Common use of Code of Ethics Clause in Contracts

Code of Ethics. The Adviser has adopted a written code of ethics complying with the requirements of Rule 17j-1 under the Act and will provide the Trust with a copy of the code and evidence of its adoption. The Adviser will provide to the Board of Trustees of the Trust at least annually or as more frequently requested by the Trust a written report that describes any issues arising under the code of ethics since the last report to the Board of Trustees, including, but not limited to, information about material violations of the code and sanctions imposed in response to the material violations; and which certifies that the Adviser has adopted procedures reasonably necessary to prevent “access persons” (as that term is defined in Rule 17j-1) from violating the code.

Appears in 31 contracts

Samples: Investment Advisory Agreement (Northern Lights Fund Trust IV), Investment Advisory Agreement (Northern Lights Fund Trust IV), Investment Advisory Agreement (Northern Lights Fund Trust Iii)

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Code of Ethics. The Adviser has adopted a written code of ethics complying with the requirements of Rule 17j-1 under the Act and will provide the Trust with a copy of the code and evidence of its adoption. The Adviser will provide to the Board of Trustees of the Trust at least annually or as more frequently requested by the Trust a written report that describes any issues arising under the code of ethics since the last report to the Board of Trustees, including, but not limited to, information about material violations of the code and sanctions imposed in response to the material violations; and which certifies that the Adviser has adopted procedures reasonably necessary to prevent "access persons" (as that term is defined in Rule 17j-1) from violating the code.

Appears in 23 contracts

Samples: Investment Advisory Agreement (Northern Lights Fund Trust Iii), Investment Advisory Agreement (Northern Lights Fund Trust Iii), Investment Advisory Agreement (Northern Lights Fund Trust Iii)

Code of Ethics. The Adviser has adopted a written code of ethics complying with the requirements of Rule 17j-1 under the Act and will provide the Trust with a copy of the code and evidence of its adoption. The Adviser will provide to the Board of Trustees of the Trust at least annually or as more frequently requested by the Trust annualy a written report that describes any issues arising under the code of ethics since the last report to the Board of Trustees, including, but not limited to, information about material violations of the code and sanctions imposed in response to the material violations; and which certifies that the Adviser has adopted procedures reasonably necessary to prevent "access persons" (as that term is defined in Rule 17j-1) from violating the code.

Appears in 19 contracts

Samples: Investment Advisory Agreement (Northern Lights Fund Trust Iii), Investment Advisory Agreement (Northern Lights Fund Trust Iii), Investment Advisory Agreement (Northern Lights Fund Trust Iii)

Code of Ethics. The Adviser has adopted a written code of ethics complying with the requirements of Rule 17j-1 under the Act and will provide the Trust with a copy of the code and evidence of its adoption. The Adviser will provide to the Board of Trustees of the Trust at least annually or as more frequently reasonably requested by the Trust a written report that describes any issues arising under the code of ethics since the last report to the Board of Trustees, including, but not limited to, information about material violations of the code and sanctions imposed in response to the material violations; and which certifies that the Adviser has adopted procedures reasonably necessary to prevent “access persons” (as that term is defined in Rule 17j-1) from violating the code.

Appears in 4 contracts

Samples: Investment Advisory Agreement (Northern Lights Fund Trust IV), Investment Advisory Agreement (Northern Lights Fund Trust IV), Investment Advisory Agreement (Northern Lights Fund Trust IV)

Code of Ethics. The Adviser has adopted a written code of ethics complying with the requirements of Rule 17j-1 under the Act and will provide the Trust with a copy of the code and evidence of its adoption. The Adviser will provide to the Board of Trustees of the Trust at least annually or as more frequently requested by the Trust a written report that describes any issues arising under the code of ethics since the last report to the Board of Trustees, including, but not limited to, information about material violations of the code and sanctions imposed in response to the material violations; and which certifies that the Adviser has adopted procedures reasonably necessary to prevent “access persons” (as that term is defined in Rule 17j-1) from violating the code.

Appears in 4 contracts

Samples: Investment Advisory Agreement (Northern Lights Fund Trust Iii), Investment Advisory Agreement (Northern Lights Fund Trust Iii), Investment Advisory Agreement (Northern Lights Fund Trust Iii)

Code of Ethics. The Adviser has adopted a written code of ethics complying with the requirements of Rule 17j-1 under the Act and will provide the Trust with a copy of the code and evidence of its adoption. The Annually while this Agreement is in effect, the Adviser will provide to the Board of Trustees of the Trust at least annually or as more frequently requested by the Trust a written report that describes any issues arising under the code of ethics since the last report to the Board of Trustees, including, but not limited to, information about material violations of the code and sanctions imposed in response to the material violations; and which certifies that the Adviser has adopted procedures reasonably necessary to prevent "access persons" (as that term is defined in Rule 17j-1) from violating the code.

Appears in 2 contracts

Samples: Investment Advisory Agreement (Multi-Strategy Growth & Income Fund), Investment Advisory Agreement (Multi-Strategy Growth & Income Fund)

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Code of Ethics. The Adviser has adopted a written code of ethics complying with the requirements of Rule 17j-1 under the 1940 Act and will provide the Trust with a copy of the code and evidence of its adoption. The Adviser will provide to the Board of Trustees of the Trust at least annually or as more frequently requested by the Trust a written report that describes any issues arising under the code of ethics since the last report to the Board of Trustees, including, but not limited to, information about material violations of the code and sanctions imposed in response to the material violations; and which certifies that the Adviser has adopted procedures reasonably necessary to prevent “access persons” (as that term is defined in Rule 17j-1) from violating the code.

Appears in 2 contracts

Samples: Investment Advisory Agreement (Northern Lights Fund Trust IV), Investment Advisory Agreement (Northern Lights Fund Trust IV)

Code of Ethics. The Adviser has adopted a written code of ethics complying with the requirements of Rule 17j-1 17j-l under the Act and will provide the Trust with a copy of the code and evidence of its adoption. The Adviser will provide to the Board of Trustees of the Trust at least annually or as more frequently requested by the Trust a written report that describes any issues arising under the code of ethics since the last report to the Board of Trustees, including, but not limited to, information about material violations of the code and sanctions imposed in response to the material violations; and which certifies that the Adviser has adopted procedures reasonably necessary to prevent "access persons" (as that term is defined in Rule 17j-117j-l) from violating the code.

Appears in 1 contract

Samples: Investment Advisory Agreement (Northern Lights Fund Trust IV)

Code of Ethics. The Adviser has adopted a written code of ethics complying with the requirements of Rule 17j-1 17j- 1 under the 1940 Act and will provide the Trust with a copy of the code and evidence of its adoption. The Adviser will provide to the Board of Trustees of the Trust at least annually or as more frequently requested by the Trust a written report that describes any issues arising under the code of ethics since the last report to the Board of Trustees, including, but not limited to, information about material violations of the code and sanctions imposed in response to the material violations; and which certifies that the Adviser has adopted procedures reasonably necessary to prevent “access persons” (as that term is defined in Rule 17j-1) from violating the code.

Appears in 1 contract

Samples: Investment Advisory Agreement (Northern Lights Fund Trust IV)

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