Principal Transactions. In connection with purchases or sales of securities for the account of a Fund, neither the Adviser nor any of its directors, officers or employees will act as a principal or agent or receive any commission except as permitted by the 1940 Act.
Appears in 290 contracts
Samples: Investment Advisory Agreement (World Funds Trust), Investment Advisory Agreement (World Funds Trust), Investment Advisory Agreement (Professionally Managed Portfolios)
Principal Transactions. In connection with purchases or sales of securities for the account of a the Fund, neither the Adviser nor any of its directors, officers or employees will act as a principal or agent or receive any commission except as permitted by the 1940 Act.
Appears in 59 contracts
Samples: Interim Investment Advisory Agreement (ETF Series Solutions), Form of Investment Advisory Agreement (Connetic Venture Capital Access Fund), Investment Advisory Agreement (Delaware Wilshire Private Markets Fund)
Principal Transactions. In connection with purchases or sales of securities for the account of a Fund, neither the Adviser nor any of its the Adviser’s directors, officers officers, or employees will shall act as a principal or agent or receive any commission except as permitted by the 1940 Act.
Appears in 35 contracts
Samples: Subadvisory Agreement (Advisors' Inner Circle Fund III), Investment Advisory Agreement (Advisors' Inner Circle Fund II), Investment Advisory Agreement (Advisors' Inner Circle Fund III)
Principal Transactions. In connection with purchases or sales of securities or other instruments for the account of a Fund, neither the Adviser nor any of its directors, officers or employees will act as a principal or agent or receive any commission except as permitted by the 1940 Act.
Appears in 11 contracts
Samples: Investment Advisory Agreement (Siren ETF Trust), Investment Advisory Agreement (Siren ETF Trust), Advisory Agreement (Reality Shares ETF Trust)
Principal Transactions. In connection with purchases or sales of securities for the account of a the Fund, neither the Adviser nor any of its the Adviser’s directors, officers officers, or employees will shall act as a principal or agent or receive any commission except as permitted by the 1940 Act.
Appears in 9 contracts
Samples: Expense Limitation Agreement (Advisors' Inner Circle Fund III), Investment Advisory Agreement (Advisors' Inner Circle Fund III), Investment Advisory Agreement (Advisors' Inner Circle Fund III)
Principal Transactions. In connection with purchases or sales of securities for the account of a Fundthe Company, neither the Adviser nor any of its the Adviser’s directors, officers officers, or employees will shall act as a principal or agent or receive any commission except as permitted by the 1940 Act.
Appears in 6 contracts
Samples: Investment Advisory Agreement (Advisors' Inner Circle Fund III), Investment Advisory Agreement (Advisors' Inner Circle Fund III), Investment Advisory Agreement (Advisors' Inner Circle Fund III)
Principal Transactions. In connection with purchases or sales of securities for the account of a Fund, neither the Adviser Advisor nor any of its directors, officers or employees will act as a principal or agent or receive any commission except as permitted by the 1940 Act.
Appears in 5 contracts
Samples: Investment Advisory Agreement (Brown Capital Management Mutual Funds), Investment Advisory Agreement (Brown Capital Management Mutual Funds), Amended Investment Advisory Agreement (Brown Capital Management Mutual Funds)
Principal Transactions. In connection with purchases or sales of securities for the account of a the Fund, neither the Sub-Adviser nor any of its directors, officers or employees will act as a principal or agent or receive any commission except as permitted by the 1940 Act.
Appears in 5 contracts
Samples: Sub Advisory Agreement (Bishop Street Funds), Sub Advisory Agreement (Bishop Street Funds), Sub Advisory Agreement (Advisors Inner Circle Fund II)
Principal Transactions. In connection with purchases or sales of securities for the account of a Fund, neither the Adviser nor any of its directors, officers or employees will act as a principal or agent or receive any commission except as permitted by the 1940 Act.
Appears in 4 contracts
Samples: Investment Advisory Agreement (Meeder Funds), Investment Advisory Agreement (Meeder Funds), Investment Advisory Agreement (Meeder Funds)
Principal Transactions. In connection with purchases or sales of securities investment instruments for the account of a Fundthe Funds, neither the Adviser nor any of its directors, officers or employees will act as a principal or agent or receive any commission except as permitted by the 1940 Act.
Appears in 3 contracts
Samples: Investment Advisory Agreement (Advisors' Inner Circle Fund III), Investment Advisory Agreement (Advisors' Inner Circle Fund III), Investment Advisory Agreement (Advisors' Inner Circle Fund III)
Principal Transactions. In connection with purchases or sales of securities or other investments for the account of a Fund, neither the Adviser nor any of its directors, officers or employees will act as a principal or agent or receive any commission except as permitted by the 1940 Act.
Appears in 2 contracts
Samples: Investment Advisory Agreement (Matrix Advisors Funds Trust), Investment Advisory Agreement (Loeb King Trust)
Principal Transactions. In connection with purchases or sales of securities for the account of a Fund, neither the Adviser nor any of its the Adviser's directors, officers officers, or employees will shall act as a principal or agent or receive any commission except as permitted by the 1940 Act.
Appears in 2 contracts
Samples: Investment Advisory Agreement (Oak Associates Funds), Investment Advisory Agreement (Advisors' Inner Circle Fund III)
Principal Transactions. In connection with purchases or sales of securities for the account of a the Fund, neither the Adviser nor any of its directors, officers or employees will act as a principal or agent or receive any commission except as permitted by the 1940 ActAct and the Fund's policies and procedures.
Appears in 2 contracts
Samples: Investment Advisory Agreement (Finance Co of Pennsylvania), Investment Advisory Agreement (Finance Co of Pennsylvania)
Principal Transactions. In connection with purchases or sales of securities for the account of a the Fund, neither the Adviser nor any of its directors, officers or employees will act as a principal or agent or receive any commission except as permitted by the 1940 ActAct or the rules and regulations thereunder.
Appears in 2 contracts
Samples: Investment Advisory Agreement (Advisors' Inner Circle Fund), Investment Advisory Agreement (Advisors Inner Circle Fund)
Principal Transactions. In connection with purchases or sales of securities for the account of a the Fund, neither the Adviser Advisor nor any of its directors, officers or employees will act as a principal or agent or receive any commission except as permitted by the 1940 Act.
Appears in 2 contracts
Samples: Investment Advisory Agreement (Thirdline Real Estate Income Fund), Investment Advisory Agreement (FNEX Ventures)
Principal Transactions. In connection with purchases or sales of securities for the account of a Fund, neither the Sub-Adviser nor any of its directors, officers or employees will act as a principal or agent or receive any commission except as permitted by the 1940 ActAct or the 0000 Xxx.
Appears in 1 contract
Samples: Sub Advisory Agreement (Advisors' Inner Circle Fund)
Principal Transactions. In connection with purchases or sales of securities for the account of a Fund, neither the Investment Adviser nor any of its the Investment Adviser’s directors, officers officers, or employees will shall act as a principal or agent or receive any commission except as permitted by the 1940 Act.
Appears in 1 contract
Principal Transactions. In connection with purchases or sales of securities or other assets for the account of a FundCompany, neither the Adviser nor any of its directors, officers or employees will act as a principal or agent or receive any commission except as permitted by the 1940 Actapplicable law.
Appears in 1 contract
Principal Transactions. In connection with purchases or sales of securities for the account of a the Fund, neither the Adviser nor any of its the Adviser’s directors, officers officers, or employees will act as a principal or agent or receive any commission except as permitted by the 1940 Act.
Appears in 1 contract
Samples: Investment Advisory Agreement (Advisors' Inner Circle Fund III)
Principal Transactions. In connection with purchases or sales of securities for the account accounts of a Fundthe Funds, neither the Sub-Adviser nor any of its directors, officers or employees will act as a principal or agent or receive any commission except as permitted by the 1940 Act.
Appears in 1 contract
Principal Transactions. In connection with purchases or sales of securities or other investments for the account of a Fundthe Company, neither the Adviser nor any of its directors, officers or employees will act as a principal or agent or receive any commission except as permitted by the 1940 Act.
Appears in 1 contract
