Sale of the Contracts. The Company shall be fully responsible as to the Trust and the Distributor for the sale and marketing of the Contracts. The Company shall provide Contracts, the Contracts' and Trust's Prospectuses (or Summary Prospectuses), Contracts' and Trust's Statements of Additional Information, and all amendments or supplements to any of the foregoing to Contract Owners and prospective Contract Owners, all in accordance with Applicable Law. Without limiting the generality of the foregoing, the Company shall: (1) enter into and enforce agreements with affiliated and unaffiliated parties to, and (2) adopt and implement written compliance policies and procedures reasonably designed to, ensure that: - all persons offering or selling the Contracts are duly licensed and registered under Applicable Law, - all individuals offering or selling the Contracts are duly appointed agents of the Company and are registered representatives of a FINRA member broker-dealer, - each sale of a Contract satisfies all suitability requirements under Applicable Law, - all persons offering or selling the Contracts disclose to prospective Contract Owners remuneration each expects to receive in connection with sales of the Contracts and any conflicts of interest arising therefrom as required by Applicable Law, and - no persons offering or selling the Contracts intend to engage in Account unit transactions that would violate the Company's or the Trust's Disruptive Trading Policies. - Prospectuses are delivered as required by Article IV of this Agreement and Applicable Law.
Appears in 7 contracts
Samples: Participation Agreement (Aul American Individual Variable Annuity Unit Trust), Participation Agreement (Aul American Individual Variable Annuity Unit Trust), Participation Agreement (Aul American Individual Variable Life Unit Trust)
Sale of the Contracts. The Company shall be fully responsible as to the Trust and the Distributor for the sale and marketing of the Contracts. The Company shall provide Contracts, the Contracts' and Trust's Prospectuses (or Summary Prospectuses), Contracts' and Trust's Statements of Additional Information, and all amendments or supplements to any of the foregoing to Contract Owners and prospective Contract Owners, all in accordance with Applicable Lawfederal and state laws. Without limiting the generality of the foregoing, the Company shall: (1) enter into and enforce agreements with affiliated and unaffiliated parties to, and (2) adopt and implement written compliance policies and procedures reasonably designed to, ensure that: - o all persons offering or selling the Contracts are duly licensed and registered under Applicable Lawapplicable insurance and securities laws, - o all individuals offering or selling the Contracts are duly appointed agents of the Company and are registered representatives of a FINRA NASD member broker-dealer, - o each sale of a Contract satisfies all applicable suitability requirements under Applicable Lawinsurance and securities laws and regulations, - all including without limitation the rules of the NASD, o persons offering or selling the Contracts disclose to prospective Contract Owners remuneration each expects to receive in connection with sales of the Contracts and any conflicts of interest arising therefrom as required by Applicable Lawapplicable law, and - no o persons offering or selling the Contracts do not intend to engage in Account unit transactions that would violate the Company's or the Trust's Disruptive Trading Policies. - Prospectuses are delivered as required by Article IV of this Agreement and Applicable Lawdisruptive trading policies.
Appears in 7 contracts
Samples: Participation Agreement (Jefferson National Life Annuity Account K), Participation Agreement (Lincoln Benefit Life Variable Life Account), Participation Agreement (Lincoln Benefit Life Variable Annuity Account)
Sale of the Contracts. The Company shall be fully responsible as to the Trust and the Distributor for the sale and marketing of the Contracts. The Company shall provide Contracts, the Contracts' ’ and Trust's Prospectuses (or Summary ’s Prospectuses), Contracts' ’ and Trust's ’s Statements of Additional Information, and all amendments or supplements to any of the foregoing to Contract Owners and prospective Contract Owners, all in accordance with Applicable Lawfederal and state laws. Without limiting the generality of the foregoing, the Company shall: (1) enter into and enforce agreements with affiliated and unaffiliated parties to, and (2) adopt and implement written compliance policies and procedures reasonably designed to, ensure that: - • all persons offering or selling the Contracts are duly licensed and registered under Applicable Lawapplicable insurance and securities laws, - • all individuals offering or selling the Contracts are duly appointed agents of the Company and are registered representatives of a FINRA NASD member broker-dealer, - • each sale of a Contract satisfies all applicable suitability requirements under Applicable Lawinsurance and securities laws and regulations, - all including without limitation the rules of the NASD, • persons offering or selling the Contracts disclose to prospective Contract Owners remuneration each expects to receive in connection with sales of the Contracts and any conflicts of interest arising therefrom as required by Applicable Lawapplicable law, and - no • persons offering or selling the Contracts do not intend to engage in Account unit transactions that would violate the Company's ’s or the Trust's Disruptive Trading Policies. - Prospectuses are delivered as required by Article IV of this Agreement and Applicable Law’s disruptive trading policies.
Appears in 3 contracts
Samples: Participation Agreement (TFLIC Separate Account VNY), Participation Agreement (Peoples Benefit Life Insurance Co Separate Account V), Participation Agreement (Wells Fargo Variable Trust)
Sale of the Contracts. The Company shall be fully responsible as to the Trust and the Distributor for the sale and marketing of the Contracts. The Company shall provide Contracts, the Contracts' and Trust's Prospectuses (or Summary Prospectuses), Contracts' and Trust's Statements of Additional Information, and all amendments or supplements to any of the foregoing to Contract Owners and prospective Contract Owners, all in accordance with Applicable Lawfederal and state laws. Without limiting the generality of the foregoing, the Company shall: (1) enter into and enforce agreements with affiliated and unaffiliated parties to, and (2) adopt and implement written compliance policies and procedures reasonably designed to, ensure that: - all persons offering or selling the Contracts are duly licensed and registered under Applicable Lawapplicable insurance and securities laws, - all individuals offering or selling the Contracts are duly appointed agents of the Company and are registered representatives of a FINRA member broker-dealer, - each sale of a Contract satisfies all applicable suitability requirements under Applicable Lawinsurance and securities laws and regulations, including without limitation the rules of the NASD, - all persons offering or selling the Contracts disclose to prospective Contract Owners remuneration each expects to receive in connection with sales of the Contracts and any conflicts of interest arising therefrom as required by Applicable Lawapplicable law, and - no persons offering or selling the Contracts do not intend to engage in Account unit transactions that would violate the Company's or the Trust's Disruptive Trading Policies. - Prospectuses are delivered as required by Article IV of this Agreement and Applicable Law.
Appears in 3 contracts
Samples: Participation Agreement (Lincoln Life Flexible Premium Variable Life Account M), Participation Agreement (Lincoln Life & Annuity Flexible Premium Variable Life Account M), Participation Agreement (Lincoln Life Variable Annuity Account N)
Sale of the Contracts. The Company shall be fully responsible as to the Trust Trust, Rxxxxx Advisors, and the Distributor for the sale and marketing of the Contracts. The Company shall provide Contracts, the Contracts' ’ and Trust's Prospectuses (or Summary ’s Prospectuses), Contracts' ’ and Trust's ’s Statements of Additional Information, and all amendments or supplements to any of the foregoing to Contract Owners and prospective Contract Owners, all in accordance with Applicable Lawfederal and state laws. Without limiting the generality of the foregoing, the Company shall: (1) enter into and enforce agreements with affiliated and unaffiliated parties to, and (2) adopt and implement written compliance policies and procedures reasonably designed to, ensure that: - • all persons offering or selling the Contracts are duly licensed and registered under Applicable Lawapplicable insurance and securities laws, - • all individuals offering or selling the Contracts are duly appointed agents of the Company and and, when required by applicable law, are registered representatives of a FINRA member broker-dealer, - • each sale of a Contract satisfies all applicable suitability requirements under Applicable Lawinsurance and securities laws and regulations, - all including without limitation the rules of the FINRA, • persons offering or selling the Contracts disclose to prospective Contract Owners remuneration each expects to receive in connection with sales of the Contracts and any conflicts of interest arising therefrom as required by Applicable Lawapplicable law, and - no • persons offering or selling the Contracts do not intend to engage in Account unit transactions that would violate the Company's ’s or the Trust's ’s Disruptive Trading Policies. - Prospectuses are delivered as required by Article IV of this Agreement and Applicable Law.
Appears in 2 contracts
Samples: Participation Agreement (Ml of New York Variable Annuity Separate Account A), Participation Agreement (Merrill Lynch Life Variable Annuity Separate Account A)
Sale of the Contracts. The Company shall be fully responsible as to the Trust and the Distributor for the sale and marketing of the Contracts. The Company shall provide Contracts, the Contracts' and Trust's Prospectuses (or Summary Prospectuses), Contracts' and Trust's Statements of Additional Information, and all amendments or supplements to any of the foregoing to Contract Owners and prospective Contract Owners, all in accordance with Applicable Lawfederal and state laws. Without limiting the generality of the foregoing, the Company shall: (1) enter into and enforce agreements with affiliated and unaffiliated parties to, and (2) adopt and implement written compliance policies and procedures reasonably designed to, ensure that: - all persons offering or selling the Contracts are duly licensed and registered under Applicable Lawapplicable insurance and securities laws, - all individuals offering or selling the Contracts are duly appointed agents of the Company and are registered representatives of a FINRA NASD member broker-dealer, - each sale of a Contract satisfies all applicable suitability requirements under Applicable Lawinsurance and securities laws and regulations, including without limitation the rules of the NASD, - all persons offering or selling the Contracts disclose to prospective Contract Owners remuneration each expects to receive in connection with sales of the Contracts and any conflicts of interest arising therefrom as required by Applicable Lawapplicable law, and - no persons offering or selling the Contracts do not intend to engage in Account unit transactions that would violate the Company's or the Trust's Disruptive Trading Policies. - Prospectuses are delivered as required by Article IV of this Agreement and Applicable Law.
Appears in 2 contracts
Samples: Participation Agreement (Commonwealth Annuity Separate Account A), Participation Agreement (Genworth Life & Annuity VA Separate Account 3)
Sale of the Contracts. The Company shall be fully responsible as to the Trust and the Distributor for the sale and marketing of the Contracts. The Company shall provide Contracts, the Contracts' ’ and Trust's ’s Prospectuses (or Summary Prospectuses), Contracts' ’ and Trust's ’s Statements of Additional Information, and all amendments or supplements to any of the foregoing to Contract Owners and prospective Contract Owners, all in accordance with Applicable Law. Without limiting the generality of the foregoing, the Company shall: (1) enter into and enforce agreements with affiliated and unaffiliated parties to, and (2) adopt and implement written compliance policies and procedures reasonably designed to, ensure that: - • all persons offering or selling the Contracts are duly licensed and registered under Applicable Law, - • all individuals offering or selling the Contracts are duly appointed agents of the Company and are registered representatives of a FINRA member broker-dealer, - • each sale of a Contract satisfies all suitability requirements under Applicable Law, - • all persons offering or selling the Contracts disclose to prospective Contract Owners remuneration each expects to receive in connection with sales of the Contracts and any conflicts of interest arising therefrom as required by Applicable Law, and - • no persons offering or selling the Contracts intend to engage in Account unit transactions that would violate the Company's ’s or the Trust's ’s Disruptive Trading Policies. - • Prospectuses are delivered as required by Article IV of this Agreement and Applicable Law.
Appears in 2 contracts
Samples: Participation Agreement (Thrivent Variable Annuity Account I), Participation Agreement (MEMBERS Horizon Variable Separate Account)
Sale of the Contracts. The Company shall be fully responsible as to the Trust and the Distributor for the sale and marketing of the Contracts. The Company shall provide Contracts, the Contracts' ’ and Trust's ’s Prospectuses (or Summary Prospectuses), Contracts' ’ and Trust's ’s Statements of Additional Information, and all amendments or supplements to any of the foregoing to Contract Owners and prospective Contract Owners, all in accordance with Applicable Law. Without limiting the generality of the foregoing, the Company shall: (1) enter into and enforce agreements with affiliated and unaffiliated parties to, and (2) adopt and implement written compliance policies and procedures reasonably designed to, ensure that: - · all persons offering or selling the Contracts are duly licensed and registered under Applicable Law, - · all individuals offering or selling the Contracts are duly appointed agents of the Company and are registered representatives of a FINRA member broker-dealer, - · each sale of a Contract satisfies all suitability requirements under Applicable Law, - · all persons offering or selling the Contracts disclose to prospective Contract Owners remuneration each expects to receive in connection with sales of the Contracts and any conflicts of interest arising therefrom as required by Applicable Law, and - · no persons offering or selling the Contracts intend to engage in Account unit transactions that would violate the Company's ’s or the Trust's ’s Disruptive Trading Policies. - · Prospectuses are delivered as required by Article IV of this Agreement and Applicable Law.
Appears in 1 contract
Samples: Participation Agreement (Jefferson National Life Annuity Account G)
Sale of the Contracts. The Company shall be fully responsible as to the Trust and the Distributor for the sale and marketing of the Contracts. The Company shall provide Contracts, the Contracts' ’ and Trust's ’s Prospectuses (or Summary Prospectuses), Contracts' ’ and Trust's ’s Statements of Additional Information, and all amendments or supplements to any of the foregoing to Contract Owners and prospective Contract Owners, all in accordance with Applicable Law. Without limiting the generality of the foregoing, the Company shall: (1) enter into and enforce agreements with affiliated and unaffiliated parties to, and (2) adopt and implement written compliance policies and procedures reasonably designed to, ensure that: - · all persons offering or selling the Contracts are duly licensed and registered under Applicable Law, - · all individuals offering or selling the Contracts are duly appointed agents of the Company and are registered representatives of a FINRA member broker-dealer, - each sale of a Contract satisfies all suitability requirements under Applicable Law, - · all persons offering or selling the Contracts disclose to prospective Contract Owners remuneration each expects to receive in connection with sales of the Contracts and any conflicts of interest arising therefrom as required by Applicable Law, and - · no persons offering or selling the Contracts intend to engage in Account unit transactions that would violate the Company's ’s or the Trust's ’s Disruptive Trading Policies. - · Prospectuses are delivered as required by Article IV of this Agreement and Applicable Law.
Appears in 1 contract
Samples: Participation Agreement (Separate Account a of Pacific Life & Annuity Co)
Sale of the Contracts. The Company shall be fully responsible as to the Trust and the Distributor for the sale and marketing of the Contracts. The Company shall provide Contracts, the Contracts' ’ and Trust's ’s Prospectuses (or Summary Prospectuses), Contracts' ’ and Trust's ’s Statements of Additional Information, and all amendments or supplements to any of the foregoing to Contract Owners and prospective Contract Owners, all in accordance with Applicable Law. Without limiting the generality of the foregoing, the Company shall: (1) enter into and enforce agreements with affiliated and unaffiliated parties to, and (2) adopt and implement written compliance policies and procedures reasonably designed to, ensure that: - • all persons offering or selling the Contracts are duly licensed and registered under Applicable Law, - • all individuals offering or selling the Contracts are duly appointed agents of the Company and are registered representatives of a FINRA member broker-dealer, - • each sale of a Contract satisfies all suitability requirements under Applicable Law, - • all persons offering or selling the Contracts disclose to prospective Contract Owners remuneration each expects to receive in connection with sales of the Contracts and any conflicts of interest arising therefrom as to the extent required by Applicable Law, and - • no persons offering or selling the Contracts intend to engage in Account unit transactions that would violate the Company's ’s or the Trust's ’s Disruptive Trading Policies. - • Prospectuses are delivered as required by Article IV of this Agreement and Applicable Law.
Appears in 1 contract
Samples: Participation Agreement (Mutual of America Separate Account No 2)
Sale of the Contracts. The Company shall be fully responsible as to the Trust and the Distributor for the sale and marketing of the Contracts. The Company shall provide Contracts, the Contracts' ’ and Trust's ’s Prospectuses (or Summary Prospectuses), Contracts' ’ and Trust's ’s Statements of Additional Information, and all amendments or supplements to any of the foregoing to Contract Owners and prospective Contract Owners, all in accordance with Applicable Law. Without limiting the generality of the foregoing, the Company shall: (1) shall enter into and enforce sales agreements with affiliated and unaffiliated parties toretail broker-dealers, and (2) adopt and implement written compliance policies and procedures registered with FINRA, that are reasonably designed toto provide the following safeguards to the Company, ensure the Trust and the Distributor, that: - all • persons offering or selling the Contracts are duly licensed and registered under Applicable Law, - all individuals • persons offering or selling to sell the Contracts are duly appointed agents of the Company and are registered representatives of a FINRA member broker-dealer, - • each sale of a Contract satisfies all suitability requirements under Applicable Law, - all persons offering or selling the Contracts disclose to prospective Contract Owners remuneration each expects to receive in connection with sales of the Contracts and any conflicts of interest arising therefrom as • if required by Applicable Law, and - no persons offering or selling to sell the Contracts disclose the compensation related to the sale of the Contracts and the conflicts of interest, if any. • persons offering to sell the Contracts do not intend to engage in Account unit transactions that would violate in violation of the Company's ’s or the Trust's ’s Disruptive Trading Policies. - • Prospectuses are delivered as required by Article IV of this Agreement and Applicable Law.
Appears in 1 contract
Samples: Participation Agreement (Delaware Life Variable Account F)
Sale of the Contracts. The Company shall be fully responsible as to the Trust and the Distributor for the sale and marketing of the Contracts. The Company shall provide Contracts, the Contracts' ’ and Trust's ’s Prospectuses (or Summary Prospectuses), Contracts' ’ and Trust's ’s Statements of Additional Information, and all amendments or supplements to any of the foregoing to Contract Owners and prospective Contract Owners, all in accordance with Applicable Law. Without limiting the generality of the foregoing, the Company shall: (1) enter into and enforce agreements with affiliated and unaffiliated parties to, and (2) adopt and implement written compliance policies and procedures reasonably designed to, ensure that: - · all persons offering or selling the Contracts are duly licensed and registered under Applicable Law, - · all individuals offering or selling the Contracts are duly appointed agents of the Company and are registered representatives of a FINRA member broker-dealer, - · each sale of a Contract satisfies all suitability requirements under Applicable Law, - · all persons offering or selling the Contracts disclose to prospective Contract Owners remuneration each expects to receive in connection with sales of the Contracts and any conflicts of interest arising therefrom as required by Applicable Law, and - · no persons offering or selling the Contracts intend to engage in Account unit transactions that would violate the Company's ’s or the Trust's ’s Disruptive Trading Policies. - , and · Prospectuses are delivered as required by Article IV of this Agreement and Applicable Law.
Appears in 1 contract
Samples: Participation Agreement (National Variable Annuity Account Ii)
Sale of the Contracts. The Company shall be fully responsible as to the Trust and the Distributor for the sale and marketing of the Contracts. The Company shall provide Contracts, the Contracts' and Trust's Prospectuses (or Summary Prospectuses), Contracts' and Trust's Statements of Additional Information, and all amendments or supplements to any of the foregoing to Contract Owners and prospective Contract Owners, all in accordance with Applicable Law. Without limiting the generality of the foregoing, the Company shall: (1) enter into and enforce agreements with affiliated and unaffiliated parties to, and (2) adopt and implement written compliance policies and procedures reasonably designed to, ensure that: - . all persons offering or selling the Contracts are duly licensed and registered under Applicable Law, - . all individuals offering or selling the Contracts are duly appointed agents of the Company and are registered representatives of a FINRA member broker-dealer, - . each sale of a Contract satisfies all suitability requirements under Applicable Law, - . all persons offering or selling the Contracts disclose to prospective Contract Owners remuneration each expects to receive in connection with sales of the Contracts and any conflicts of interest arising therefrom as required by Applicable Law, and - . no persons offering or selling the Contracts intend to engage in Account unit transactions that would violate the Company's or the Trust's Disruptive Trading Policies. - . Prospectuses are delivered as required by Article IV of this Agreement and Applicable Law.
Appears in 1 contract
Samples: Participation Agreement (Brighthouse Fund UL for Variable Life Insurance)
Sale of the Contracts. The Company shall be fully responsible as to the Trust and the Distributor for the sale and marketing of the Contracts. The Company shall provide Contracts, the Contracts' ’ and Trust's ’s Prospectuses (or Summary Prospectuses), Contracts' ’ and Trust's ’s Statements of Additional Information, and all amendments or supplements to any of the foregoing to Contract Owners and prospective Contract Owners, all in accordance with Applicable Law. Without limiting the generality of the foregoing, the Company shall: (1) enter into and enforce agreements with affiliated and unaffiliated parties to, and (2) adopt and implement written compliance policies and procedures reasonably designed to, ensure that: - — all persons offering or selling the Contracts are duly licensed and registered under Applicable Law, - — all individuals offering or selling the Contracts are duly appointed agents of the Company and are registered representatives of a FINRA member broker-dealer, - — each sale of a Contract satisfies all suitability requirements under Applicable Law, - — all persons offering or selling the Contracts disclose to prospective Contract Owners remuneration each expects to receive in connection with sales of the Contracts and any conflicts of interest arising therefrom as required by Applicable Law, and - — no persons offering or selling the Contracts intend to engage in Account unit transactions that would violate the Company's ’s or the Trust's ’s Disruptive Trading Policies. - — Prospectuses are delivered as required by Article IV of this Agreement and Applicable Law.
Appears in 1 contract
Samples: Participation Agreement (Coli Vul 2 Series Account)