Procedure for Deficient Items. 8.1 Agent shall examine the Subscription Form(s) received by it as agent to ascertain whether they appear to have been completed and executed in accordance with the Subscription Offer. In the event that Agent determines that any Subscription Form does not appear to have been properly completed or executed, or to be in proper form, or any other deficiency in connection with the Subscription Form appears to exist, Agent shall follow, where possible, its regular procedures to attempt to cause such irregularity to be corrected. Agent is not authorized to waive any deficiency in connection with the Subscription, unless Company provides written authorization to waive such deficiency.
Appears in 42 contracts
Samples: Subscription Agent Agreement (Gabelli Utility Trust), Subscription Agent Agreement (Western Asset Global High Income Fund Inc.), Subscription Agent Agreement (RiverNorth Capital & Income Fund, Inc.)
Procedure for Deficient Items. 8.1 7.1 Agent shall examine the Subscription Form(s) Forms received by it as agent to ascertain whether they appear to have been completed and executed in accordance with the Subscription Offer. In the event that Agent determines that any Subscription Form does not appear to have been properly completed or executed, or to be in proper form, or any other deficiency in connection with the Subscription Form appears to exist, Agent shall follow, where possible, its regular procedures to attempt to cause such irregularity to be corrected. Agent is not authorized to waive any deficiency in connection with the Subscription, unless the Company provides written authorization to waive such deficiency.
Appears in 15 contracts
Samples: Subscription Agent Agreement (Gabelli Convertible & Income Securities Fund Inc), Subscription Agent Agreement (Enterprise Bancorp Inc /Ma/), Agent Agreement (Gabelli Utility Trust)
Procedure for Deficient Items. 8.1 2.1 Agent shall examine the Subscription Form(s) Forms received by it as agent to ascertain whether they appear to have been completed and executed in accordance with the Subscription Offer. In the event that Agent determines that any Subscription Form does not appear to have been properly completed or executed, or to be in proper form, or any other deficiency in connection with the Subscription Form appears to exist, Agent shall follow, where possible, its regular procedures to attempt to cause such irregularity to be corrected. Agent is not authorized to waive any deficiency in connection with the Subscription, unless the Company provides written authorization to waive such deficiency.
Appears in 9 contracts
Samples: Subscription Agent Agreement (Liberty All Star Growth Fund Inc.), Subscription and Information Agent Agreement, Subscription Agent Agreement
Procedure for Deficient Items. 8.1 (a) Agent shall examine the Subscription Form(s) Forms received by it as agent to ascertain whether they appear to have been completed and executed in accordance with the Subscription Offer. In the event that Agent determines that any Subscription Form does not appear to have been properly completed or executed, or to be in proper form, or any other deficiency in connection with the Subscription Form appears to exist, Agent shall follow, where possible, its regular procedures to attempt to cause such irregularity to be corrected. Agent is not authorized to waive any deficiency in connection with the Subscription, unless the Company provides written authorization to waive such deficiency.
Appears in 3 contracts
Samples: Subscription Agent Agreement (Reaves Utility Income Fund), Rights Subscription Agent Agreement (Energy Focus, Inc/De), Rights Subscription Agent Agreement (Energy Focus, Inc/De)
Procedure for Deficient Items. 8.1 2.1 Agent shall examine the Subscription Form(s) Forms received by it as agent to ascertain whether they appear to have been completed and executed in accordance with the Subscription Offer. In the event that Agent determines that any Subscription Form does not appear to have been properly completed or executed, or to be in proper form, or any other deficiency in connection with the Subscription Form appears to exist, Agent shall follow, where possible, its regular procedures to attempt to cause such irregularity to be corrected. Agent is not authorized to waive any deficiency in connection with the Subscription, unless the Company provides written authorization to waive such deficiency.
Appears in 1 contract
Samples: Subscription Agent Agreement (Liberty All Star Equity Fund)
Procedure for Deficient Items. 8.1 (a) Agent shall examine the Subscription Form(s) Forms received by it as agent to ascertain whether they appear to have been completed and executed in accordance with the Subscription OfferRights Offering. In the event that Agent determines that any Subscription Form does not appear to have been properly completed or executed, or to be in proper form, or any other deficiency in connection with the Subscription Form appears to exist, Agent shall follow, where possible, its regular procedures to attempt to cause such irregularity to be corrected. Agent is not authorized to waive any deficiency in connection with the Subscription, unless the Company provides written authorization to waive such deficiency.
Appears in 1 contract
Procedure for Deficient Items. 8.1 7.1 Agent shall examine the Subscription Form(s) Forms received by it as agent in such capacity to ascertain whether they appear to have been completed and executed in accordance with the terms and conditions of the Subscription Offer. In the event that Agent determines that any Subscription Form does not appear to have been properly completed or executed, or to be in proper form, or any other deficiency in connection with the Subscription Form appears to exist, Agent shall follow, where possible, its regular procedures to attempt to cause such irregularity to be corrected. Agent is not authorized to waive any deficiency in connection with the Subscription, unless Company provides written authorization to waive such deficiency.
Appears in 1 contract
Samples: Subscription Agent Agreement (Royce Value Trust, Inc.)
Procedure for Deficient Items. 8.1 7.1 Agent shall examine the Subscription Form(s) Forms received by it as agent to ascertain whether they appear to have been completed and executed in accordance with the Subscription Offer. In the event that Agent determines that any Subscription Form does not appear to have been properly completed or executed, or to be in proper form, or any other deficiency in connection with the Subscription Form appears to exist, Agent shall follow, where possible, its regular procedures to attempt to cause such irregularity to be corrected. Agent is not authorized to waive any deficiency in connection with the Subscription, unless Company the Fund provides written authorization to waive such deficiency.
Appears in 1 contract
Samples: Subscription Agent Agreement (Gabelli Global Utility & Income Trust)
Procedure for Deficient Items. 8.1 (a) Agent shall examine the Subscription Form(s) Forms received by it as agent to ascertain whether they appear to have been completed and executed in accordance with the Subscription Offer. In the event that Agent determines that any Subscription Form does not appear to have been properly completed or executed, or to be in proper form, or that any other deficiency in connection with the Subscription Form appears to exist, Agent shall follow, where possible, its regular procedures to attempt to cause such irregularity to be corrected. Agent is not authorized to waive any deficiency in connection with the Subscription, unless the Company provides written authorization to waive such deficiency.
Appears in 1 contract