Testing and Monitoring. The CCO is responsible for overseeing, on behalf of the Trust, adherence to the written compliance policies and procedures of the Trust’s Service Providers, including, without limitation, any investment adviser and/or sub-adviser for the Trust, the distributor, the administrator, accounting agent, custodian, the transfer agent, and pricing vendors. In furtherance of this duty, ALPS will assist the CCO with the following:
Appears in 2 contracts
Sources: Chief Compliance Officer Support Services Agreement (Broadview Funds Trust), Chief Compliance Officer Support Services Agreement (Broadview Funds Trust)