Rule 38a-1 Sample Clauses

Rule 38a-1. The Fund has adopted and implemented written policies and procedures reasonably designed to prevent violation of the federal securities laws (as that term is defined in Rule 38a-1 under the 0000 Xxx) by the Fund, including policies and procedures that provide oversight of compliance by the Adviser and the administrator and transfer agent of the Fund.
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Rule 38a-1. The Trust has adopted and implemented written policies and procedures reasonably designed to prevent violation of the federal securities laws (as that term is defined in Rule 38a-1 under the 1940 Act) by the Trust, including policies and procedures that provide oversight of compliance by the Advisors and the administrator and transfer agent of the Trust.
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Rule 38a-1. The Distributor will provide such information as the Fund reasonably requests in order for the Fund to comply with its obligations pursuant to Rule 38a-1 under the 1940 Act.
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Rule 38a-1. The Distributor acknowledges that its policies and procedures designed to comply with the Federal Securities Laws (as defined in Rule 38a-1 under the 0000 Xxx) are subject to oversight by the Company's Board of Directors. The Distributor agrees to (i) adopt, maintain and implement and maintain such policies and procedures in writing, (ii) to certify to the Company's Board of Directors at least annually that such policies and procedures are reasonably designed to prevent violations of the Federal Securities Laws by the Distributor and (iii) to cooperate with the Company and the Company's Chief Compliance Officer in fulfilling their oversight, review, reporting and recordkeeping responsibilities under Rule 38a-1.
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Rule 38a-1. In order to assist the Transfer Agent and the Fund in satisfying the requirements of Rule 38a-1 under the 1940 Act (the “Rule”), X.X. Xxxxxx shall provide to the Fund’s Chief Compliance Officer and the Transfer Agent’s compliance personnel: (i) direct access to X.X. Xxxxxx’x relevant compliance personnel; (ii) at such times as the Transfer Agent may reasonably require, compliance reports and reports regarding any Material Compliance Matter (as defined in the Rule) regarding the Fund, X.X. Xxxxxx or the services provided by it hereunder; and (iii) quarterly certifications that there are no Material Compliance Matters (as defined in the Rule) involving X.X. Xxxxxx that affect or could affect the Fund or the Transfer Agent.
Sample 1
Rule 38a-1. BBH&Co. acknowledges that a Fund may be required to seek information from BBH&Co. in connection with this Agreement in order to comply with Rule 38a-1 of the Investment Company Act of 1940, as amended. BBH&Co. shall use reasonable efforts to respond to such requests for such information from the Funds’ Chief Compliance Officer, subject to policies and procedures of BBH&Co. designed to protect (a) confidential information relating to other customers of BBH&Co. and (b) documents and information that are considered proprietary to BBH&Co. and not for external distribution as determined by BBH&Co.’s legal or compliance advisers. Accordingly and subject to the foregoing, throughout the term of this Agreement, BBH&Co. agrees to provide the Fund with (i) access to compliance policies and procedures related to the services provided to the Funds by BBH&Co. pursuant to this Agreement; (ii) a written summary of these policies and procedures; and, (iii) a certification to the Funds’ Chief Compliance Officer of BBH&Co.’s compliance with respect to said applicable policies and procedures that the Fund may reasonably request to enable the Fund to comply with Rule 38a-1 under the Investment Company Act of 1940, as amended.
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Rule 38a-1. The Fund has (i) appointed a Chief Compliance Officer and (ii) adopted and implemented written policies and procedures reasonably designed to prevent violation of the federal securities laws (as that term is defined in Rule 38a-1 under the 0000 Xxx) by the Fund, including policies and procedures that provide oversight of compliance by the Investment Manager and the transfer agent of the Fund.
Sample 1
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Rule 38a-1. In order to assist the Fund in satisfying the requirements of Rule 38a-1 under the 1940 Act (the “Rule”), ALPS shall provide to the Fund’s Chief Compliance Officer: (i) direct access to ALPS’ relevant compliance personnel; (ii) at such times as the Fund may reasonably require, compliance reports and reports regarding any Material Compliance Matter (as defined in the Rule) regarding ALPS; and (iii) quarterly certifications that there are no Material Compliance Matters (as defined in the Rule) involving ALPS that affect or could affect the Fund.
Sample 1

Related to Rule 38a-1

  • Rule 144 Reporting With a view to making available to the Holders the benefits of certain rules and regulations of the SEC which may permit the sale of the Registrable Securities to the public without registration, the Company agrees to use its best efforts to:

  • Rule 144; Rule 144A With a view to making available to the Investor and Holders the benefits of certain rules and regulations of the SEC which may permit the sale of the Registrable Securities to the public without registration, the Company agrees to use its reasonable best efforts to:

  • Exchange Act Compliance During the Prospectus Delivery Period, the Company will file all documents required to be filed with the Commission pursuant to Section 13, 14 or 15 of the Exchange Act in the manner and within the time periods required by the Exchange Act.

  • Rule 144 Sales (a) The Company covenants that it will file the reports required to be filed by the Company under the Securities Act and the Exchange Act, so as to enable any Holder to sell Registrable Securities pursuant to Rule 144 under the Securities Act.

  • Rule 144 The Company covenants that it shall file any reports required to be filed by it under the Securities Act and the Exchange Act and shall take such further action as the holders of Registrable Securities may reasonably request, all to the extent required from time to time to enable such holders to sell Registrable Securities without registration under the Securities Act within the limitation of the exemptions provided by Rule 144 under the Securities Act, as such Rules may be amended from time to time, or any similar rule or regulation hereafter adopted by the Commission.

  • Regulation S Regulation S promulgated under the Act or any successor provision thereto, in each case as the same may be amended from time to time; and all references to any rule, section or subsection of, or definition or term contained in, Regulation S means such rule, section, subsection, definition or term, as the case may be, or any successor thereto, in each case as the same may be amended from time to time.

  • Investment Company Act; Other Regulations No Loan Party is an “investment company”, or a company “controlled” by an “investment company”, within the meaning of the Investment Company Act of 1940, as amended. No Loan Party is subject to regulation under any Requirement of Law (other than Regulation X of the Board) that limits its ability to incur Indebtedness.

  • Rule 144 Requirements After the earliest of (i) the closing of the sale of securities of the Company pursuant to a Registration Statement, (ii) the registration by the Company of a class of securities under Section 12 of the Exchange Act, or (iii) the issuance by the Company of an offering circular pursuant to Regulation A under the Securities Act, the Company agrees to:

  • RULE 144A AND RULE 144 The Company agrees with each Holder, for so long as any Transfer Restricted Securities remain outstanding and during any period in which the Company (i) is not subject to Section 13 or 15(d) of the Exchange Act, to make available, upon request of any Holder, to such Holder or beneficial owner of Transfer Restricted Securities in connection with any sale thereof and any prospective purchaser of such Transfer Restricted Securities designated by such Holder or beneficial owner, the information required by Rule 144A(d)(4) under the Act in order to permit resales of such Transfer Restricted Securities pursuant to Rule 144A, and (ii) is subject to Section 13 or 15 (d) of the Exchange Act, to make all filings required thereby in a timely manner in order to permit resales of such Transfer Restricted Securities pursuant to Rule 144.

  • No Commission Stop Order At each of the Closing Date and the Option Closing Date, the Commission has not issued any order or threatened to issue any order preventing or suspending the use of any Preliminary Prospectus or the Prospectus or any part thereof, and has not instituted or threatened to institute any proceedings with respect to such an order.

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