Requirement. (A) Annually, or more frequently in connection with any review of the Plan Processor’s performance under this Agreement pursuant to Section 6.1(n), the Participants shall provide the SEC with a written assessment of the operation of the CAT that meets the requirements of SEC Rule 613, Appendix D, and this Agreement. (B) The Chief Compliance Officer shall oversee the assessment contemplated by Section 6.6(b)(i)(A) and shall provide the Participants a reasonable time to review and comment upon such assessment prior to its submission to the SEC. In no case shall the written assessment be changed or amended in response to a comment by a Participant; rather, any comment by a Participant shall be provided to the SEC at the same time as the written assessment.
Appears in 20 contracts
Sources: Limited Liability Company Agreement, Limited Liability Company Agreement, Limited Liability Company Agreement
Requirement. (Ai) AnnuallyAt least every two (2) years, or more frequently in connection with any review of the Plan Processor’s performance under this Agreement pursuant to Section 6.1(n), the Participants shall provide the SEC with a written assessment of the operation of the CAT that meets the requirements of SEC Rule 613, Appendix D, and this Agreement.
(Bii) The Chief Compliance Officer shall oversee the assessment contemplated by Section 6.6(b)(i)(A6.6(a)(i) and shall provide the Participants a reasonable time to review and comment upon such assessment prior to its submission to the SEC. In no case shall the written assessment be changed or amended in response to a comment by a Participant; rather, any comment by a Participant shall be provided to the SEC at the same time as the written assessment.
Appears in 2 contracts
Sources: Limited Liability Company Agreement, Limited Liability Company Agreement