Rule 38a-1”) with respect to the Services. On a quarterly basis, Agent will provide to Fund a certification in connection with Rule 38a-1. Upon Fund’s request, Agent will provide Fund with a summary of its policies and procedures in connection with Fund’s compliance with Rule 38a-1 and will provide such explanations of its policies and procedures as Fund may reasonably request. To the extent Agent makes any material changes to its written policies and procedures in order to address changing regulatory and industry developments that would impact Fund’s compliance with Rule 38a-1, Agent will notify Fund of any such changes in a timely manner.
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Rule 38a-1 Compliance Program. Agent will maintain written policies and procedures reasonably designed to prevent violations of the Federal Securities Laws, as that term is defined in Rule 38a-1 ("Rule 38a-1"), adopted by the Securities and Exchange Commission under the Investment Company Act of 1940, as amended (the "1940 Act") with respect to the services provided by Agent hereunder. Agent will provide to Fund in connection with any periodic annual or semi-annual stockholder report filed by Fund and, if requested by Fund, in connection with Fund filings on Form N-Q, a sub-certification in a form reasonably requested by Fund, relating to Agent's performance of services hereunder and Agent's related internal controls. In addition, on a quarterly basis, Agent will provide to Fund a certification in connection with Rule 38a-1 in a form reasonably requested by Fund. Upon Fund's request, Agent will provide Fund with a summary of its policies and procedures in connection with Fund's compliance with Rule 38a-1 and will provide such explanations of its policies and procedures as Fund may reasonably request. To the extent Agent makes any material changes to its written policies and procedures in order to address changing regulatory and industry developments that would impact Fund's compliance with Rule 38a-1, it will notify Fund of any such changes in a timely manner.
Sample 1Sample 2
Rule 38a-1 Compliance Program. Agent will maintain written policies and procedures reasonably designed to prevent violations of the Federal Securities Laws, as that term is defined in Rule 38a-1, adopted by the Securities and Exchange Commission under the Investment Company Act of 1940, as amended ("Rule 38a-1") with respect to the services provided by Agent hereunder. Agent will provide to Client in connection with any periodic annual or semi-annual stockholder report filed by Client and, if requested by Client, in connection with Client filings on Form N-Q, a sub-certification in a form, reasonably requested by Client, relating to Agent’s performance of services hereunder and Agent’s related internal controls. In addition, on a quarterly basis, Agent will provide to Client a certification in connection with Rule 38a-1. Upon Client’s request, Agent will provide Client with a summary of its policies and procedures in connection with Client’s compliance with Rule 38a-1 and will provide such explanations of its policies and procedures as Client may reasonably request. To the extent Agent makes any material changes to its written policies and procedures in order to address changing regulatory and industry developments that would impact Client’s compliance with Rule 38a-1, it will notify Client of any such changes in a timely manner.
Sample 1
Rule 38a-1 Compliance Program. Agent will maintain written policies and procedures reasonably designed to prevent violations of the Federal Securities Laws, as that term is defined in Rule 38a-1, adopted by the Securities and Exchange Commission under the Investment Company Act of 1940, as amended (“Rule 38a-1”) with respect to the Services. On a quarterly basis, Agent will provide to Company a certification certifying compliance with its responsibilities as Agent to the Company under Rule 38a-1 or highlighting any material issue potentially impacting Agent’s services to the Company. Upon Company’s request, Agent will provide Company with a summary of its policies and procedures in connection with Company’s compliance with Rule 38a-1 and will provide such explanations of its policies and procedures as Company may reasonably request. To the extent Agent makes any material changes to its written policies and procedures in order to address changing regulatory and industry developments that would impact Company’s compliance with Rule 38a-1, Agent will notify Company of any such changes in a timely manner. At least annually, Agent will also provide Company a copy of third party audit results evaluating the Services (e.g. SSAE 18 or SOC ls) and a copy of Agent’s annual assessment or review of Agent’s compliance programs.
Sample 1
Rule 38a-1 Compliance Program. The Administrator shall apply its own compliance program (the“ Program” with respect to its separate accounts to the XXXX Separate Accounts and the Reinsured Separate Accounts. The Compliance Program shall comply with the requirements of Rule 38a 1 under the 1940 Act applicable to the Administrative Services. The Compliance Program shall include without limitation written policies and procedures reasonably designed to detect and prevent violations of the “federal securities laws” as defined in rule 38a 1(e)(1), a review at least annually of the adequacy of the Compliance Program and the effectiveness of its implementation, and appointment of a chief compliance officer whose responsibilities include preparation of reports of the reviewed separate accounts, including the XXXX Separate Accounts and the Reinsured Separate Accounts, providing the information with respect to the Compliance Program, including the Administrative Services, necessary for the preparation of reports as provided in Rule 38a l(a)(4)(iii) ( 38a 1 Reports” and (b) provides at least the same degree of compliance oversight as provided under the Company’s existing compliance program for the XXXX Separate Accounts and the Reinsured Separate Accounts as such compliance program is communicated to the Administrator. The Administrator shall provide, or cause to be provided, reports to the Company’s Chief Compliance Officer a reasonable time before each Rule 38a 1 Report is due, and shall promptly report to the Company’s Chief Compliance Officer any Material Compliance Matter (within the meaning of Rule 38a 1 under the 0000 Xxx) discovered through the operation of the Compliance Program or otherwise. The Administrator shall provide the Company with reasonable access to its personnel, books and records, and such other certifications and information as the Company may reasonably deem necessary to enable its designated officers to evaluate the effectiveness of the Compliance Program with respect to the XXXX Separate Accounts and the Reinsured Separate Accounts. NYB 621298.28 03340 00004 A-6 SCHEDULE 2.3 CONSENTS UNDER MATERIAL CONTRACTS The Lincoln National Life Insurance Company American Maturity life Insurance Company NYB 621298.28 0334000004 SCHEDULE A-7 DISTRIBUTOR AGREEMENTS NYB 621298.28 03340 00004
Sample 1
Rule 38a-1 Compliance Program. Agent will maintain written policies and procedures reasonably designed to prevent violations of the “Federal Securities Laws”, as that term is defined in Rule 38a-1, adopted by the U.S. Securities and Exchange Commission under the Investment Company Act of 1940, as amended (“Rule 38a-1”) with respect to the Services. On a quarterly basis, Agent will provide to the Trust a certification of Agent’s compliance with its responsibilities as registered transfer agent under Rule 38a-1, and if applicable, highlighting any material issue potentially impacting the Services. Upon the Trust’s written request, Agent will provide the Trust with a summary of its written policies and procedures in connection with the Trust’s compliance with Rule 38a-1 and will provide such explanations of its written policies and procedures as the Trust may reasonably request. To the extent that Agent makes any material changes to its written policies and procedures in order to address any material regulatory and industry developments that would impact the Trust’s compliance with Rule 38a-1, Agent will notify the Trust of any such changes in a timely manner. At least annually, Agent will also provide the Trust with a copy of third-party audit results evaluating the Services (e.g., SSAE 18s or SOC 1s) and a copy of Agent’s annual assessment or review of Agent’s compliance programs.
Sample 1
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Related to Rule 38a-1 Compliance Program

  • 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.

  • Exchange Act Compliance; Regulations T, U and X None of the transactions contemplated herein or in the other Transaction Documents (including, without limitation, the use of proceeds from the sale of the Collateral Portfolio) will violate or result in a violation of Section 7 of the Exchange Act, or any regulations issued pursuant thereto, including, without limitation, Regulations T, U and X of the Board of Governors of the Federal Reserve System, 12 C.F.R., Chapter II. The Borrower does not own or intend to carry or purchase, and no proceeds from the Advances will be used to carry or purchase, any “margin stock” within the meaning of Regulation U or to extend “purpose credit” within the meaning of Regulation U.

  • Compliance Program The Company has established and administers a compliance program applicable to the Company, to assist the Company and the directors, officers and employees of the Company in complying with applicable regulatory guidelines (including, without limitation, those administered by the FDA, the EMA, and any other foreign, federal, state or local governmental or regulatory authority performing functions similar to those performed by the FDA or EMA); except where such noncompliance would not reasonably be expected to have a Material Adverse Effect.

  • Rule 144 Compliance With a view to making available to the holders of Registrable Securities the benefits of Rule 144 under the Securities Act and any other rule or regulation of the Commission that may at any time permit a holder to sell securities of the Company to the public without registration or pursuant to a registration on Form S-3 (or any successor form), the Company shall:

  • Regulatory Compliance Program of the Sub-Adviser The Sub-Adviser hereby represents and warrants that:

  • Anti-Money Laundering Compliance Programs Soliciting Dealer represents to the Dealer Manager and to the Company that it has established and implemented anti-money laundering compliance programs in accordance with applicable law, including applicable FINRA Conduct Rules, the Exchange Act Rules and Regulations and the Uniting and Strengthening America by Providing Appropriate Tools Required to Intercept and Obstruct Terrorism Act of 2001, as amended (the “USA PATRIOT Act”), specifically including, but not limited to, Section 352 of the International Money Laundering Abatement and Anti-Terrorist Financing Act of 2001 (the “Money Laundering Abatement Act,” and together with the USA PATRIOT Act, the “AML Rules”) reasonably expected to detect and cause the reporting of suspicious transactions in connection with the offering and sale of the Shares. Soliciting Dealer further represents that it currently is in compliance with all AML Rules, specifically including, but not limited to, the Customer Identification Program requirements under Section 326 of the Money Laundering Abatement Act, and Soliciting Dealer hereby covenants to remain in compliance with such requirements and shall, upon request by the Dealer Manager or the Company, provide a certification to the Dealer Manager or the Company that, as of the date of such certification (a) its AML Program is consistent with the AML Rules, and (b) it is currently in compliance with all AML Rules, specifically including, but not limited to, the Customer Identification Program requirements under Section 326 of the Money Laundering Abatement Act. Upon request by the Dealer Manager at any time, Soliciting Dealer will (i) furnish a written copy of its AML Program to the Dealer Manager for review, and (ii) furnish a copy of the findings and any remedial actions taken in connection with its most recent independent testing of its AML Program.

  • Adherence to Inside Information Policies The Executive acknowledges that the Company is publicly-held and, as a result, has implemented inside information policies designed to preclude its executives and those of its subsidiaries from violating the federal securities laws by trading on material, non-public information or passing such information on to others in breach of any duty owed to the Company, or any third party. The Executive shall promptly execute any agreements generally distributed by the Company to its employees requiring such employees to abide by its inside information policies.

  • Exchange Act Compliance During the Prospectus Delivery Period, the Company will file all documents required to be filed with the Commission pursuant to Section 13, 14 or 15 of the Exchange Act in the manner and within the time periods required by the Exchange Act.

  • Rule 17g-5 Compliance Seller hereby agrees that it shall provide information with respect to the Mortgage Loans or the origination thereof to any Rating Agency or nationally recognized statistical rating organization (“NRSRO”) via electronic mail at rxxx00x0xxxxxxxxxxxxxxxxxxx@xxxxxxxxxx.xxx, with a subject reference of “SEMT 2012-1” and an identification of the type of information being provided in the body of such electronic mail. The Securities Administrator, as the initial Rule 17g-5 Information Provider (the “Rule 17g-5 Information Provider”) shall notify Seller in writing of any change in the identity or contact information of the Rule 17g-5 Information Provider. Seller shall have no liability for (i) the Rule 17g-5 Information Provider’s failure to post information provided by it in accordance with the terms of this Agreement or (ii) any malfunction or disabling of the website maintained by the Rule 17g-5 Information Provider. None of the foregoing restrictions in this Section 22 prohibit or restrict oral or written communications, or providing information, between Seller, on the one hand, and any Rating Agency or NRSRO, on the other hand, with regard to (i) such Rating Agency’s or NRSRO’s review of the ratings it assigns to Seller or (ii) such Rating Agency’s or NRSRO’s evaluation of Seller’s operations in general; provided, however, that Seller shall not provide any information relating to the Mortgage Loans to such Rating Agency or NRSRO in connection with such review and evaluation by such Rating Agency or NRSRO unless: (x) borrower, property or deal specific identifiers are redacted; or (y) such information has already been provided to the Rule 17g-5 Information Provider.

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

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