Affiliations. The Participant represents, covenants and warrants that, during the term of this Agreement, it will not be an affiliated person of a Fund, a promoter or a principal underwriter of a Fund or an affiliated person of such persons, except under section 2(a)(3)(A) or 2(a)(3)(C) of the 1940 Act due to ownership of Shares.
Appears in 6 contracts
Samples: Authorized Participant Agreement (Capitol Series Trust), Form of Authorized Participant Agreement (Uncommon Investment Funds Trust), Authorized Participant Agreement (New Age Alpha Trust)
Affiliations. The Participant represents, covenants and warrants that, during the term of this Agreement, it will not be an affiliated person of a Fund, a promoter or a principal underwriter of a Fund or an affiliated person of such persons, except under section 2(a)(3)(A) or 2(a)(3)(C) of the Investment Company Act of 1940, as amended (the “1940 Act Act”) due to ownership of Shares.
Appears in 2 contracts
Samples: Authorized Participant Agreement (Arrow Investments Trust), Authorized Participant Agreement (Northern Lights ETF Trust)
Affiliations. The Participant represents, covenants and warrants that, during the term of this Agreement, it will not be an affiliated person of a Fund, a promoter or a principal underwriter of a Fund or an affiliated person of such persons, except under section 2(a)(3)(A) or 2(a)(3)(C) of the 1940 Act due to ownership of Shares. The Participant shall give prompt notice to the Distributor, Transfer Agent and the Trust of any change to the foregoing status.
Appears in 1 contract
Samples: Authorized Participant Agreement (Texas Capital Funds Trust)
