Basic Business Records. The Adviser will maintain true, accurate, current, and complete copies, where necessary, of each of the following books and records:
Basic Business Records. The Adviser shall comply with the applicable record-keeping requirements of a registered investment adviser of a registered investment company outlined in the 1940 Act and in the Investment Advisers Act of 1940, as amended (the “Advisers Act”), and as otherwise set forth in Exhibit A.
Basic Business Records. The Adviser shall comply with the applicable record-keeping requirements of a registered investment adviser of a registered investment company outlined in the 1940 Act and in the Advisers Act, and as otherwise set forth in Exhibit A. 7. Status of Adviser. It is understood that Adviser performs investment advisory services for various clients other than the Company. The Company agrees that Adviser may give advice and take action in the performance of its duties with respect to any of its other clients which may differ from advice given, or the time or nature of action taken, with respect to the Company, so long as it is Adviser's policy, to the extent practical, to seek to allocate investment opportunities to the Company over a period of time on a fair and equitable basis relative to other clients. Nothing in this Agreement shall be deemed to impose upon Adviser any obligation to purchase or sell for the Company any security or property which Adviser, its principals, affiliates or employees may purchase or sell for its or their own accounts or for the account of any other client, if in the sole discretion of Adviser such transaction or investment appears unsuitable, impractical or undesirable for the Company.
Basic Business Records. The Adviser will maintain true, accurate, current, and complete copies, where necessary, of each of the following books and records: a. Originals of all written communications received and copies of all written communications sent by the Adviser relating to: (1) recommendations or advice given or proposed; b. A list of all discretionary accounts; x. Xxxxxx of attorney and other evidences of the granting of any discretionary authority; d. Written agreements (or copies thereof) entered into by the Adviser on behalf of the Company; e. A copy of each written disclosure statement and amendment or revision given to any person and a record of the dates and persons to whom such statements were given or offered to be given; f. All written acknowledgments of receipt obtained from advisory clients relating to disclosure of soliciting fees paid by the Adviser and copies of all disclosure statements delivered to advisory clients by such solicitors on behalf of the Company. 2.
Basic Business Records. The Adviser will maintain true, accurate, current, and complete copies, where necessary, of each of the following books and records: a. Originals of all written communications received and copies of all written communications sent by the Adviser relating to recommendations or advice given or proposed; b. A list of all discretionary accounts; x. Xxxxxx of attorney and other evidences of the granting of any discretionary authority; d. Written agreements (or copies thereof) entered into by the Adviser on behalf of the Company; e. A copy of each written disclosure statement and amendment or revision given to any person and a record of the dates and persons to whom such statements were given or offered to be given; and f. All written acknowledgments of receipt obtained from advisory clients relating to disclosure of soliciting fees paid by the Adviser and copies of all disclosure statements delivered to advisory clients by such solicitors on behalf of the Company. b) 2. Records pursuant to the Adviser's Code of Ethics a. A record of any violation of the Adviser's Code of Ethics, and any action taken as a result of the violation, in an easily accessible place for at least five years after the end of the fiscal year in which the violation occurs; b. A copy of each report made by an Access Person as required by Rule 17j- 1(f) under the 1940 Act, including any information provided in lieu of the reports under Rule 17j-1(d)(2)(v), in an easily accessible place for at least five years after the end of the fiscal year in which the report is made or the information is provided; c. A record of all persons, currently or within the past five years, who are or were required to make reports under Rule 17j-1(d) or who are or were responsible for reviewing these reports, in an easily accessible place; and d. A copy of each report required by Rule 17j-1(c), for at least five years after the end of the fiscal year in which it is made, the first two years in an easily accessible place.
