Meeting with Regulators. The CCO shall meet with, and reply to inquiries from, the SEC and other legal and regulatory authorities with responsibility for administering Federal Securities Laws as necessary or as reasonably requested by the Trust or the Trustees.
Appears in 21 contracts
Samples: Chief Compliance Officer Services Agreement (ALPS Series Trust), Chief Compliance Officer Services Agreement (ALPS Series Trust), Chief Compliance Officer Services Agreement (ALPS Series Trust)
Meeting with Regulators. The CCO shall meet with, and reply to inquiries from, the SEC SEC, the Fund and other legal and regulatory authorities with responsibility for administering Federal Securities Laws as necessary or as reasonably requested by the Trust Fund or the TrusteesBoard.
Appears in 20 contracts
Samples: Services Agreement (Carlyle Credit Income Fund), Services Agreement (Pearl Diver Credit Company, LLC), Services Agreement (Sound Point Meridian Capital, Inc.)
Meeting with Regulators. The CCO shall meet with, and reply to inquiries from, the SEC SEC, the NASD and other legal and regulatory authorities with responsibility for administering Federal Securities Laws as necessary or as reasonably requested by the Trust or the TrusteesBoard.
Appears in 8 contracts
Samples: Chief Compliance Officer Services Agreement (WisdomTree Trust), Chief Compliance Officer Services Agreement (HealthShares (TM) Inc.), Chief Compliance Officer Services Agreement (Realty Funds, Inc.)
Meeting with Regulators. The CCO shall meet with, and reply to inquiries from, the SEC SEC, the Trust and other legal and regulatory authorities with responsibility for administering Federal Securities Laws as necessary or as reasonably requested by the Trust or the Trustees.
Appears in 7 contracts
Samples: Chief Compliance Officer Services Agreement (Financial Investors Trust), Chief Compliance Officer Services Agreement (ALPS ETF Trust), Chief Compliance Officer Services Agreement (Broadview Funds Trust)
Meeting with Regulators. The CCO shall meet with, and reply to inquiries from, the SEC SEC, the Trust and other legal and regulatory authorities with responsibility for administering Federal Securities Laws as necessary or as reasonably requested by the Trust or the Trustees.
Appears in 6 contracts
Samples: Chief Compliance Officer Services Agreement (Broadstone Real Estate Access Fund), Compliance Officer Services Agreement (Financial Investors Trust), Chief Compliance Officer Services Agreement (Elevation ETF Trust)
Meeting with Regulators. The CCO shall meet with, and reply to inquiries from, the SEC SEC, FINRA and other legal and regulatory authorities with responsibility for administering Federal Securities Laws as necessary or as reasonably requested by the Trust Adviser or the TrusteesTrust.
Appears in 3 contracts
Samples: Officer Services Agreement (Financial Investors Trust), Officer Services Agreement (Financial Investors Trust), Officer Services Agreement (Financial Investors Trust)
Meeting with Regulators. The CCO shall meet with, and reply to inquiries from, the SEC SEC, the NASD and other legal and regulatory authorities with responsibility for administering Federal Securities Laws as necessary or as reasonably requested by the Trust Sponsor or the TrusteesTrustee.
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)
Meeting with Regulators. The CCO shall meet with, and reply to inquiries from, the SEC SEC, the Trust and other legal and regulatory authorities with responsibility for administering Federal Securities Laws as necessary or as reasonably requested by the Trust or the Trustees.
Appears in 2 contracts
Samples: Chief Compliance Officer Services Agreement (Reality Shares ETF Trust), Chief Compliance Officer Services Agreement (Reality Shares ETF Trust)
Meeting with Regulators. The CCO shall meet with, and reply to inquiries from, the SEC SEC, the Fund and other legal and regulatory authorities with responsibility for administering Federal Securities Laws as necessary or as reasonably requested by the Trust Fund or the Trustees.
Appears in 2 contracts
Samples: Chief Compliance Officer Services Agreement (Broadstone Real Estate Access Fund), Chief Compliance Officer Services Agreement (Broadstone Real Estate Access Fund, Inc.)
Meeting with Regulators. The CCO shall meet with, and reply to inquiries from, the SEC and other legal and regulatory authorities with responsibility for administering Federal Securities Laws as necessary or as reasonably requested by the Trust or the Trustees.
Appears in 2 contracts
Samples: Chief Compliance Officer Services Agreement (Financial Investors Trust), Compliance Officer Services Agreement (Financial Investors Trust)
Meeting with Regulators. The CCO shall meet with, and reply to inquiries from, the SEC SEC, the CLIENT and other legal and regulatory authorities with responsibility for administering Federal Securities Laws as necessary or as reasonably requested by the Trust CLIENT or the Trustees.
Appears in 2 contracts
Samples: Chief Compliance Officer Services Agreement (Financial Investors Trust), Chief Compliance Officer Services Agreement (Cook & Bynum Funds Trust)
Meeting with Regulators. The CCO shall meet with, and reply to inquiries from, the SEC and other legal and regulatory authorities with responsibility for administering Federal Securities Laws as necessary or as reasonably requested by the Trust or the TrusteesBoard of Trustees of the Trust.
Appears in 2 contracts
Samples: Chief Compliance Officer Services Agreement (Clough Funds Trust), Chief Compliance Officer Services Agreement (Clough Funds Trust)
Meeting with Regulators. The CCO shall meet with, and reply to inquiries from, the SEC SEC, CLIENT and other legal and regulatory authorities with responsibility for administering Federal Securities Laws as necessary or as reasonably requested by the Trust CLIENT or the Trustees.
Appears in 2 contracts
Samples: Chief Compliance Officer Services Agreement (EGA Emerging Global Shares Trust), Chief Compliance Officer Services Agreement (EGA Emerging Global Shares Trust)
Meeting with Regulators. The CCO shall meet with, and reply to inquiries from, the SEC SEC, the Adviser and other legal and regulatory authorities with responsibility for administering Federal Securities Laws as necessary or as reasonably requested by the Trust Adviser or the Trustees.
Appears in 2 contracts
Samples: Compliance Officer Services Agreement (Financial Investors Trust), Compliance Officer Services Agreement (Financial Investors Trust)
Meeting with Regulators. The CCO shall meet with, and reply to inquiries from, the SEC SEC, the Trust and other legal and regulatory authorities with responsibility for administering Federal Securities Laws as necessary or as reasonably requested by the Trust or the TrusteesBoard.
Appears in 1 contract
Meeting with Regulators. The CCO shall promptly meet with, and promptly reply to inquiries from, the SEC and other legal and regulatory authorities with responsibility for administering Federal Securities Laws as necessary or as reasonably requested by the Trust Board or the TrusteesTrust’s outside legal counsel.
Appears in 1 contract
Samples: Chief Compliance Officer Services Agreement (Principal Real Estate Income Fund)
Meeting with Regulators. The CCO shall meet with, and reply to inquiries from, the SEC SEC, the Trust and other legal and regulatory authorities with responsibility for administering Federal Securities Laws as necessary or as reasonably requested by the Trust or the TrusteesBoard.
Appears in 1 contract
Meeting with Regulators. The CCO shall meet with, and reply to inquiries from, the SEC SEC, FINRA and other legal and regulatory authorities with responsibility for administering Federal Securities Laws as necessary or as reasonably requested by the Trust or the TrusteesTrust.
Appears in 1 contract
Samples: Chief Compliance Officer Services Agreement (Financial Investors Trust)
Meeting with Regulators. The CCO shall meet with, and reply to inquiries from, the SEC SEC, the Client and other legal and regulatory authorities with responsibility for administering Federal Securities Laws as necessary or as reasonably requested by the Trust Client or the Trustees.
Appears in 1 contract
Samples: Chief Compliance Officer Services Agreement (Centre Funds)
Meeting with Regulators. The CCO shall meet with, and reply to inquiries from, the SEC SEC, the Trust and other legal and regulatory authorities with responsibility for administering Federal Securities Laws as necessary or as reasonably requested by the Trust or the Trustees.responsibility
Appears in 1 contract
Meeting with Regulators. The CCO shall meet with, and reply to inquiries from, the SEC SEC, the Trust and other legal and regulatory authorities with responsibility for administering Federal Securities Laws as necessary or as reasonably requested by the Trust or the Board of Trustees.
Appears in 1 contract
Meeting with Regulators. The CCO shall meet with, and reply to inquiries from, the SEC SEC, FINRA and other legal and regulatory authorities with responsibility for administering Federal Securities Laws as necessary or as reasonably requested by the Trust Fund or the Trustees.
Appears in 1 contract
Samples: Chief Compliance Officer Services Agreement (Financial Investors Trust)
Meeting with Regulators. The CCO shall meet with, and reply to inquiries from, the SEC SEC, FINRA and other legal and regulatory authorities with responsibility for administering Federal Securities Laws as necessary or as reasonably requested by the Trust Vulcan or the Trustees.
Appears in 1 contract
Samples: Compliance Officer Services Agreement (Financial Investors Trust)
Meeting with Regulators. The CCO shall meet with, and reply to inquiries from, the SEC SEC, FINRA and other legal and regulatory authorities with responsibility for administering Federal Securities Laws as necessary or as reasonably requested by the Trust or the TrusteesBoard.
Appears in 1 contract
Samples: Chief Compliance Officer Services Agreement (WisdomTree Digital Trust)
