Reporting of Compliance Matters. (a) The Sub-Adviser shall promptly provide to the Trust’s Chief Compliance Officer (“CCO”) the following documents:
Reporting of Compliance Matters. (a) The Sub-Adviser shall promptly provide to Penn Series’ Chief Compliance Officer (“CCO”) and the Adviser’s CCO the following documents:
Reporting of Compliance Matters a. The Sub-Adviser shall promptly provide to the Adviser the following:
Reporting of Compliance Matters. (a) The Sub-Adviser shall allow the Trust’s CCO and/or members of the SEI Funds Compliance Department to inspect (without taking copies) copies of all SEC correspondence with the Sub-Adviser, including documents related to examinations and “sweep” examinations of the Sub-Adviser, in which the SEC identified any concerns or issues related to the Sub-Adviser’s investment advisory services to third-party mutual funds. Notwithstanding the foregoing, Sub-Adviser may redact certain information not related to the provision of investment advisory services to third-party mutual funds. Such documents will be made available at the Sub-Adviser’s office during normal business hours and upon reasonable prior notice;
Reporting of Compliance Matters. (a) The Sub-Adviser shall promptly provide to the Trust’s Chief Compliance Officer (“CCO”) the following documents: copies of all SEC examination correspondences, including correspondences regarding books and records examinations and “sweep” examinations, issued during the term of this Agreement, in which the SEC identified any concerns, issues or matters (such correspondences are commonly referred to as “deficiency letters”) relating to any aspect of the Sub-Adviser’s investment advisory business and the Sub-Adviser’s responses thereto;
Reporting of Compliance Matters. The Sub-Adviser shall furnish the Adviser, the Board of Trustees and/or the Chief Compliance Officer of the Trust and/or the Adviser with such information, certifications and reports as such persons may reasonably deem appropriate or may request from the Sub-Adviser regarding the Sub-Adviser’s compliance with Rule 206(4)-7 of the Advisers Act and the Federal Securities Laws, as defined in Rule 38a-1 under the 1940 Act. The Sub-Adviser shall make its officers and employees available to the Adviser and/or the Chief Compliance Officer of the Trust and/or the Adviser from time to time to review the Sub-Adviser’s Compliance Program and its adherence thereto.
Reporting of Compliance Matters. (a) The Subadviser shall promptly provide to the Fund's Chief Compliance Officer ("CCO") the following documents:
Reporting of Compliance Matters. (a) The Sub-Adviser to make available for review by the Adviser at the Sub-Adviser’s office all deficiency letters issued by the SEC, together with all responses given by the Sub-Adviser to such letters.
Reporting of Compliance Matters. (a) The Sub-Adviser shall allow the Trusts Chief Compliance Officer (CCO) and/or members of the SEI Funds Compliance Department to inspect (without taking copies) copies of all SEC correspondence with the Sub-Adviser, including documents related to examinations and sweep examinations of the Sub-Adviser, in which the SEC identified any concerns or issues related to the Sub-Advisers investment advisory services to third- party mutual funds. Notwithstanding the foregoing, Sub-Adviser may redact certain information not related to the provision of investment advisory services to third-party mutual funds. Such documents will be made available at the Sub-Advisers office during normal business hours and upon reasonable prior notice; (b) The Sub-Adviser shall promptly provide to the Trusts CCO the following documents: (i) a report of any material violations of the Sub-Advisers Compliance Program or any material compliance matters (as such term is defined in Rule 38a-1 under the 0000 Xxx) that have occurred with respect to the Sub-Advisers Compliance Program; (ii) a report of any material changes to the policies and procedures that compose the Sub-Advisers Compliance Program; (iii) a copy of the Sub-Advisers chief compliance officers report (or similar document(s) which serve the same purpose) regarding his or her annual review of the Sub- Advisers Compliance Program, as required by Rule 206(4)-7 under the Advisers Act; and (iv) an annual (or more frequently as the Trusts CCO may reasonably request) representation regarding the Sub-Advisers compliance with Paragraphs 7 and 8 of this Agreement. (c) The Sub-Adviser shall also provide the Trusts CCO with: (i) reasonable access to the testing, analyses, reports and other documentation, or summaries thereof, that the Sub-Advisers chief compliance officer relies upon to monitor the effectiveness of the implementation of the Sub- Advisers Compliance Program; and (ii) reasonable access, during normal business hours, to the Sub- Advisers facilities for the purpose of conducting pre-arranged on-site compliance related due diligence meetings with personnel of the Sub-Adviser. 9.
Reporting of Compliance Matters. (a) The Sub-Adviser shall promptly provide to (or, in the case of subparagraph (a)(i) below, make available for inspection to at a mutually agreeable place) the Fund’s Chief Compliance Officer (“CCO”) the following documents:
