Sales Incentive Programs. Subject to the satisfactory completion of any regulatory reviews and examinations which may be required, the prior review and approval by FINRA pursuant to applicable rules of FINRA (including FINRA Rules 5110 and 5190) and approval by the Company or the Advisor, the Company, the Advisor and affiliates of the Advisor may establish sales incentive programs for Ameriprise Financial’s associated persons only. Sales incentives will be deemed to be additional compensation. The aggregate value of incentives paid directly to an individual associated person during the Offering will not exceed $100 in any given year.
Appears in 2 contracts
Sources: Selected Dealer Agreement (Corporate Capital Trust, Inc.), Selected Dealer Agreement (Corporate Capital Trust, Inc.)