Common use of Regulatory Filings and Correspondence Clause in Contracts

Regulatory Filings and Correspondence. (a) Except as set forth on Schedule 3.5(a), as of the --------------- date hereof, the Company has no obligation to file any disclosure documents relating to its ownership or the ownership of any account managed or advised by it of securities other than Form 13-F. (b) Schedule 3.5(b) is a true and complete list of all --------------- exemptive orders, no-action requests, prohibited transactions exemptions and private letter rulings obtained or pending by or on behalf of the Company. (c) Attached as Schedule 3.5(c) is a true and complete --------------- list of all correspondence from January 1, 1999 to the date hereof between the Company or Unified and any Governmental or Regulatory Agency relating to any audit or examination of the Company.

Regulatory Filings and Correspondence. (a) Except as set forth on Schedule 3.5(a), as of --------------- the --------------- date hereof, none of the Company Sellers has no any obligation to file any disclosure documents relating to its ownership or the ownership of any account managed or advised by it of securities other than Form 13-F. (b) Schedule 3.5(b) is a true and complete list of --------------- all --------------- exemptive orders, no-action requests, prohibited transactions exemptions and private letter rulings obtained or pending by or on behalf of the CompanySellers. (c) Attached as Schedule 3.5(c) is a true and --------------- complete --------------- list of all correspondence from January 1, 1999 to the date hereof between the Company Sellers or Unified DNB and any Governmental or Regulatory Agency relating to any audit or examination of the CompanySellers.