Common use of Recording of Telephone Communications Clause in Contracts

Recording of Telephone Communications. Telephone conversations and electronic communications will be recorded where such communications result or may result in a transaction in a financial instrument. Internal telephone conversations and electronic communications that relate to the handling of orders and transactions will be recorded. A copy of the recording of such conversations and communications will be available on request for a period of up to seven years. By dealing with the Sub-Adviser after receiving signing this Agreement, it will assume that the Manager gives its consent to this practice.

Appears in 3 contracts

Samples: Sub Advisory Agreement (Capitol Series Trust), Sub Advisory Agreement (Capitol Series Trust), Sub Advisory Agreement (Capitol Series Trust)

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Recording of Telephone Communications. Telephone conversations and electronic communications will be recorded where such communications result or may result in a transaction in a financial instrument. Internal telephone conversations and electronic communications that relate to the handling of orders and transactions will be recorded. A copy of the recording of such conversations and communications will be available on request for a period of up to seven years. By dealing with the Sub-Adviser Investment Manager after receiving signing this Agreement, it the Investment Manager will assume that the Manager Adviser gives its consent to this practice.

Appears in 1 contract

Samples: Sub Advisory Agreement (Northern Funds)

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