Regulatory Compliance Contract Clauses (67)

Grouped Into 2 Collections of Similar Clauses From Business Contracts

This page contains Regulatory Compliance clauses in business contracts and legal agreements. We have organized these clauses into groups of similarly worded clauses.
Regulatory Compliance. The Issuer and the Dealer Manager shall provide to the Escrow Agent upon the execution of this Agreement any documentation requested and any information reasonably requested by the Escrow Agent to comply with the USA Patriot Act of 2001, as amended from time to time and the Bank Secrecy Act, as amended from time to time.
Found in PROSPECT CAPITAL CORP contract
Regulatory Compliance. The Issuer and the Dealer Manager Company shall provide to the Escrow Agent upon the execution of this Agreement any documentation requested and any or information reasonably requested by the Escrow Agent to comply with the USA Patriot Act of 2001, as amended from time to time time, and the Bank Secrecy Act, Act of 1970, as amended from time to time.
Found in OAKTREE REAL ESTATE INCOME TRUST, INC. contract
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Regulatory Compliance. Notwithstanding anything to the contrary herein, any compensation or other benefits paid to the Executive shall be limited to the extent required by any federal or state regulatory agency having authority over Xenith or HoldCo, including any limitations or prohibitions on payments under Section 5 of this Agreement. The Executive agrees that compliance by Xenith or HoldCo with such regulatory restrictions, even to the extent that compensation or other benefits paid to the Executive are limited, s...hall not be a breach of this Agreement by the Company or the Employer. View More Arrow
Found in Xenith Bankshares, Inc. contract
Regulatory Compliance. Notwithstanding anything to the contrary herein, any compensation or other benefits paid to the Executive shall be limited to the extent required by any federal or state regulatory agency having authority over Xenith HRB or HoldCo, BHR, including any limitations or prohibitions on payments under Section 5 of this Agreement. The Executive agrees that compliance by Xenith HRB or HoldCo BHR with such regulatory restrictions, even to the extent that compensation or other benefits paid to the Executi...ve are limited, shall not be a breach of this Agreement by the Company or the Employer. View More Arrow
Found in Xenith Bankshares, Inc. contract
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