the reports it files or submits under the Exchange Act are recorded, processed, summarized and reported, within the time limits specified in the rules and forms of the Commission, and are accumulated and communicated to the management of the Company, including including its mandating members of senior management or officers and key financial officer (s), as applicable, to enable timely decisions regarding disclosure.
(xxxvi) The Company and its officers and directors, as such, are in compliance in all material respects with the applicable provisions of SOX and the rules and regulations promulgated thereunder.
(xxxvii) Neither the Company nor any Subsidiary, nor, to the knowledge of the Company, any director, officer, employee or agent of the Company or of any Subsidiary has (a) used company funds for a contribution , a gift, entertainment or any other illegal expenditure connected with political activity, (b) made a direct or indirect illegal payment to an official or employee of a foreign or national government or to any other person from corporate funds , (c) has violated or is in violation of any provision of the Foreign Corrupt Practices Act, 1977, as amended (the ??FCPA??), the UK Bribery Act, or any other applicable bribery law (collectively, ??Anti-corruption laws??), (d) made a bribe, remittance, payment, influence payment, bribe or other illegal payment, or (e) received or retained funds in violation of any law, rule or regulation. The Company and its Subsidiaries have in place and maintain policies and procedures designed to ensure compliance with all applicable anti-corruption laws. Neither the Company nor any Subsidiary will use, directly or indirectly, the proceeds of the offering of the Notes hereunder in violation of applicable anti-corruption laws.
(xxxviii) Neither the Company nor the Subsidiaries nor, to the knowledge of the Company, any director, officer, agent, employee or affiliate of the Company or the Subsidiaries is currently subject to applicable US or foreign sanctions, including those administered by the Office of Foreign Assets Control of the US Department of the Treasury (??OFAC??) (a ??Person sanctioned??); and neither the Company nor the Subsidiaries will use, directly or indirectly, the proceeds of the offering of the Securities hereunder, nor will they lend, make or otherwise make available such product to any subsidiary, joint venture partner or other person or entity, for the purpose of funding the activities of any sanctioned person or in any country or territory currently subject to applicable US or foreign sanctions, including those administered by OFAC (a ??Sanctioned country??) or in any other manner which will result in a violation by any person (including any party to this Agreement) of any applicable US or foreign sanctions, including those administered by OFAC. Neither the Company nor the Subsidiaries have carried out any transactions or transactions with or for the benefit of a Sanctioned Person, or with or in a Sanctioned Country, during the previous 3 years, and the Company or the Subsidiaries have no plan to engage in any dealings or dealings with or for the benefit of a sanctioned person, or with or in a sanctioned country, in each case in a manner that would result in a violation of applicable US or foreign sanctions.
(xxxix) The operations of the Company and the Subsidiaries are and have been conducted at all times in accordance with the applicable record keeping and financial reporting requirements of the Currency and Foreign Transactions Reporting Act of 1970, as amended, the money laundering laws of all applicable jurisdictions, the rules and regulations under them and any related or similar rules, regulations or guidelines issued, administered or enforced by any government agency (collectively, the “Law on money laundering? ”), and no action, suit or proceeding by or before any court or any government agency, authority or body or any arbitrator involving the Company or the Subsidiaries with respect to the Money Laundering Laws. The money is pending or, to the knowledge of the Company, after due investigation, threatened.
(xl) Hercules Capital IV, LP, a wholly owned subsidiary of the Small Business Investment Company, was organized and operated as, and is currently organized and operated, in accordance with the requirements of the Small Business Investment Act of 1958 and the rules and regulations promulgated thereunder applicable to small investment firms.
(xli) With the exception of Gibraltar Business Capital, LLC and Hercules Adviser LLC, the Subsidiaries of the Company have no employees or employ any personnel.
(xlii) The Company (including its agents and representatives, other than the Underwriters in their capacity as such) has not made, used, prepared, authorized, approved or mentioned and will not prepare, make, use, authorize, approve or will refer to any ?? written communication ?? (as defined in Rule 405 under the