Principal Transactions. In connection with purchases or sales of securities for the account of a Fund, neither the Adviser nor any of its directors, officers or employees will act as a principal or agent or receive any commission except as permitted by the 1940 Act.
Appears in 284 contracts
Samples: Investment Advisory Agreement (Listed Funds Trust), Investment Advisory Agreement (SFS Series Trust), Investment Advisory Agreement (World Funds Trust)
Principal Transactions. In connection with purchases or sales of securities for the account of a the Fund, neither the Adviser nor any of its directors, officers or employees will act as a principal or agent or receive any commission except as permitted by the 1940 Act.
Appears in 58 contracts
Samples: Form of Investment Advisory Agreement (Connetic Venture Capital Access Fund), Investment Advisory Agreement (Advisors' Inner Circle Fund III), Investment Advisory Agreement (Advisors' Inner Circle Fund)
Principal Transactions. In connection with purchases or sales of securities for the account of a Fund, neither the Adviser nor any of its the Adviser’s directors, officers officers, or employees will shall act as a principal or agent or receive any commission except as permitted by the 1940 Act.
Appears in 34 contracts
Samples: Investment Advisory Agreement (Advisors' Inner Circle Fund III), Investment Advisory Agreement (Advisors' Inner Circle Fund III), Investment Advisory Agreement (Catholic Responsible Investments Funds)
Principal Transactions. In connection with purchases or sales of securities or other instruments for the account of a Fund, neither the Adviser nor any of its directors, officers or employees will act as a principal or agent or receive any commission except as permitted by the 1940 Act.
Appears in 11 contracts
Samples: Advisory Agreement (CSOP ETF Trust), Advisory Agreement (Reality Shares ETF Trust), Advisory Agreement (CSOP ETF Trust)
Principal Transactions. In connection with purchases or sales of securities for the account of a the Fund, neither the Adviser nor any of its the Adviser’s directors, officers officers, or employees will shall act as a principal or agent or receive any commission except as permitted by the 1940 Act.
Appears in 9 contracts
Samples: Investment Advisory Agreement (Advisors' Inner Circle Fund III), Expense Limitation Agreement (Advisors' Inner Circle Fund III), Investment Advisory Agreement (Advisors' Inner Circle Fund III)
Principal Transactions. In connection with purchases or sales of securities for the account of a Fundthe Company, neither the Adviser nor any of its the Adviser’s directors, officers officers, or employees will shall act as a principal or agent or receive any commission except as permitted by the 1940 Act.
Appears in 6 contracts
Samples: Investment Advisory Agreement (Advisors' Inner Circle Fund III), Investment Advisory Agreement (Advisors' Inner Circle Fund III), Investment Advisory Agreement (Advisors' Inner Circle Fund III)
Principal Transactions. In connection with purchases or sales of securities for the account of a Fund, neither the Adviser Advisor nor any of its directors, officers or employees will act as a principal or agent or receive any commission except as permitted by the 1940 Act.
Appears in 5 contracts
Samples: Investment Advisory Agreement (Brown Capital Management Mutual Funds), Investment Advisory Agreement (Brown Capital Management Mutual Funds), Investment Advisory Agreement (Brown Capital Management Mutual Funds)
Principal Transactions. In connection with purchases or sales of securities for the account of a the Fund, neither the Sub-Adviser nor any of its directors, officers or employees will act as a principal or agent or receive any commission except as permitted by the 1940 Act.
Appears in 5 contracts
Samples: Sub Advisory Agreement (Bishop Street Funds), Sub Advisory Agreement (Bishop Street Funds), Sub Advisory Agreement (Advisors Inner Circle Fund II)
Principal Transactions. In connection with purchases or sales of securities for the account of a Fund, neither the Adviser nor any of its directors, officers or employees will act as a principal or agent or receive any commission except as permitted by the 1940 Act.
Appears in 4 contracts
Samples: Investment Advisory Agreement (Meeder Funds), Investment Advisory Agreement (Meeder Funds), Investment Advisory Agreement (Meeder Funds)
Principal Transactions. In connection with purchases or sales of securities investment instruments for the account of a Fundthe Funds, neither the Adviser nor any of its directors, officers or employees will act as a principal or agent or receive any commission except as permitted by the 1940 Act.
Appears in 3 contracts
Samples: Investment Advisory Agreement (Advisors' Inner Circle Fund III), Investment Advisory Agreement (Advisors' Inner Circle Fund III), Investment Advisory Agreement (Advisors' Inner Circle Fund III)
Principal Transactions. In connection with purchases or sales of securities or other investments for the account of a Fund, neither the Adviser nor any of its directors, officers or employees will act as a principal or agent or receive any commission except as permitted by the 1940 Act.
Appears in 2 contracts
Samples: Investment Advisory Agreement (Loeb King Trust), Investment Advisory Agreement (Matrix Advisors Funds Trust)
Principal Transactions. In connection with purchases or sales of securities for the account of a the Fund, neither the Adviser nor any of its directors, officers or employees will act as a principal or agent or receive any commission except as permitted by the 1940 ActAct and the Fund's policies and procedures.
Appears in 2 contracts
Samples: Investment Advisory Agreement (Finance Co of Pennsylvania), Investment Advisory Agreement (Finance Co of Pennsylvania)
Principal Transactions. In connection with purchases or sales of securities for the account of a Fund, neither the Adviser nor any of its the Adviser's directors, officers officers, or employees will shall act as a principal or agent or receive any commission except as permitted by the 1940 Act.
Appears in 2 contracts
Samples: Investment Advisory Agreement (Oak Associates Funds), Investment Advisory Agreement (Advisors' Inner Circle Fund III)
Principal Transactions. In connection with purchases or sales of securities for the account of a the Fund, neither the Adviser Advisor nor any of its directors, officers or employees will act as a principal or agent or receive any commission except as permitted by the 1940 Act.
Appears in 2 contracts
Samples: Investment Advisory Agreement (FNEX Ventures), Investment Advisory Agreement (Thirdline Real Estate Income Fund)
Principal Transactions. In connection with purchases or sales of securities for the account of a Fund, neither the Sub-Adviser nor any of its directors, officers or employees will act as a principal or agent or receive any commission except as permitted by the 1940 ActAct or the 0000 Xxx.
Appears in 1 contract
Samples: Sub Advisory Agreement (Advisors' Inner Circle Fund)
Principal Transactions. In connection with purchases or sales of securities or other investments for the account of a Fundthe Company, neither the Adviser nor any of its directors, officers or employees will act as a principal or agent or receive any commission except as permitted by the 1940 Act.
Appears in 1 contract
Principal Transactions. In connection with purchases or sales of securities or other assets for the account of a FundCompany, neither the Adviser nor any of its directors, officers or employees will act as a principal or agent or receive any commission except as permitted by the 1940 Actapplicable law.
Appears in 1 contract
Principal Transactions. In connection with purchases or sales of securities for the account of a the Fund, neither the Adviser nor any of its the Adviser’s directors, officers officers, or employees will act as a principal or agent or receive any commission except as permitted by the 1940 Act.
Appears in 1 contract
Samples: Investment Advisory Agreement (Advisors' Inner Circle Fund III)
Principal Transactions. In connection with purchases or sales of securities for the account of a Fund, neither the Investment Adviser nor any of its the Investment Adviser’s directors, officers officers, or employees will shall act as a principal or agent or receive any commission except as permitted by the 1940 Act.
Appears in 1 contract
Principal Transactions. In connection with purchases or sales of securities for the account accounts of a Fundthe Funds, neither the Sub-Adviser nor any of its directors, officers or employees will act as a principal or agent or receive any commission except as permitted by the 1940 Act.
Appears in 1 contract
