Common use of Obligations Under the 1940 Act Clause in Contracts

Obligations Under the 1940 Act. The Organization shall maintain records in a form reasonably acceptable to the Fund Company and in compliance with applicable laws and the rules and regulations of the Securities and Exchange Commission. Subject to Organization’s obligations under applicable privacy laws, such records will be made available at the Fund Company’s or its agent’s reasonable request for inspection and use by the Fund Company, its agents or governmental authorities. The Organization agrees that, for so long as it retains any records in connection with this Agreement, it will meet all reporting requirements pursuant to the 1940 Act and applicable to the Organization with respect to such records.

Appears in 3 contracts

Samples: Shareholder Servicing Agreement (Excelsior Tax Exempt Funds Inc), Shareholder Servicing Agreement (Excelsior Funds Trust), Shareholder Servicing Agreement (Excelsior Funds Inc)

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Obligations Under the 1940 Act. The Organization shall maintain records in a form reasonably acceptable to the Fund Company and in compliance with applicable laws and the rules and regulations of the Securities and Exchange Commission, including but not limited to the record-keeping requirements of Section 31 of the 1940 Act and the rules thereunder. Subject to Organization’s obligations under applicable privacy laws, such Such records will be made available at the Fund Company’s 's or its agent’s 's reasonable request for inspection and use by the Fund Company, its agents or governmental authorities. The Organization agrees that, for so long as it retains any records in connection with this Agreement, it will meet all reporting requirements pursuant to the 1940 Act and applicable to the Organization with respect to such records.

Appears in 3 contracts

Samples: Shareholder Servicing Agreement (Excelsior Tax Exempt Funds Inc), Shareholder Servicing Agreement (Excelsior Funds Trust), Shareholder Servicing Agreement (Excelsior Funds Inc)

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