Common use of Compliance Certification Clause in Contracts

Compliance Certification. From time to time the Sub-Adviser shall provide such certifications with respect to Rule 38a-1 under the 1940 Act, as are reasonably requested by the Fund or the Manager. In addition, the Sub-Adviser will, from time to time, provide a written assessment of its compliance program in conformity with current industry standards that is reasonably acceptable to the Fund to enable the Fund to fulfill its obligations under Rule 38a-1 under the 1940 Act.

Appears in 29 contracts

Samples: Investment Sub Advisory Agreement (First Trust Exchange-Traded Fund Viii), Investment Sub Advisory Agreement (First Trust Exchange-Traded Fund Viii), Investment Sub Advisory Agreement (First Trust Exchange-Traded Fund Viii)

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Compliance Certification. From time to time as requested by the Trust, Fund or Adviser, the Sub-Adviser shall provide such certifications with respect to Rule 38a-1 under the 1940 ActInvestment Company Act of 1940, as amended, as are reasonably requested by the Fund or the ManagerAdviser. In addition, the Sub-Adviser will, from time to time, provide a written assessment of its compliance program in conformity with current industry standards that is reasonably acceptable to the Fund to enable the Fund to fulfill its obligations under Rule 38a-1 under of the 1940 ActInvestment Company Act of 1940, as amended.

Appears in 20 contracts

Samples: Investment Sub Advisory Agreement (Destra Investment Trust), Investment Sub Advisory Agreement (Destra Investment Trust II), Investment Sub Advisory Agreement (Destra Investment Trust)

Compliance Certification. From time to time the Sub-Adviser shall provide such certifications with respect to Rule 38a-1 under the 1940 Act, Act as are reasonably requested by the Fund or the Manager. In addition, the Sub-Adviser will, from time to time, provide a written assessment of its compliance program in conformity with current industry standards that is reasonably acceptable to the Fund to enable the Fund to fulfill its obligations under Rule 38a-1 under the 1940 Act.

Appears in 18 contracts

Samples: Sub Advisory Agreement (First Trust Dynamic Europe Equity Income Fund), Investment Sub Advisory Agreement (First Trust Exchange-Traded Fund Iv), Sub Advisory Agreement (First Trust Enhanced Equity Income Fund)

Compliance Certification. From time to time the Sub-Adviser shall provide such certifications with respect to Rule 38a-1 under the 1940 Act, Act as are reasonably requested by the a Fund or the Manager. In addition, the Sub-Adviser will, from time to time, provide a written assessment of its compliance program in conformity with current industry standards that is reasonably acceptable to the respective Fund to enable the such Fund to fulfill its obligations under Rule 38a-1 under the 1940 Act.

Appears in 13 contracts

Samples: Investment Sub Advisory Agreement (First Trust Exchange-Traded Fund Viii), Investment Sub Advisory Agreement (First Trust Exchange-Traded Fund Iv), Investment Sub Advisory Agreement (First Trust Exchange-Traded Fund Viii)

Compliance Certification. From time to time the Sub-Sub-Adviser shall provide such certifications with respect to Rule 38a-1 under the 1940 Act, as are reasonably requested by the Fund Fund, the Manager or the ManagerSub-Adviser. In addition, the Sub-Sub-Adviser will, from time to time, provide a written assessment of its compliance program in conformity with current industry standards that is reasonably acceptable to the Fund to enable the Fund to fulfill its obligations under Rule 38a-1 under the 1940 Act.

Appears in 6 contracts

Samples: Investment Sub Sub Advisory Agreement (First Trust Exchange-Traded Fund Iv), Investment Sub Sub Advisory Agreement (First Trust Exchange-Traded Fund Iv), Investment Sub Sub Advisory Agreement (First Trust Exchange-Traded Fund Iv)

Compliance Certification. From time to time the Sub-Adviser shall provide such certifications with respect to Rule 38a-1 under the 1940 Act, Act as are reasonably requested by the Fund or the Manager. In addition, the Sub-Adviser will, from time to time, provide a written assessment of its compliance program in conformity with current industry standards that is reasonably acceptable to the Fund to enable the Fund to fulfill its obligations under Rule 38a-1 under the 1940 Act.

Appears in 6 contracts

Samples: Investment Management Agreement (First Trust Strategic High Income Fund Iii), Investment Management Agreement (First Trust Strategic High Income Fund), Investment Management Agreement (First Trust Strategic High Income Fund Ii)

Compliance Certification. From time to time time, the Sub-Adviser shall provide such certifications with respect to Rule 38a-1 under the 1940 Act, as are reasonably requested by the a Fund or the Manager. In addition, the Sub-Adviser will, from time to time, provide a written assessment of its compliance program in conformity with current industry standards that is reasonably acceptable to the Fund to enable the Fund to fulfill its obligations under Rule 38a-1 under the 1940 Act.

Appears in 5 contracts

Samples: Investment Sub Advisory Agreement (First Trust Exchange-Traded Fund III), Investment Sub Advisory Agreement (First Trust Exchange-Traded Fund III), Investment Sub Advisory Agreement (First Trust Exchange-Traded Fund III)

Compliance Certification. From time to time time, the Sub-Adviser shall provide such certifications with respect to Rule 38a-1 under the 1940 Act, Act as are reasonably requested by the Fund or the Manager. In addition, the Sub-Adviser will, from time to time, provide a written assessment of its compliance program in conformity with current industry standards that is reasonably acceptable to the Fund to enable the Fund to fulfill its obligations under Rule 38a-1 under the 1940 Act.

Appears in 5 contracts

Samples: Investment Sub Advisory Agreement (First Trust Exchange-Traded Fund Viii), Investment Sub Advisory Agreement (First Trust Exchange-Traded Fund Viii), Investment Sub Advisory Agreement (First Trust Exchange-Traded Fund Viii)

Compliance Certification. From time to time time, the Sub-Adviser shall provide such certifications with respect to Rule 38a-1 under the 1940 Act, as are reasonably requested by the Fund or the Manager. In addition, the Sub-Adviser will, from time to time, provide a written assessment of its compliance program in conformity with current industry standards that is reasonably acceptable to the Fund to enable the Fund to fulfill its obligations under Rule 38a-1 under the 1940 Act.

Appears in 4 contracts

Samples: Interim Investment Sub Advisory Agreement (First Trust Exchange-Traded Fund III), Investment Sub Advisory Agreement (First Trust Exchange-Traded Fund Iv), Investment Sub Advisory Agreement (First Trust Exchange-Traded Fund III)

Compliance Certification. From time to time the Sub-Adviser shall provide such certifications with respect to Rule 38a-1 under the 1940 ActInvestment Company Act of 1940, as amended, as are reasonably requested by the Fund or the Manager. In addition, the Sub-Adviser will, from time to time, provide a written assessment of its compliance program in conformity with current industry standards that is reasonably acceptable to the Fund to enable the Fund to fulfill its obligations under Rule 38a-1 under of the 1940 ActInvestment Company Act of 1940, as amended.

Appears in 3 contracts

Samples: Sub Advisory Agreement (First Trust Active Dividend Income Fund), Sub Advisory Agreement (First Trust/Gallatin Specialty Finance & Financial Opportunities Fund), Sub Advisory Agreement (First Trust Active Dividend Income Fund)

Compliance Certification. From time to time as requested by the Company, Trust, Fund or Adviser, the Sub-Adviser shall provide such certifications with respect to Rule 38a-1 under the 1940 ActInvestment Company Act of 1940, as amended, as are reasonably requested by the Company, Trust, Fund or the ManagerAdviser. In addition, the Sub-Adviser will, from time to time, provide a written assessment of its compliance program in conformity with current industry standards that is reasonably acceptable to the Fund and Company to enable the Fund and/or Company to fulfill its obligations under Rule 38a-1 under of the 1940 ActInvestment Company Act of 1940, as amended.

Appears in 3 contracts

Samples: Investment Sub Advisory Agreement (Destra Investment Trust), Investment Sub Advisory Agreement (Destra Investment Trust), Investment Sub Advisory Agreement (Destra Investment Trust)

Compliance Certification. From time to time the Sub-Adviser shall provide such certifications with respect to Rule 38a-1 under the 1940 Act, Act as are reasonably requested by the Fund or the Manager. In addition, the Sub-Adviser will, from time to time, provide a written assessment of its compliance program in conformity with current industry standards that is reasonably acceptable to the Fund to enable the Fund Fund, the Board of Trustees and the Fund's Chief Compliance Officer to fulfill its their obligations under Rule 38a-1 under the 1940 Act.

Appears in 3 contracts

Samples: Sub Advisory Agreement (First Trust Mortgage Income Fund), Interim Investment Sub Advisory Agreement (First Trust Mortgage Income Fund), Sub Advisory Agreement (First Trust Mortgage Income Fund)

Compliance Certification. From time to time the Sub-Adviser shall provide such certifications with respect to Rule 38a-1 under the 1940 Act, as are reasonably requested by the Fund or the Manager. In addition, the Sub-Adviser will, from time to time, provide a written assessment of its compliance program in conformity with current industry standards that is reasonably acceptable to the Fund to enable the Fund to fulfill its obligations under Rule 38a-1 under the 1940 Act.

Appears in 2 contracts

Samples: Interim Investment Sub Advisory Agreement (First Trust Active Dividend Income Fund), Sub Advisory Agreement (First Trust Active Dividend Income Fund)

Compliance Certification. From time to time as requested by the Trust, Fund or Adviser, the Sub-Adviser shall provide such certifications with respect to Rule 38a-1 under the 1940 Act, as are reasonably requested by the Fund or the ManagerAdviser. In addition, the Sub-Adviser will, from time to time, provide a written assessment of its compliance program in conformity with current industry standards that is reasonably acceptable to the Fund to enable the Fund to fulfill its obligations under Rule 38a-1 under the 1940 Act.

Appears in 2 contracts

Samples: Sub Advisory Agreement (Destra Investment Trust), Investment Sub Advisory Agreement (Destra Investment Trust)

Compliance Certification. From time to time the Sub-Adviser shall provide such certifications with respect to Rule 38a-1 38a‑1 under the 1940 ActInvestment Company Act of 1940, as amended, as are reasonably requested by the Fund or the Manager. In addition, the Sub-Adviser will, from time to time, provide a written assessment of its compliance program in conformity with current industry standards that is reasonably acceptable to the Fund to enable the Fund to fulfill its obligations under Rule 38a-1 38a‑1 under the 1940 ActInvestment Company Act of 1940, as amended.

Appears in 2 contracts

Samples: New Investment Sub Advisory Agreement (Integrity Funds), Agreement (Integrity Funds)

Compliance Certification. From time to time the Sub-Adviser Sub‑Adviser shall provide such certifications with respect to Rule 38a-1 38a‑1 under the 1940 Act, as are reasonably requested by the Fund or the Manager. In addition, the Sub-Adviser Sub‑Adviser will, from time to time, provide a written assessment of its compliance program in conformity with current industry standards that is reasonably acceptable to the Fund to enable the Fund to fulfill its obligations under Rule 38a-1 38a‑1 under the 1940 Act.

Appears in 2 contracts

Samples: Investment Sub‑advisory Agreement (Amplify ETF Trust), Investment Sub‑advisory Agreement (Amplify ETF Trust)

Compliance Certification. From time to time the Sub-Sub- Adviser shall provide such certifications with respect to Rule 38a-1 under the 1940 Act, as are reasonably requested by the Fund or the Manager. In addition, the Sub-Adviser will, from time to time, provide a written assessment of its compliance program in conformity with current industry standards that is reasonably acceptable to the Fund to enable the Fund to fulfill its obligations under Rule 38a-1 under of the 1940 Act.

Appears in 2 contracts

Samples: Interim Investment Sub Advisory Agreement (First Trust Enhanced Equity Income Fund), Interim Investment Sub Advisory Agreement (Energy Income & Growth Fund)

Compliance Certification. From time to time the Sub-Adviser shall provide such certifications with respect to Rule 38a-1 under the 1940 Act, as are reasonably requested by the Fund or the Manager. In addition, the Sub-Adviser will, from time to time, provide a written assessment of its compliance program in conformity with current industry standards that is reasonably acceptable to the Fund to enable the Fund to fulfill its obligations under Rule 38a-1 under of the 1940 Act.

Appears in 2 contracts

Samples: Sub Advisory Agreement (First Trust Active Dividend Income Fund), Interim Investment Sub Advisory Agreement (First Trust Active Dividend Income Fund)

Compliance Certification. From time to time the Sub-Adviser shall provide on behalf of itself and its affiliates that provide services or otherwise transact with the Fund (the "Affiliates") such certifications with respect to Rule 38a-1 under the 1940 Act, as are reasonably requested by the Fund or the Manager. In addition, the Sub-Adviser will, from time to time, provide a written assessment of its and its Affiliates' compliance program program(s) in conformity with current industry standards that is reasonably acceptable to the Fund to enable the Fund to fulfill its obligations under Rule 38a-1 under the 1940 Act.

Appears in 2 contracts

Samples: Sub Advisory Agreement (First Trust Series Fund), Sub Advisory Agreement (First Trust Series Fund)

Compliance Certification. From time to time time, the Sub-Adviser shall provide such certifications with respect to Rule 38a-1 under the 1940 Act, Act as if such Company was a registered investment company as are reasonably requested by the Fund Company or the ManagerAdviser. In addition, the Sub-Adviser will, from time to time, provide a written assessment of its compliance program in conformity with current industry standards that is reasonably acceptable to the Fund Adviser and Company to enable the Fund to fulfill its obligations under Rule 38a-1 under the 1940 Act.

Appears in 2 contracts

Samples: Investment Sub Advisory Agreement (First Trust Exchange-Traded Fund), Investment Sub Advisory Agreement (First Trust Exchange-Traded Fund)

Compliance Certification. From time to time the Sub-Sub- Adviser shall provide such certifications with respect to Rule 38a-1 under the 1940 Act, Act as are reasonably requested by the Fund or the Manager. In addition, the Sub-Adviser will, from time to time, provide a written assessment of its compliance program in conformity with current industry standards that is reasonably acceptable to the Fund to enable the Fund to fulfill its obligations under Rule 38a-1 under the 1940 Act.

Appears in 2 contracts

Samples: Sub Advisory Agreement (First Trust Enhanced Equity Income Fund), Sub Advisory Agreement (Energy Income & Growth Fund)

Compliance Certification. From time to time as requested by the Trust, Fund or Adviser, the Sub-Adviser shall provide such certifications with respect to Rule 38a-1 38a1 under the 1940 ActInvestment Company Act of 1940, as amended, as are reasonably requested by the Fund or the ManagerAdviser. In addition, the Sub-Adviser will, from time to time, provide a written assessment of its compliance program in conformity with current industry standards that is reasonably acceptable to the Fund to enable the Fund to fulfill its obligations under Rule 38a-1 under 38a1 of the 1940 ActInvestment Company Act of 1940, as amended.

Appears in 2 contracts

Samples: Investment Sub Advisory Agreement (Destra Investment Trust), Investment Sub Advisory Agreement (Destra Investment Trust)

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Compliance Certification. From time to time the Sub-Sub- Adviser shall provide such certifications with respect to Rule 38a-1 under the 1940 ActInvestment Company Act of 1940, as amended, as are reasonably requested by the Fund or the Manager. In addition, the Sub-Adviser will, from time to time, provide a written assessment of its compliance program in conformity with current industry standards that is reasonably acceptable to the Fund to enable the Fund to fulfill its obligations under Rule 38a-1 under the 1940 ActInvestment Company Act of 1940, as amended.

Appears in 1 contract

Samples: Interim Investment Sub Advisory Agreement (First Trust/Gallatin Specialty Finance & Financial Opportunities Fund)

Compliance Certification. From time to time the Sub-Adviser shall provide such certifications with respect to Rule 38a-1 under the 1940 Act, as are reasonably requested by the Fund or the Manager. In addition, the Sub-Adviser will, from time to time, provide a written assessment of its compliance program in conformity with current industry standards that is reasonably acceptable to the Fund to enable the Fund to fulfill its obligations under Rule 38a-1 under the 1940 Act. 10.

Appears in 1 contract

Samples: Interim Investment Sub Advisory Agreement Agreement (First Trust Specialty Finance & Financial Opportunities Fund)

Compliance Certification. From time to time the Sub-Adviser shall provide such certifications with respect to Rule 38a-1 38a‑1 under the 1940 Act, Act as are reasonably requested by the Fund or the ManagerAdviser. In addition, the Sub-Adviser will, from time to time, provide a written assessment of its compliance program in conformity with current industry standards that is reasonably acceptable to the Fund to enable the Fund to fulfill its obligations under Rule 38a-1 38a‑1 under the 1940 Act.

Appears in 1 contract

Samples: Interim Investment Sub‑advisory Agreement (Destra Investment Trust)

Compliance Certification. From time to time the Sub-Adviser shall provide such certifications with respect to Rule 38a-1 under the 1940 Act, Act as are reasonably requested by the a Fund or the ManagerAdviser. In addition, the Sub-Adviser will, from time to time, provide a written assessment of its compliance program in conformity with current industry standards that is reasonably acceptable to the Fund Funds to enable the Fund Funds to fulfill its their obligations under Rule 38a-1 under the 1940 Act.

Appears in 1 contract

Samples: Investment Sub Advisory Agreement (Innovator ETFs Trust II)

Compliance Certification. From time to time the Sub-Adviser shall provide such certifications with respect to Rule 38a-1 under the 1940 ActInvestment Company Act of 1940, as amended, as are reasonably requested by the Fund or the Manager. In addition, the Sub-Adviser will, from time to time, provide a written assessment of its compliance program in conformity with current industry standards that is reasonably acceptable to the Fund to enable the Fund to fulfill its obligations under Rule 38a-1 under the 1940 ActInvestment Company Act of 1940, as amended.

Appears in 1 contract

Samples: Sub Advisory Agreement (Integrity Funds)

Compliance Certification. From time to time the Sub-Sub- Adviser shall provide such certifications with respect to Rule 38a-1 under the 1940 ActInvestment Company Act of 1940, as amended, as are reasonably requested by the Fund or the Manager. In addition, the Sub-Adviser will, from time to time, provide a written assessment of its compliance program in conformity with current industry standards that is reasonably acceptable to the Fund to enable the Fund to fulfill its obligations under Rule 38a-1 under of the 1940 ActInvestment Company Act of 1940, as amended. 11.

Appears in 1 contract

Samples: Sub Advisory Agreement (First Trust/Gallatin Specialty Finance & Financial Opportunities Fund)

Compliance Certification. From time to time the Sub-Sub- Adviser shall provide such certifications with respect to Rule 38a-1 under the 1940 Act, Act as are reasonably requested by the a Fund or the ManagerAdviser. In addition, the Sub-Adviser will, from time to time, provide a written assessment of its compliance program in conformity with current industry standards that is reasonably acceptable to the Fund Funds to enable the Fund Funds to fulfill its their obligations under Rule 38a-1 under the 1940 Act.

Appears in 1 contract

Samples: Sub Advisory Agreement (Innovator ETFs Trust II)

Compliance Certification. From time to time the Sub-Adviser shall provide such certifications with respect to Rule 38a-1 under the 1940 Act, as are reasonably requested by the Fund or the Manager. In addition, the Sub-Adviser will, from time to time, provide a written assessment of its compliance program in conformity with current industry standards that is reasonably acceptable to the Fund to enable the Fund to fulfill its obligations under Rule 38a-1 under the 1940 Act. 10.

Appears in 1 contract

Samples: Interim Investment Sub Advisory Agreement Agreement (First Trust Specialty Finance & Financial Opportunities Fund)

Compliance Certification. From time to time the Sub-Adviser shall provide such certifications with respect to Rule 38a-1 under the 1940 Act, Act as are reasonably requested by the a Fund or the Manager. In addition, the Sub-Adviser will, from time to time, provide a written assessment of its compliance program in conformity with current industry standards that is reasonably acceptable to the Fund to enable the Fund to fulfill its obligations under Rule 38a-1 under the 1940 Act.

Appears in 1 contract

Samples: Investment Sub Advisory Agreement (First Trust Exchange-Traded Fund Viii)

Compliance Certification. From time to time the Sub-Adviser shall provide such certifications in connection with respect to the Board's determination under Rule 38a-1 under the 1940 Act, Act as are reasonably requested by the Fund Trust or the Manager. In addition, the Sub-Adviser will, from time to time, provide a written summary of the results of its assessment of its compliance program conducted in conformity with current industry standards that is reasonably acceptable to the Fund Trust to enable the Fund Trust to fulfill its obligations under Rule 38a-1 under the 1940 Act.

Appears in 1 contract

Samples: Sub Advisory Agreement (First Trust High Income Long/Short Fund)

Compliance Certification. From time to time the Sub-Sub-Adviser shall provide such certifications with respect to Rule 38a-1 under the 1940 Act, Act as are reasonably requested by the Fund Fund, the Manager or the ManagerSub-Adviser. In addition, the Sub-Sub-Adviser will, from time to time, provide a written assessment of its compliance program in conformity with current industry standards that is reasonably acceptable to the Fund to enable the Fund to fulfill its obligations under Rule 38a-1 under the 1940 Act.

Appears in 1 contract

Samples: Investment Sub Sub Advisory Agreement (First Trust Dynamic Europe Equity Income Fund)

Compliance Certification. From time to time the Sub-Adviser shall provide such certifications with respect to Rule 38a-1 under the 1940 Act, as are reasonably requested by the Fund or the Manager, in writing. In addition, upon written request, the Sub-Adviser will, from time to time, provide a written assessment of its compliance program in conformity with current industry standards that is reasonably acceptable to the Fund to enable the Fund to fulfill its obligations under Rule 38a-1 under the 1940 Act.

Appears in 1 contract

Samples: Investment Sub Advisory Agreement (First Trust Exchange-Traded Fund Viii)

Compliance Certification. From time to time the Sub-Adviser shall provide such certifications with respect to Rule 38a-1 38a‑1 under the 1940 ActInvestment Company Act of 1940, as amended, as are reasonably requested by the Fund or the Manager. In addition, the Sub-Adviser will, from time to time, provide a written assessment of its compliance program in conformity with current industry standards that is reasonably acceptable to the Fund to enable the Fund to fulfill its obligations under Rule 38a-1 under the 1940 ActInvestment Company Act of 1940, as amended.

Appears in 1 contract

Samples: Sub Advisory Agreement (Integrity Funds)

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