Rule 38a-1 Compliance. The Company 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 Investment Company Act) by the Company, including policies and procedures that provide oversight of compliance for each administrator and transfer agent of the Company;
Appears in 3 contracts
Samples: Open Market Sale Agreement (Trinity Capital Inc.), Open Market Sale (Trinity Capital Inc.), Open Market Sale (Trinity Capital Inc.)
Rule 38a-1 Compliance. The Company 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 Investment Company Act) by the Company, including policies and procedures that provide oversight of compliance for by each administrator investment adviser, administrator, and transfer agent of the Company;.
Appears in 2 contracts
Samples: Owl Rock Capital Corp, Owl Rock Capital Corp