Qualification to Act. 9.01 The Participating Dealer hereby represents that it is either (a) a member in good standing of FINRA or (b) exempt under federal and state securities laws from registration as a broker or dealer, and has been duly authorized by proper corporate action to enter into this Agreement and to perform its obligations hereunder, evidence of which corporate action shall be properly maintained and made part of Participating Dealer's corporate records.
Appears in 3 contracts
Samples: Sub Distribution and Servicing Agreement (Winton Diversified Opportunities Fund), Sub Distribution and Servicing Agreement (Advisors Inner Circle Fund), Sub Distribution and Servicing Agreement (Oak Associates Funds)
Qualification to Act. 9.01 The Participating Dealer hereby represents that it is either (a) a member in good standing of FINRA or (b) exempt under federal and state securities laws from registration as a broker or dealer, and has been duly authorized by proper corporate action to enter into this Agreement and to perform its obligations hereunder, evidence of which corporate action shall be properly maintained and made part of Participating Dealer's ’s corporate records.
Appears in 2 contracts
Samples: Sub Distribution and Servicing Agreement (Bishop Street Funds), Sub Distribution and Servicing Agreement (TD Asset Management USA Funds Inc.)
