Oversight of Service Providers Sample Clauses

Oversight of Service Providers. 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. In furtherance of this duty,
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Oversight of Service Providers. 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 the Trust's investment adviser, WisdomTree Asset Management, Inc. (the "Investment Adviser"), the Trust's administrator, transfer agent and investment subadviser, The Bank of New York (the "Investment Subadviser", and the Trust's distributor, ALPS Distributors, Inc. (the "Distributor"), (for purposes of this Exhibit A, the Investment Adviser, the Investment Subadviser and the Distributor, collectively, the "Service Providers"). In furtherance of this duty,
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Oversight of Service Providers. The CCO is responsible for overseeing, on behalf of the Fund, adherence to the written compliance policies and procedures of the Fund's service providers, including the Fund's investment adviser, XShares Advisors, LLC (the "Investment Adviser"), the Fund's administrator, transfer agent and investment subadviser, and the Fund's distributor, ALPS Distributors, Inc. (the "Distributor"), (for purposes of this Exhibit A, the Investment Adviser, the Investment Subadviser and the Distributor, collectively, the "Service Providers"). In furtherance of this duty,
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Oversight of Service Providers. The CCO is responsible for overseeing, on behalf CLIENT, adherence to the written compliance policies and procedures of CLIENT’s service providers, including CLIENT’s adviser, sub-advisers, administrator, accountant, transfer agent, custodian and principal underwriter (collectively, the “Service Providers”). In furtherance of this duty, 1 “Federal Securities Laws” are defined by the Rule as the Securities Act of 1933, the Securities Exchange Act of 1934, the Xxxxxxxx-Xxxxx Act of 2002, the Investment Company Act of 1940, the Investment Advisers Act of 1940, Title V of the Xxxxx-Xxxxx-Xxxxxx Act, any SEC rules adopted under any of the foregoing laws, the Bank Secrecy Act, as it applies to registered investment companies, and any rules adopted thereunder by the SEC or the Department of Treasury.
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Oversight of Service Providers. The Administrator shall maintain oversight with respect to the activities of the Service Providers and shall review all relevant reports, documentation and other work product prepared by the Service Providers, including but not limited to:
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Oversight of Service Providers. Pxxxxxx has adopted an information security program that establishes adequate administrative, technical and physical safeguards to protect customer information against misuse, alteration, destruction, or unauthorized disclosure. Pxxxxxx performs due diligence on service providers and requires that all contracts with service providers, who have access to customer nonpublic personal information in the course of providing services to Prosper, have a clause that requires the provider to maintain an information security program designed to achieve these objectives. To the extent that material issues arise, risk assessments will be performed on these vendors and material issues will be monitored until resolved. Independent Testing Exhibit G Identity Theft Prevention Policy and Program The Director of Operations will perform evaluations to ensure that Prosper personnel are aware of and complying with the Program. In Pxxxxxx’s discretion, arrangements may also be made for independent third party testing to be performed. This testing will include determining if any Prosper customers have been the victims of ID theft and, if so, whether Pxxxxxx took the proper steps thereafter. In addition, such testing will focus on any modifications that should be made to the Program. IDENTIFICATION OF COVERED ACCOUNTS INCLUDING A RISK ASSESSMENT In order to identify risks to covered accounts, Pxxxxxx performed an initial risk assessment taking into consideration: · The types of covered accounts Prosper offers; · The methods Prosper uses to open covered accounts; · The methods Prosper uses to provide access to Prosper customer’s accounts; and · Pxxxxxx’s experiences with identity theft. To assist us in this process, Pxxxxxx used the illustrative examples of Red Flags that are contained in Supplement A to Appendix A of the FTC’s version of the Final Rules. This information was listed on a data gathering document and distributed to the Operations Department for completion. The data gathering document required the business unit to document: · The covered account types offered by their business unit; · Controls, policies and procedures in place to comply with the provision and/or Red Flag listed for the covered accounts they offered; · The reason why a specific provision and/or Red Flag would not apply to their business unit; · The data collected (if applicable) in compliance with the provision and/or Red Flag; · What the escalation and/or decision process is and where that escalation...
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Oversight of Service Providers. 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 Kotak Mahindra (UK) Ltd. (“Kotak”) and distributor (the “Distributor”) (Kotak and Distributor, collectively, the “Service Providers”). In furtherance of this duty,
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Oversight of Service Providers. 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 the Trust, the advisor, the distributor, the administrator, and the transfer agent (the “Service Providers”). In furtherance of this duty, 1 “Federal Securities Laws” are defined by the Rule as the Securities Act of 1933, the Securities Exchange Act of 1934, the Xxxxxxxx-Xxxxx Act of 2002, the Investment Company Act of 1940, the Investment Advisers Act of 1940, Title V of the Xxxxx-Xxxxx-Xxxxxx Act, any SEC rules adopted under any of the foregoing laws, the Bank Secrecy Act, as it applies to registered investment companies, and any rules adopted thereunder by the SEC or the Department of Treasury.
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Related to Oversight of Service Providers

  • Agreements with Other Service Providers Each Fund hereby appoints FSSC as the Fund’s agent to enter into agreements with financial intermediaries that are not registered as broker/dealers under the 1934 Act (each an “Unregistered Intermediary”) to provide Services to their customers that are Shareholders of the Fund. Each Fund agrees to pay Service Fees at an annual rate as set forth in Schedule 1 to this Agreement of up to 0.25% of the average net assets held in Fund accounts for which an Unregistered Intermediary has agreed to provide Services. Any such accounts shall not be treated as FSSC Accounts for purposes of this Agreement.

  • Third Party Service Providers Unless otherwise prohibited by Apple in the Documentation or this Agreement, You are permitted to employ or retain a third party (“Service Provider”) to assist You in using the Apple Software and Services provided pursuant to this Agreement, including, but not limited to, engaging any such Service Provider to maintain and administer Your Applications’ servers on Your behalf, provided that any such Service Provider’s use of the Apple Software and Services or any materials associated therewith is done solely on Your behalf and only in accordance with these terms. Notwithstanding the foregoing, You may not use a Service Provider to submit an Application to the App Store or use TestFlight on Your behalf. You agree to have a binding written agreement with Your Service Provider with terms at least as restrictive and protective of Apple as those set forth herein. Any actions undertaken by any such Service Provider in relation to Your Applications or use of the Apple Software or Apple Services and/or arising out of this Agreement shall be deemed to have been taken by You, and You (in addition to the Service Provider) shall be responsible to Apple for all such actions (or any inactions). In the event of any actions or inactions by the Service Provider that would constitute a violation of this Agreement or otherwise cause any harm, Apple reserves the right to require You to cease using such Service Provider.

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