Supervision and Compliance Sample Clauses

Supervision and Compliance. The activities of the Investment Adviser shall be subject at all times to the direction and control of the Board of Trustees of the Trust and shall comply with: (a) the Trust Instrument and By-Laws of the Trust; (b) the Registration Statement of the Trust, as it may be amended from time to time, including the investment objectives and policies set forth therein; (c) the Investment Company Act and the regulations thereunder; (d) the Internal Revenue Code of 1986 and the regulations thereunder applicable to regulated investment companies; (e) any other applicable laws or regulations; and (f) such other limitations as the Board of Trustees may adopt.
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Supervision and Compliance. As the principal underwriter for the Contracts, Distributor shall retain full responsibility for and shall continue to perform the supervision, compliance, and similar functions it currently undertakes.
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Supervision and Compliance. The Distributor will assume full responsibility for securities law compliance by the Associated Persons with respect to Contracts and Shares, including, as applicable, compliance with the NASD Rules of Fair Practice and Federal and state securities laws and regulations. The Distributor, directly or through the Company as its agent, will (1) make timely filings with the SEC, NASD, and any other securities regulatory authorities of any sales literature or materials relating to the Contracts, Accounts or the Shares, as required by law to be filed, (2) make available to the Company copies of any agreements or plans intended for use in connection with the sale of the Contracts in sufficient numbers and in adequate time for clearance by the appropriate regulatory authorities before they are used, and (3) train the Associated Persons, use its best efforts to prepare them to complete satisfactorily any and all applicable NASD and state securities examinations, register the Associated Persons as its registered representatives or principals to the extent legally required before they engage in securities activities, and diligently supervise and control them in the performance of such activities. The parties agree to use their best efforts to obtain any required clearances by regulatory agencies as expeditiously as reasonably possible and shall not use any materials, plan or agreement in any jurisdiction unless all filings have been made and approvals obtained that are necessary to make said use proper and legal therein.
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Supervision and Compliance. Notwithstanding any provision of this Agreement, the Adviser shall retain all rights and ultimate responsibilities to supervise, and, in its discretion, conduct investment advisory activities relating to the Trust. The activities of the Subadviser shall be subject at all times to the direction and control of the Board of Trustees of the Trust and the Adviser and shall comply with: (a) the Declaration of Trust and By-Laws of the Trust; (b) the Registration Statement of the Trust, as it may be amended from time to time, including the investment objectives and policies set forth therein; (d) the Investment Company Act and the regulations thereunder; (e) the Internal Revenue Code of 1986 and the regulations thereunder applicable to regulated investment companies; (f) any other applicable laws or regulations; and (g) such other limitations as the Adviser or the Board of Trustees of the Trust may adopt.
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Supervision and Compliance. The activities of the Investment Adviser shall be subject at all times to the direction and control of the Board of Managers and shall comply with: (a) the Certificate of Formation of the Company and the Operating Agreement, as such documents are amended from time to time; (b) the investment objective and policies of the Company as initially set forth in the Registration Statement as such objective and policies may be amended from time to time with advance notice to the Investment Adviser; (c) the applicable provisions of the Investment Company Act and the applicable regulations thereunder; (d) any other applicable laws or regulations; and (e) such other limitations as the Board of Managers may adopt.
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Supervision and Compliance. The GRANTOR and OSIPTEL shall have the right to request the CONCESSIONAIRE to submit periodic reports, statistics and any other information, which shall be complied with by the CONCESSIONAIRE within the requested terms, as well as to inspect, themselves or through third parties, the facilities of the CONCESSIONAIRE, its files and records and other data and to request any other additional information in order to supervise and enforce the terms of this Clause. OSIPTEL shall have the right to adopt corrective, precautionary, preventive and sanctioning measures, in the form of resolutions and mandates, in accordance with the APPLICABLE LAWS AND PROVISIONS. The CONCESSIONAIRE shall provide, free of charge, remote access in reading mode so that the operations management systems can be viewed from OSIPTEL's and the GRANTOR's premises. The OSS systems shall include network and service management systems such as fault management, performance, configuration, provisioning and any other system that allows monitoring and supervision of the availability, quality and performance of the GRANTED SERVICES, taking into account what is indicated in the series M.3000 recommendations of the Tax Units. The set of platforms, applications, protocols and/or processes corresponding to the OSS systems to be used by the CONCESSIONAIRE, as well as the modality of free remote access to these systems, shall be submitted for OSIPTEL's approval no less than sixty (60) DAYS prior to the DATE OF COMMENCEMENT OF OPERATIONS. OSIPTEL shall issue its decision within a term no longer than thirty (30) working days counted from the date of its submission.
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Supervision and Compliance. External Manufacturers, Suppliers and their Subcontractors shall authorize Inditex and/or any third parties the former might appoint, to carry out inspections and audits in order to verify the appropriate enforcement of the Code. For these purposes, they shall provide the inspectors and/or auditors with the required means and the appropriate access to the facilities and documentation required to ensure this verification. Ethical Commitment External Manufacturers, Suppliers and their Subcontractors shall carry out their activities in a honest, upright and transparent way, keeping for these purposes an appropriate accounting records system, as a preventive measure versus any manner of corruption, bribe and extortion that might arise. External Manufacturers, Suppliers and their Subcontractors shall not offer, grant, request or accept any gifts or donations to/from Inditex buyers which might infringe the provisions of the “Internal Guidelines for the Responsible Practices of the Inditex Group Personnel”. External Manufacturers, Suppliers and their Subcontractors shall not manipulate or influence their workers, nor shall they forge any files or records in order to alter the verification process regarding compliance with this Code. External Manufacturers, Suppliers and their Subcontractors shall neither offer nor accept remuneration of any kind which in perception, or in effect, seeks to affect the impartial judgement or the objectivity of such parties appointed by Inditex to carry out inspections and compliance audits in connection with this Code. Health and Safety of products External Manufacturers, Suppliers and their Subcontractors undertake to apply Inditex´s health and safety product standards in all manufacturing processes of raw materials, finished products, accessories and footwear that they provide to Inditex. Publication of the Code. External Manufacturers, Suppliers and Subcontractors’ Management teams shall inform their employees about the contents of this Code. A copy of the same, translated into the local language shall be displayed in accessible locations for all workers. Reference to national legislation and collective agreements. The provisions of this Code constitute only minimum standards.
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Supervision and Compliance. The activities of the Managing Investment Adviser shall be subject at all times to the direction and control of the Board of Directors and shall comply
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Related to Supervision and Compliance

  • Litigation and Compliance There is no action, suit, investigation, litigation or proceeding against such Legal Entity pending or threatened before any court, governmental agency or arbitrator that challenges, or would reasonably be expected to have a material adverse effect on, the legality, validity or enforceability of this Agreement.

  • Performance and Compliance Purchaser shall have performed all of the covenants and complied, in all material respects, with all the provisions required by this Agreement to be performed or complied with by it on or before the Closing.

  • SAFE Compliance The Company shall comply with the SAFE Rules and Regulations, and shall use commercially reasonable efforts to cause its shareholders and option holders that are, or that are directly or indirectly owned or controlled by, PRC residents or PRC citizens, to comply with the SAFE Rules and Regulations applicable to them in connection with the Company, including without limitation, requesting each shareholder and option holder, that is, or is directly or indirectly owned or controlled by, a PRC resident or PRC citizen to complete any registration and other procedures required under applicable SAFE Rules and Regulations.

  • Permits and Compliance 17 Section 4.9

  • Existence and Compliance Maintain its existence, good standing and qualification to do business, where required and comply with all laws, regulations and governmental requirements including, without limitation, environmental laws applicable to it or to any of its property, business operations and transactions.

  • FUND COMPLIANCE 3.1 The Fund and the Adviser acknowledge that any failure (whether intentional or in good faith or otherwise) to comply with the requirements of Subchapter M of the Code or the diversification requirements of Section 817(h) of the Code may result in the Contracts not being treated as variable contracts for federal income tax purposes, which would have adverse tax consequences for Contract owners and could also adversely affect the Company's corporate tax liability. The Fund and the Adviser further acknowledge that any such failure may result in costs and expenses being incurred by the Company in obtaining whatever regulatory authorizations are required to substitute shares of another investment company for those of the failed Fund or as well as fees and expenses of legal counsel and other advisors to the Company and any federal income taxes, interest or tax penalties incurred by the Company in connection with any such failure.

  • ERISA Information and Compliance The Obligors will promptly furnish and will cause the Subsidiaries and any ERISA Affiliate to promptly furnish to the Administrative Agent with sufficient copies to the Lenders (i) promptly after the filing thereof with the United States Secretary of Labor, the Internal Revenue Service or the PBGC, copies of each annual and other report with respect to each Plan or any trust created thereunder, (ii) immediately upon becoming aware of the occurrence of any ERISA Event or of any “prohibited transaction,” as described in section 406 of ERISA or in section 4975 of the Code, in connection with any Plan or any trust created thereunder, a written notice signed by a Responsible Officer specifying the nature thereof, what action the Obligors, the Subsidiary or the ERISA Affiliate is taking or proposes to take with respect thereto, and, when known, any action taken or proposed by the Internal Revenue Service, the Department of Labor or the PBGC with respect thereto, and (iii) immediately upon receipt thereof, copies of any notice of the PBGCs intention to terminate or to have a trustee appointed to administer any Plan. With respect to each Plan (other than a Multiemployer Plan), the Obligors will, and will cause each Subsidiary and ERISA Affiliate to, (i) satisfy in full and in a timely manner, without incurring any late payment or underpayment charge or penalty and without giving rise to any lien, all of the contribution and funding requirements of section 412 of the Code (determined without regard to subsections (d), (e), (f) and (k) thereof) and of section 302 of ERISA (determined without regard to sections 303, 304 and 306 of ERISA), and (ii) pay, or cause to be paid, to the PBGC in a timely manner, without incurring any late payment or underpayment charge or penalty, all premiums required pursuant to sections 4006 and 4007 of ERISA.

  • Authority and Compliance Borrower has full power and authority to execute and deliver the Loan Documents and to incur and perform the obligations provided for therein, all of which have been duly authorized by all proper and necessary action of the appropriate governing body of Borrower. No consent or approval of any public authority or other third party is required as a condition to the validity of any Loan Document, and Borrower is in compliance with all laws and regulatory requirements to which it is subject.

  • Examination and Review A volunteer, upon presenting identification, shall be permitted by appointment to examine and copy his/her complete County volunteer file, MCFRS operating, or medical record. The volunteer shall indicate in writing, to be placed in his/her file, that he/she has examined the same. The custodian of medical records may determine, consistent with State law, that certain medical information will only be released to the physician or attorney of the volunteer upon receipt of a signed release from the volunteer. Medical records will be maintained in accordance with Section Three of this Article. The County may retain and store records in various formats, including as electronically imaged documents. Confidentiality must be maintained and assured in all formats. Unless otherwise expressly set forth in Sections One through Six, no other documents or information may be placed or maintained in the County volunteer file, MCFRS operating record, or medical file.

  • Legal Compliance Contractor represents and warrants that it shall secure all notices and comply with all applicable laws, ordinances, rules and regulations of any governmental entity in conjunction with the performance of obligations under the Contract. Prior to award and during the Contract term and any renewals thereof, Contractor must establish to the satisfaction of the Commissioner that it meets or exceeds all requirements of the Bid and Contract and any applicable laws, including but not limited to, permits, licensing, and shall provide such proof as required by the Commissioner. Failure to comply or failure to provide proof may constitute grounds for the Commissioner to terminate or suspend the Contract, in whole or in part, or to take any other action deemed necessary by the Commissioner. Contractor also agrees to disclose information and provide affirmations and certifications to comply with Sections 139-j and 139-k of the State Finance Law.

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