Compliance and Other Matters. The Adviser, at its expense, shall provide the Manager with such compliance reports and certifications relating to its duties under this Agreement and the federal securities laws as may be agreed upon by such parties from time to time. The Adviser also shall:
Compliance and Other Matters. As part of obtaining reasonable assurance about whether the QSA JPA’s financial statements are free from material misstatement, we performed tests of its compliance with certain provisions of laws, regulations, contracts, and grant agreements, noncompliance with which could have a direct and material effect on the determination of financial statement amounts. However, providing an opinion on compliance with those provisions was not an objective of our audit, and accordingly, we do not express such an opinion. The results of our tests disclosed no instances of noncompliance or other matters that are required to be reported under Government Auditing Standards. Purpose of this Report The purpose of this report is solely to describe the scope of our testing of internal control and compliance and the results of that testing, and not to provide an opinion on the effectiveness of the QSA JPA’s internal control or on compliance. This report is an integral part of an audit performed in accordance with Government Auditing Standards in considering the QSA JPA’s internal control and compliance. Accordingly, this communication is not suitable for any other purpose.
Compliance and Other Matters. In furnishing services hereunder, the Sub-Adviser shall act in the best interests of each Fund and shall be subject to, and shall perform in accordance with, the following: (i) the Trust’s Agreement and Declaration of Trust and By-Laws, each as amended from time to time (“Governing Documents”); (ii) the currently effective Prospectus and Statement of Additional Information of the Trust, filed with the U.S. Securities and Exchange Commission (“SEC”) as part of the Trust’s registration statement on Form N-1A, as amended and/or supplemented (“Prospectus”); (iii) the Investment Company Act and the Advisers Act and the rules under each, and all other federal and state laws or regulations applicable to the Trust and the Fund(s); (iv) the Trust’s Compliance Manual and other policies and procedures adopted from time to time by the Trust Board; (v) in compliance with such investment guidelines or restrictions (including, but not limited to, factor targets and geographic ratios) established from time to time by the Adviser or the Trust which shall be communicated in writing by the Adviser to the Sub-Adviser in advance, and which may be amended by the Adviser or the Trust upon reasonable notice to the Sub-Adviser (“Guidelines”); and (vi) the written instructions of the Adviser (including, but not limited to, instructions to execute trades at the Adviser’s discretion to generate cash for payment of redemptions or fees, to reinvest cash, for general rebalancing and portfolio management purposes, and to facilitate tax-loss harvesting). Prior to the commencement of the Sub-Adviser’s services hereunder, the Adviser shall provide the Sub-Adviser with current copies of the Governing Documents, Prospectus, Compliance Manual, Guidelines and other relevant policies and procedures adopted by the Trust Board. The Adviser undertakes to provide the Sub-Adviser with copies or other written notice of any material amendments, modifications or supplements to any such above-mentioned document; provided however, that Sub-Adviser will have a reasonable opportunity to review and comment on, and a reasonable time to implement, any material amendment, modification or supplement to the Governing Documents, Prospectus, Compliance Manual, Guidelines and other relevant policies and procedures adopted by the Trust Board, with respect to its services under this Agreement, before Sub-Adviser will be obligated under this Agreement to adhere to any such amendment, modification or supplement. The Adv...
Compliance and Other Matters. The Lead Adviser, at its expense, shall provide the Manager with such compliance reports and certifications relating to its duties under this Agreement and the federal securities laws as may be agreed upon by such parties from time to time. The Lead Adviser also shall:
Compliance and Other Matters. As part of obtaining reasonable assurance about whether the Fund’s financial statements are free from material misstatement, we performed tests of its compliance with certain provisions of laws, regulations, contracts, and grant agreements, noncompliance with which could have a direct and material effect on the determination of financial statement amounts. However, providing an opinion on compliance with those provisions was not an objective of our audit, and accordingly, we do not express such an opinion. The results of our tests disclosed no instances of noncompliance or other matters that are required to be reported under Government Auditing Standards. Purpose of this Report The purpose of this report is solely to describe the scope of our testing of internal control and compliance and the results of that testing, and not to provide an opinion on the effectiveness of the entity’s internal control or on compliance. This report is an integral part of an audit performed in accordance with Government Auditing Standards in considering the entity’s internal control and compliance. Accordingly, this communication is not suitable for any other purpose. Atlanta, Georgia January 19, 2017 BeltLine Tax Allocation District Annual Estimate of Tax Allocation Increment Continuing Disclosure Agreement Dated December 15, 2009 Section †(b)(ii)
Compliance and Other Matters. The Adviser, at its expense, shall provide the Manager with such compliance reports and certifications relating to its duties under this Agreement and the federal securities laws as may be agreed upon by such parties from time to time. The Adviser also shall: (i) continue to be a duly formed legal entity, validly existing under the laws of its jurisdiction of formation, fully authorized to enter into this Agreement and carry out its duties and obligations hereunder; (ii) be registered as an investment adviser with the U.S. Securities and Exchange Commission (the "SEC") under the Advisers Act, and be registered or licensed as an investment adviser under the laws of all jurisdictions in which its activities require to be so registered or licensed, except where the failure to be so licensed would not have an adverse effect on the Adviser, Manager or Company. The Adviser shall maintain such registration or license in effect and in good standing at all times during the term of this Agreement; (iii) be registered with the CFTC as a commodity trading advisor and be a member of the NFA. The Adviser shall maintain such registrations and memberships in effect and in good standing at all times during the term of this Agreement. (iv) at all times provide its best judgment and effort to the Manager and the Company in carrying out its obligations hereunder; (v) use the same care and skill in providing such services as it uses in providing services to other similar accounts for which it has investment management responsibilities; (vi) (a) cooperate with and provide reasonable assistance to the Manager, the Company’s administrator, custodian, transfer agent and pricing agents and all other agents and representatives of the Company, the Trust and the Manager; (b) keep all such persons fully informed as to such matters as they may reasonably deem necessary to the performance of their obligations to the Company, the Trust and the Manager; (c) provide prompt responses to reasonable requests made by such persons; and (d) maintain any appropriate interfaces with each so as to promote the efficient exchange of information. Without limitation of the foregoing, the Adviser shall comply with all statutory and regulatory requirements relating to derivatives transactions entered into by the Adviser for or on behalf of the Company, including without limitation, compliance with all recordkeeping and reporting requirements pursuant to Parts 43, 45 and 46 of the regulations of the CFTC (...
Compliance and Other Matters. As part of obtaining reasonable assurance about whether the QSA JPA’s financial statements are free from material misstatement, we performed tests of its compliance with certain provisions of laws, regulations, contracts, and grant agreements, noncompliance with which could have a direct and material effect on the determination of financial statement amounts. However, providing an opinion on compliance with those provisions was not an objective of our audit, and accordingly, we do not express such an opinion. The results of our tests disclosed no instances of noncompliance or other matters that are required to be reported under Government Auditing Standards. Purpose of this Report The purpose of this report is solely to describe the scope of our testing of internal control and compliance and the results of that testing, and not to provide an opinion on the effectiveness of the QSA JPA’s internal control or on compliance. This report is an integral part of an audit performed in accordance with Government Auditing Standards in considering the QSA JPA’s internal control and compliance. Accordingly, this communication is not suitable for any other purpose. Irvine, California November 8, 2019 To the Board of Commissioners Of the Quantification Settlement Agreement Joint Powers Authority We have audited the financial statements of the governmental activities and the general fund of the Quantification Settlement Agreement Joint Powers Authority (“QSA JPA”) for the year ended June 30, 2019. Professional standards require that we provide you with information about our responsibilities under generally accepted auditing standards and Government Auditing Standards, as well as certain information related to the planned scope and timing of our audit. We have communicated such information in our letter dated June 5, 2019. Professional standards also require that we communicate to you the following information related to our audit.
Compliance and Other Matters. As part of obtaining reasonable assurance about whether the Gas Departments’ financial statements are free from material misstatement, we performed tests of its compliance with certain provisions of laws, regulations, contracts, and grant agreements, noncompliance with which could have a direct and material effect on the determination of financial statement amounts. However, providing an opinion on compliance with those provisions was not an objective of our audit, and accordingly, we do not express such an opinion. The results of our tests disclosed no instances of noncompliance or other matters that are required to be reported under Government Auditing Standards. Purpose of this Report The purpose of this report is solely to describe the scope of our testing of internal control and compliance and the results of that testing, and not to provide an opinion on the effectiveness of the entity’s internal control or on compliance. This report is an integral part of an audit performed in accordance with Government Auditing Standards in considering the entity’s internal control and compliance. Accordingly, this communication is not suitable for any other purpose. HintonBurdick, PLLC St. Xxxxxx, Utah January 23, 2018 MEMBERS: XXXX X. XXXXXXXX, CPA XXXXXX X. XXXXXX, CPA XXXX X. XXXXXXXXXXX, CPA XXXXXX X. XXX, CPA XXXXXXX X. XXXXXXX, CPA XXXX X. XXXXXXX, CPA XXXXX X. XXXXXXXX, CPA X. XXXX XXXXX, CPA XXXX X. XXXXXXXX, CPA XXXXXX X. XXXXXXX, CPA XXXXXXX X. XXXXXXXXX, CPA XXXX X. XXXX, CPA XXXXXXX X. XXXXX, CPA Findings and Recommendations Executive Director and Members of the Board of Trustees of Hildale/Colorado City Utility Systems During our audit of the Gas Departments of Hildale/Colorado City (the Gas Departments) for the year ended June 30, 2017, we noted a few areas that need corrective action in order to be in compliance with laws and regulations and we found a few circumstances that, if improved, would strengthen the Gas Departments' accounting system and control over its assets. Since the Gas Departments' accounting system is fully integrated with Hildale City’s accounting system, we have included all of our findings and recommendations in the Hildale City management letter, which is made available to each participating governing body. It has been a pleasure to be of service to the Gas Departments this past year. We would like to express special thanks to all those who assisted us in this year's audit. We invite you to ask questions of us throughout the yea...
Compliance and Other Matters. The Employee agrees to the following:
Compliance and Other Matters. As part of obtaining reasonable assurance about whether the District's Measure M General Obligation Bond Fund (Measure M) financial statements are free of material misstatement, we performed tests of its compliance with certain provisions of laws, regulations, contracts, and grant agreements, noncompliance with which could have a direct and material effect on the determination of financial statement amounts. However, providing an opinion on compliance with those provisions was not an objective of our audit and, accordingly, we do not express such an opinion. The results of our testing disclosed no instances of noncompliance or other matters that are required to be reported under Government Auditing Standards. Purpose of this Report The purpose of this report is solely to describe the scope of our testing of internal control and compliance and the results of that testing, and not to provide an opinion on the effectiveness of the Measure M General Obligation Bond Fund (Measure M) internal control or on compliance. This report is an integral part of an audit performed in accordance with Government Auditing Standards in considering the Measure M General Obligation Bond Fund (Measure M) internal control and compliance. Accordingly, this communication is not suitable for any other purpose. San Diego, California December 20, 2016 SCHEDULE OF FINDINGS AND QUESTIONED COSTS None reported. There were no audit findings reported in the prior year's Financial Statement Findings. PALOMAR COMMUNITY COLLEGE DISTRICT MEASURE M GENERAL OBLIGATION BONDS ELECTION 2006 PERFORMANCE AUDIT JUNE 30, 2016 PALOMAR COMMUNITY COLLEGE DISTRICT MEASURE M GENERAL OBLIGATION BOND FUND PERFORMANCE AUDIT TABLE OF CONTENTS JUNE 30, 2016 Independent Auditor's Report on Performance 1 Authority for Issuance 2 Purpose of Issuance 2 Authority for the Audit 2 Objectives of the Audit 3 Scope of the Audit 3 Procedures Performed 3 Conclusion 4 Schedule of Findings and Questioned Costs 5 Summary Schedule of Prior Audit Findings 7 INDEPENDENT AUDITOR'S REPORT ON PERFORMANCE Board of Trustees and Citizens' Oversight Committee Palomar Community College District San Marcos, California We were engaged to conduct a performance audit of Palomar Community College District's (the District) Measure M General Obligation Bond Fund (General Obligation Bonds, Election 2006) for the year ended June 30, 2016. We conducted this performance audit in accordance with the standards applicable to performance audits containe...
