Personal Securities Transactions. The Sub-advisor will comply in all material respects with Rule l7j-l under the 1940 Act. Upon reasonable request during any business day, the Sub-advisor will promptly make available to the Advisor or the Fund any reports concerning the Fund required to be made by the Sub-advisor pursuant to Rule 17j-1 under the 1940 Act. On a quarterly basis, the Sub-advisor shall either certify in writing that there have been no violations of its Code of Ethics or identify in a written report any violations and the action(s) taken with respect thereto.
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Samples: Sub Advisory Agreement (Usa Mutuals), Sub Advisory Agreement (Usa Mutuals), Sub Advisory Agreement (Usa Mutuals)
Personal Securities Transactions. The Sub-advisor Advisor will comply in all material respects with Rule l7j17j-l under the 1940 Act and Rule 204A-1 of the Advisers Act. Upon reasonable request during any business day, the Sub-advisor Advisor will promptly make available to the Advisor or the any Fund any reports concerning the Fund required to be made by the Sub-advisor Advisor pursuant to Rule 17j-1 under the 1940 Act. On a quarterly basis, the Sub-advisor Advisor shall either certify in writing that there have been no promptly inform Advisor and the Funds of any violations of its Code Rule 204A-1 under the Advisers Act required to be reported under subsection (a)(4) of Ethics or identify in a written report any violations and the action(s) taken with respect theretothat Rule.
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