Annual Review. The Rule requires that, at least annually, the Trust review its Compliance Program and that of its Service Providers and the effectiveness of their respective implementations (the “Annual Review”). The CCO shall perform the Annual Review for the Trust. The first Annual Review shall be completed no later than the Effective Date.
Appears in 20 contracts
Samples: Compliance Officer Services Agreement (Financial Investors Trust), Compliance Officer Services Agreement (Financial Investors Trust), Compliance Officer Services Agreement (Financial Investors Trust)
Annual Review. The Rule requires that, at least annually, the Trust review its Compliance Program and that of its Service Providers and the effectiveness of their respective implementations (the “Annual Review”). The CCO shall perform the Annual Review for the Trust. The first Annual Review shall be completed no later than the Effective Date.
Appears in 13 contracts
Samples: Chief Compliance Officer Services Agreement (Clough Funds Trust), Officer Services Agreement (Financial Investors Trust), Chief Compliance Officer Services Agreement (Reaves Utility Income Fund)
Annual Review. The Rule requires that, at least annually, the Trust review its Compliance Program and that of its Service Providers and the effectiveness of their respective implementations (the “Annual Review”). The CCO shall perform the Annual Review for the Trust. The first Annual Review shall be completed no later than the Effective DateApril 1, 2006.
Appears in 3 contracts
Samples: Chief Compliance Officer Services Agreement (SPDR Dow Jones Industrial Average Etf Trust), Chief Compliance Officer Services Agreement (SPDR S&p 500 Etf Trust), Chief Compliance Officer Services Agreement (SPDR S&p Midcap 400 Etf Trust)
Annual Review. The Rule requires that, at least annually, the Trust review its Compliance Program and that of its Service Providers and the effectiveness of their respective implementations (the “Annual Review”). The CCO shall perform the Annual Review for the Trust. The first Annual Review shall be completed no later than the Effective Dateregularly scheduled Board meeting following one year after the effective date of registration of the Trust.
Appears in 3 contracts
Samples: Chief Compliance Officer Services Agreement (XAI Octagon Floating Rate & Alternative Income Term Trust), Chief Compliance Officer Services Agreement (XAI Octagon Floating Rate & Alternative Income Term Trust), Chief Compliance Officer Services Agreement (Broadstone Real Estate Access Fund)
Annual Review. The Rule requires that, at least annually, the Trust review its Compliance Program and that of its Service Providers and the effectiveness of their respective implementations (the “Annual Review”)) as well as an assessment of other relevant compliance and risk matters. The CCO shall perform the Annual Review for the Trust. The first Annual Review shall be completed no later than the Effective Dateregularly scheduled Board meeting following one year after the effective date of registration of the Funds.
Appears in 2 contracts
Samples: Form of Chief Compliance Officer Services Agreement (Harvest Volatility Edge Trust), Chief Compliance Officer Services Agreement (Harvest Volatility Edge Trust)
Annual Review. The Rule requires that, at least annually, the Trust review its Compliance Program and that of its Service Providers and the effectiveness of their respective implementations (the “Annual Review”). The CCO shall perform the Annual Review for the Trust. The first Annual Review shall be completed no later than the regularly scheduled Board meeting following one year after the Effective DateDate of registration of the Funds.
Appears in 2 contracts
Samples: Chief Compliance Officer Services Agreement (Elevation ETF Trust), Chief Compliance Officer Services Agreement (Elevation ETF Trust)
Annual Review. The Rule requires that, at least annually, the Trust review its Compliance Program and that of its Service Providers and the effectiveness of their respective implementations (the “Annual Review”). The CCO shall perform the Annual Review for the Trust. The first Annual Review shall be completed no later than the Effective Dateregularly scheduled Board meeting following one year after the effective date of the registration of the first series of the Trust.
Appears in 2 contracts
Samples: Compliance Officer Services Agreement (Goehring & Rozencwajg Investment Funds), Compliance Officer Services Agreement (Goehring & Rozencwajg Investment Funds)
Annual Review. The Rule 38a-1 requires that, at least annually, the Trust review its Compliance Program and that of its Service Providers and the effectiveness of their respective implementations (the “Annual Review”). The CCO shall perform the Annual Review for the Trust. The first Annual Review shall be completed no later than the Effective Dateregularly scheduled Board meeting following one year after the commencement of the CCO Services.
Appears in 2 contracts
Samples: Services Agreement (X-Square Series Trust), Services Agreement (GraniteShares ETF Trust)
Annual Review. The Rule requires that, at least annually, the Trust review its Compliance Program and that of its Service Providers and the effectiveness of their respective implementations (the “Annual Review”). The CCO shall perform the Annual Review for the Trust. The first Annual Review shall be completed no later than the Effective Date_________, 2010.
Appears in 1 contract
Samples: Compliance Officer Services Agreement (Transparent Value Trust)
Annual Review. The Rule requires that, at least annually, the Trust review its Compliance Program and that of its Service Providers and the effectiveness of their respective implementations (the “Annual Review”). The CCO shall perform the Annual Review for the Trust. The first Annual Review shall be completed no later than the Effective DateDecember 30, 2010.
Appears in 1 contract
Samples: Compliance Officer Services Agreement (Financial Investors Trust)
Annual Review. The Rule requires that, at least annually, the Trust review its Compliance Program and that of its Service Providers and the effectiveness of their respective implementations (the “Annual Review”). The CCO shall perform the Annual Review for the Trust. The first Annual Review shall be completed no later than the Effective Date, 2008.
Appears in 1 contract
Samples: Chief Compliance Officer Services Agreement (Financial Investors Trust)
Annual Review. The Rule requires that, at least annually, the Trust review its Compliance Program and that of its Service Providers and the effectiveness of their respective implementations (the “Annual Review”). The CCO shall perform the Annual Review for the Trust. The first Annual Review shall be completed no later than the Effective Dateregularly scheduled Board meeting following one year after the effective date of registration of the Funds.
Appears in 1 contract
Samples: Compliance Officer Services Agreement (Financial Investors Trust)
Annual Review. The Rule requires that, at least annually, the Trust review its Compliance Program and that of its Service Providers and the effectiveness of their respective implementations (the “Annual Review”). The CCO shall perform the Annual Review for the Trust. The first Annual Review shall be completed no later than the Effective Date.
Appears in 1 contract
Samples: Chief Compliance Officer Services Agreement (Reality Shares ETF Trust)
Annual Review. The Rule requires that, at least annually, the Trust review its Compliance Program and that of its Fund Service Providers and the effectiveness of their respective implementations (the “Annual Review”). The CCO shall perform the Annual Review for the Trust. The first Annual Review shall be completed no later than the Effective DateJune 30, 2014.
Appears in 1 contract
Samples: Chief Compliance Officer Services Agreement (Principal Real Estate Income Fund)
Annual Review. The Rule requires that, at least annually, the Trust review its Compliance Program and that of its Service Providers and the effectiveness of their respective implementations (the “Annual Review”). The CCO shall perform the Annual Review for the Trust. The first Annual Review shall be completed no later than the Effective DateJune 30, 2010.
Appears in 1 contract
Samples: Chief Compliance Officer Services Agreement (Cook & Bynum Funds Trust)
Annual Review. The Rule requires that, at least annually, the Trust review its Compliance Program and that of its Service Providers and the effectiveness of their respective implementations (the “Annual Review”). The CCO shall perform the Annual Review for the Trust. The first Annual Review shall be completed no later than the Effective DateMay, 2013.
Appears in 1 contract
Samples: Chief Compliance Officer Services Agreement (Wakefield Alternative Series Trust)
Annual Review. The Rule requires that, at least annually, the Trust review its Compliance Program and that of its Service Providers and the effectiveness of their respective implementations (the “Annual Review”). The CCO shall perform the Annual Review for the Trust. The first Annual Review shall be completed no later than the Effective DateSeptember 30, 2014.
Appears in 1 contract
Samples: Chief Compliance Officer Services Agreement (Broadview Funds Trust)
Annual Review. The Rule requires that, at least annually, the Trust review its Compliance Program and that of its Service Providers and the effectiveness of their respective implementations (the “Annual Review”). The CCO shall perform the Annual Review for the Trust. The first Annual Review shall be completed no later than the Effective Date, 2015.
Appears in 1 contract
Samples: Chief Compliance Officer Services Agreement (ALPS ETF Trust)
Annual Review. The Rule requires that, at least annually, the Trust review its Compliance Program and that of its Service Providers and the effectiveness of their respective implementations (the “Annual Review”). The CCO shall perform the Annual Review for the Trust. The first Annual Review shall be completed no later than the Effective DateSeptember 30, 2015.
Appears in 1 contract
Samples: Chief Compliance Officer Services Agreement (Reality Shares ETF Trust)
Annual Review. The Rule requires that, at least annually, the Trust review its Compliance Program and that of its Service Providers and the effectiveness of their respective implementations (the “Annual Review”). The CCO shall perform the Annual Review for the Trust. The first Annual Review shall be completed no later than the Effective DateJune 28, 2012.
Appears in 1 contract
Samples: Chief Compliance Officer Services Agreement (Centre Funds)
Annual Review. The Rule requires that, at least annually, the Trust review its Compliance Program and that of its Service Providers and the effectiveness of their respective implementations (the “Annual Review”). The CCO shall perform the Annual Review for the Trust. The first Annual Review shall be completed no later than the Effective DateDecember 31, 2010.
Appears in 1 contract
Samples: Compliance Officer Services Agreement (Transparent Value Trust)
Annual Review. The Rule requires that, at least annually, the Trust review its Compliance Program and that of its Service Providers and the effectiveness of their respective implementations (the “Annual Review”). The CCO shall perform the Annual Review for the Trust. The first Annual Review shall be completed no later than the Effective Date, 200 .
Appears in 1 contract
Samples: Chief Compliance Officer Services Agreement (Financial Investors Trust)
