Ownership. All records required to be maintained and preserved by the Trust pursuant to the provisions or rules or regulations of the Securities and Exchange Commission under Section 31(a) of the Act and maintained and preserved by the Adviser on behalf of the Trust are the property of the Trust and shall be surrendered by the Adviser promptly on request by the Trust; provided, that the Adviser may at its own expense make and retain copies of any such records.
Appears in 461 contracts
Samples: Investment Advisory Agreement (Collaborative Investment Series Trust), Investment Advisory Agreement (Ralph Parks Portfolios Trust), Investment Advisory Agreement (Northern Lights Variable Trust)
Ownership. All records required to be maintained and preserved by the Trust pursuant to the provisions or rules or regulations of the Securities and Exchange Commission under Section 31(a) of the Act and maintained and preserved by the Adviser Advisor on behalf of the Trust are the property of the Trust and shall be surrendered by the Adviser Advisor promptly on request by the Trust; provided, that the Adviser Advisor may at its own expense make and retain copies of any such records.
Appears in 33 contracts
Samples: Investment Advisory Agreement (Northern Lights Variable Trust), Investment Advisory Agreement (Northern Lights Fund Trust), Investment Advisory Agreement (Northern Lights Fund Trust)
Ownership. All records required to be maintained and preserved by the Trust pursuant to the provisions or rules or regulations of the Securities and Exchange Commission under Section 31(a) of the 1940 Act and maintained and preserved by the Adviser on behalf of the Trust are the property of the Trust and shall be surrendered by the Adviser promptly on request by the Trust; provided, that the Adviser may at its own expense make and retain copies of any such records.
Appears in 9 contracts
Samples: Investment Advisory Agreement (Northern Lights Fund Trust Iii), Investment Advisory Agreement (Arrow Investments Trust), Investment Advisory Agreement (Two Roads Shared Trust)
Ownership. All records required to be maintained and preserved by the Trust pursuant to the provisions or rules or regulations of the Securities and Exchange Commission under Section 31(a) of the Act and maintained and preserved by the Adviser on behalf of the Trust are the property of the Trust and shall be surrendered by the Adviser promptly on request by the Trust; provided, that the Adviser may at its own expense expenses make and retain copies of any such records.
Appears in 6 contracts
Samples: Investment Advisory Agreement (Advisorone Funds), Interim Investment Advisory Agreement (Advisorone Funds), Investment Advisory Agreement (Advisorone Funds)
Ownership. All records required to be maintained and preserved by the Trust pursuant to the provisions or rules or regulations of the Securities and Exchange Commission under Section 31(a) of the Act and maintained and preserved by the a Co-Adviser on behalf of the Trust are the property of the Trust and shall be surrendered by the Co-Adviser promptly on request by the Trust; provided, that the a Co-Adviser may at its own expense make and retain copies of any such records.
Appears in 5 contracts
Samples: Advisory Agreement (Northern Lights Fund Trust), Investment Advisory Agreement (Northern Lights Variable Trust), Investment Advisory Agreement (Northern Lights Fund Trust)
Ownership. All records required to be maintained and preserved by the Trust pursuant to the provisions or rules or regulations of the Securities and Exchange Commission under Section 31(a) of the Act and maintained and preserved by the Adviser Advisor on behalf of the Trust in respect of the Fund are the property of the Trust and shall be surrendered by the Adviser Advisor promptly on request by the Trust; provided, that the Adviser Advisor may at its own expense make and retain copies of any such records.
Appears in 4 contracts
Samples: Investment Advisory Agreement (Northern Lights Fund Trust Iii), Interim Investment Advisory Agreement (Northern Lights Fund Trust), Investment Advisory Agreement (Northern Lights Fund Trust)
Ownership. All records required to be maintained and preserved by the Trust pursuant to the provisions or rules or regulations of the Securities and Exchange Commission SEC under Section 31(a) of the Act and maintained and preserved by the Adviser on behalf of the Trust are the property of the Trust and shall be surrendered by the Adviser promptly on request by the Trust; provided, that the Adviser may at its own expense make and retain copies of any such records.
Appears in 3 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)
Ownership. All records required to be maintained and preserved by the Trust pursuant to the provisions or rules or regulations of the Securities and Exchange Commission under Section 31(a31 (a) of the Act and maintained and preserved by the Adviser on behalf of the Trust are the property of the Trust and shall be surrendered by the Adviser promptly on request by the Trust; provided, that the Adviser may at its own expense make and retain copies of any such records.
Appears in 2 contracts
Samples: Investment Advisory Agreement (360 Funds), Investment Advisory Agreement (360 Funds)
Ownership. All records required to be maintained and preserved by the Trust pursuant to the provisions or rules or regulations of the Securities and Exchange Commission SEC under Section 31(a) of the 1940 Act and maintained and preserved by the Adviser on behalf of the Trust are the property of the Trust and shall be surrendered by the Adviser promptly on request by the Trust; provided, that the Adviser may at its own expense make and retain copies of any such records.
Appears in 2 contracts
Samples: Investment Advisory Agreement (Northern Lights Fund Trust Iii), Investment Advisory Agreement (Northern Lights Fund Trust Iii)
Ownership. All records required to be maintained and preserved by the Trust Funds pursuant to the provisions or rules or regulations of the Securities and Exchange Commission under Section 31(a) of the Act and maintained and preserved by the Adviser Advisor on behalf of the Trust are the property of the Trust and shall be surrendered by the Adviser Advisor promptly on request by the Trust; provided, that the Adviser Advisor may at its own expense make and retain copies of any such records.
Appears in 2 contracts
Samples: Investment Advisory Agreement (Northern Lights Variable Trust), Investment Advisory Agreement (Northern Lights Variable Trust)
Ownership. All records required to be maintained and preserved by the Trust pursuant to the provisions or rules or regulations of the Securities and Exchange Commission under Section 31(a) of the Act and maintained and preserved by the Adviser on behalf of the Trust are the property of the Trust and shall be surrendered by the Adviser promptly on request by the Trust; provided, that the Adviser may at its own expense make and retain copies of any such records.. β
Appears in 2 contracts
Samples: Investment Advisory Agreement (Collaborative Investment Series Trust), Investment Advisory Agreement (Collaborative Investment Series Trust)
Ownership. All records required to be maintained and preserved by the Trust pursuant to the provisions or rules or regulations of the Securities and Exchange Commission under Section 31(a31 (a) of the 1940 Act and maintained and preserved by the Adviser on behalf of the Trust are the property of the Trust and shall be surrendered by the Adviser promptly on request by the Trust; provided, that the Adviser may at its own expense make and retain copies of any such records.
Appears in 1 contract
Ownership. All records required to be maintained and preserved by the Trust pursuant to the provisions or rules or regulations of the Securities and Exchange Commission under Section 31(a) of by the Act and maintained and preserved Trust or by the Adviser on behalf of the Trust are the property of the Trust and shall be surrendered by the Adviser promptly on request by the Trust; provided, that the Adviser may at its own expense make and retain copies of any such records.
Appears in 1 contract
Samples: Investment Advisory Agreement (Northern Lights Fund Trust Iii)
Ownership. All records required to be maintained and preserved by the Trust Company pursuant to the provisions or rules or regulations of the Securities and Exchange Commission under Section 31(a) of the Act and maintained and preserved by the Adviser on behalf of the Trust Company are the property of the Trust Company and shall be surrendered by the Adviser promptly on request by the TrustCompany; provided, that the Adviser may at its own expense make and retain copies of any such records.
Appears in 1 contract
Samples: Investment Advisory Agreement (Northern Lights Variable Trust)
Ownership. All records required to be maintained and preserved by the Trust pursuant to the provisions or rules or regulations of the Securities and Exchange Commission under Section 31(a3 l(a) of the Act and maintained and preserved by the Adviser on behalf of the Trust are the property of the Trust and shall be surrendered by the Adviser promptly on request by the Trust; provided, that the Adviser may at its own expense make and retain copies of any such records.
Appears in 1 contract
Samples: Interim Investment Advisory Agreement (Professionally Managed Portfolios)
Ownership. All records required to be maintained and preserved by the Trust pursuant to the provisions or rules or regulations of the Securities and Exchange Commission under Section 31(a) of the Act and maintained and preserved by the Adviser Subadvisor on behalf of the Trust in respect of the Fund are the property of the Trust and shall be surrendered by the Adviser Subadvisor promptly on request by the Trust; provided, that the Adviser Subadvisor may at its own expense make and retain copies of any such records.
Appears in 1 contract
Ownership. All records required to be maintained and preserved by the Trust pursuant to the provisions or rules or regulations of the Securities and Exchange Commission under Section 31(a3l(a) of the Act and maintained and preserved by the Adviser on behalf of the Trust are the property of the Trust and shall be surrendered by the Adviser promptly on request by the Trust; provided, that the Adviser may at its own expense make and retain copies of any such records.
Appears in 1 contract
Samples: Investment Advisory Agreement (Northern Lights Fund Trust IV)
