Advisers definition
Examples of Advisers in a sentence
Each Party hereto shall obtain and hold the rights and benefits of this Section 6.9 in trust for and on behalf of such Party’s directors, officers and Advisers.
Maintain, implement and evaluate the effectiveness of written policies and procedures, as required by Rule 206(4)-7 under the Advisers Act, which are reasonably designed to prevent violations of the Advisers Act by the Sub-Adviser, its employees, officers and agents.
Prepare and maintain such books and records with respect to the Sub-Advised Assets and securities transactions with respect to such assets as required by the Trust’s compliance policies and procedures and by applicable laws, including but not limited to the 1940 Act, the Advisers Act and the CEA.
Comply with, the provisions of (i) the 1940 Act, (ii) the Advisers Act, (iii) the Internal Revenue Code of 1986, as amended (the “Code”), (iv) the Commodity Exchange Act (the “CEA”) and (v) all other applicable state and federal securities and other laws.
The Sub-Adviser has provided the Investment Adviser with a true and complete copy of its compliance policies and procedures for compliance with “federal securities laws” (as such term is defined under Rule 38a-1 of the 1940 Act) and Rule 206(4)-7 of the Advisers Act (the “Sub-Adviser Compliance Policies”), and as may be required under the exchange-listing requirements of an exchange where one or more of the Funds are listed.