Accounts and Records. The accounts and records maintained by ALPS shall be the property of the Fund. ALPS shall prepare, maintain and preserve such accounts and records as required by the 1940 Act and other applicable securities laws, rules and regulations. ALPS shall surrender such accounts and records to the Fund, in the form in which such accounts and records have been maintained or preserved, promptly upon receipt of instructions from the Fund. The Fund shall have access to such accounts and records at all times during ALPS’ normal business hours. Upon the reasonable request of the Fund, copies of any such books and records shall be provided by ALPS to the Fund at the Fund’s expense. ALPS shall assist the Fund, the Fund’s independent auditors, or, upon approval of the Fund, any regulatory body, in any requested review of the Fund’s accounts and records, and reports by ALPS or its independent accountants concerning its accounting system and internal auditing controls will be open to such entities for audit or inspection upon reasonable request. ALPS or its undersigned as defined by Rule 17a-4 of the Securities and Exchange Act (the “Exchange Act”), shall have access to all electronic communications, including password access to the system storing the electronic communications, of registered representatives of ALPS that are associated with the Fund and are required to be maintained under Rule 17a-4 of the Exchange Act and FINRA Rules 3110 and 3010. Electronic storage media maintained by the Fund will comply with Rule 17a-4 of the Exchange Act.
Appears in 32 contracts
Samples: Distribution Agreement (CRM Mutual Fund Trust), Distribution Agreement (Holland Series Fund Inc), Distribution Agreement (Janus Detroit Street Trust)
Accounts and Records. The accounts and records maintained by ALPS shall be the property of the Fund. ALPS shall prepare, maintain and preserve such accounts and records as required by the 1940 Act and other applicable securities laws, rules and regulations. ALPS shall surrender such accounts and records to the Fund, in the form in which such accounts and records have been maintained or preserved, promptly upon receipt of instructions from the Fund. The Fund shall have access to such accounts and records at all times during ALPS’ normal business hours. Upon the reasonable request of the Fund, copies of any such books and records shall be provided by ALPS to the Fund at the Fund’s expense. ALPS shall assist the Fund, the Fund’s independent auditors, or, upon approval of the Fund, any regulatory body, in any requested review of the Fund’s accounts and records, and reports by ALPS or its independent accountants concerning its accounting system and internal auditing controls will be open to such entities for audit or inspection upon reasonable request. ALPS or its undersigned as defined by Rule 17a-4 of the Securities and Exchange Act (the “Exchange 1934 Act”), shall have access to all electronic communications, including password access to the system storing the electronic communications, of registered representatives of ALPS that are associated with the Fund and are required to be maintained under Rule 17a-4 of the Exchange 1934 Act and FINRA Rules 3110 and 3010. Electronic storage media maintained by the Fund will comply with Rule 17a-4 of the Exchange 1934 Act.
Appears in 26 contracts
Samples: Distribution Agreement (Gemcorp Commodities Alternative Products Fund), Distribution Agreement (CION Grosvenor Infrastructure Fund), Distribution Agreement (Sphinx Opportunity Fund II)
Accounts and Records. The accounts and records maintained by ALPS shall be the property of the FundTrust. ALPS shall prepare, maintain and preserve such accounts and records as required by the 1940 Act and other applicable securities laws, rules and regulations. ALPS shall surrender such accounts and records to the FundTrust, in the form in which such accounts and records have been maintained or preserved, promptly upon receipt of instructions from the FundTrust. The Fund Trust shall have access to such accounts and records at all times during ALPS’ normal business hours. Upon the reasonable request of the FundTrust, copies of any such books and records shall be provided by ALPS to the Fund Trust at the FundTrust’s expense. ALPS shall assist the FundTrust, the FundTrust’s independent auditors, or, upon approval of the FundTrust, any regulatory body, in any requested review of the FundTrust’s accounts and records, and reports by ALPS or its independent accountants concerning its accounting system and internal auditing controls will be open to such entities for audit or inspection upon reasonable request. ALPS or its undersigned as defined by Rule 17a-4 of the Securities and Exchange Act (the “Exchange Act”), shall have access to all electronic communications, including password access to the system storing the electronic communications, of registered representatives of ALPS that are associated with the Fund Trust and are required to be maintained under Rule 17a-4 of the Exchange Act and FINRA Rules 3110 and 3010. Electronic storage media maintained by the Fund Trust will comply with Rule 17a-4 of the Exchange Act.
Appears in 21 contracts
Samples: Distribution Agreement (X-Square Series Trust), Distribution Agreement (Emerge ETF Trust), Distribution Agreement (GraniteShares ETF Trust)
Accounts and Records. The accounts and records maintained by ALPS shall be the property of the Fund. ALPS shall prepare, maintain and preserve such accounts and records as required by the 1940 Act and other applicable securities laws, rules and regulations. ALPS shall surrender such accounts and records to the Fund, in the form in which such accounts and records have been maintained or preserved, promptly upon receipt of instructions from the Fund. The Fund shall have access to such accounts and records at all times during ALPS’ normal business hours. Upon the reasonable request of the Fund, copies of any such books and records shall be provided by ALPS to the Fund at the Fund’s expense. ALPS shall assist the Fund, the Fund’s independent auditors, or, upon approval of the Fund, any regulatory body, in any requested review of the Fund’s accounts and records, and reports by ALPS or its independent accountants concerning its accounting system and internal auditing controls will be open to such entities for audit or inspection upon reasonable request. ALPS or its undersigned as defined by Rule 17a-4 of under the Securities and Exchange Act (the “Exchange Act”), shall have access to all electronic communications, including password access to the system storing the electronic communications, of registered representatives of ALPS that are associated with the Fund and are required to be maintained under Rule 17a-4 of under the Exchange Act and FINRA Rules 3110 and 3010. Electronic storage media maintained by the Fund will comply with Rule 17a-4 of under the Exchange Act.
Appears in 9 contracts
Samples: Distribution Agreement (Stone Ridge Trust V), Distribution Agreement (Stone Ridge Trust III), Distribution Agreement (Stone Ridge Trust IV)
Accounts and Records. The accounts and records maintained by ALPS shall be the property of the FundTrust. ALPS shall prepare, maintain and preserve such accounts and records as required by the 1940 Act and other applicable securities laws, rules and regulations. ALPS shall surrender such accounts and records to the Fund, in the form in which such accounts and records have been maintained or preserved, promptly upon receipt of instructions from the FundTrust. The Fund Trust shall have access to such accounts and records at all times during ALPS’ normal business hours. Upon the reasonable request of the FundTrust, copies of any such books and records shall be provided by ALPS to the Fund Trust at the Fund’s expense. ALPS shall assist the FundTrust, the Fund’s independent auditors, or, upon approval of the FundTrust, any regulatory body, in any requested review of the Fund’s accounts and records, and reports by ALPS or its independent accountants concerning its accounting system and internal auditing controls will be open to such entities for audit or inspection upon reasonable request. ALPS or its undersigned as defined by Rule 17a-4 of the Securities and Exchange 1934 Act (the “Exchange Act”), shall have access to all electronic communications, including password access to the system storing the electronic communications, of registered representatives of ALPS that are associated with the Fund Trust and are required to be maintained under Rule 17a-4 of the Exchange 1934 Act and FINRA Rules 3110 and 3010. Electronic storage media maintained by the Fund Trust will comply with Rule 17a-4 of the Exchange 1934 Act.
Appears in 8 contracts
Samples: Distribution Agreement (Financial Investors Trust), Distribution Agreement (Financial Investors Trust), Distribution Agreement (Financial Investors Trust)
Accounts and Records. The accounts and records maintained by ALPS shall be the property of the Fund. ALPS shall prepare, maintain and preserve such accounts and records as required by the 1940 Act and other applicable securities laws, rules and regulations. ALPS shall surrender all such accounts and records to the Fund, in the form in which such accounts and records have been maintained or preserved, promptly upon receipt of instructions from the Fund. The Fund shall have access to all such accounts and records at all times during ALPS’ normal business hours. Upon the reasonable request of the Fund, copies of any such books and records shall be provided by ALPS to the Fund at the Fund’s expense. ALPS shall assist the Fund, the Fund’s independent auditors, or, upon approval of the Fund, any regulatory body, in any requested review of the Fund’s accounts and records, and reports by ALPS or its independent accountants concerning its accounting system and internal auditing controls will be open to such entities for audit or inspection upon reasonable request. ALPS or its undersigned as defined by Rule 17a-4 of the Securities and Exchange Act (the “Exchange 1934 Act”), shall have access to all electronic communications, including password access to the system storing the electronic communications, of registered representatives of ALPS that are associated with the Fund and are required to be maintained under Rule 17a-4 of the Exchange 1934 Act and FINRA Rules 3110 and 3010. Electronic storage media maintained by the Fund will comply with Rule 17a-4 of the Exchange 1934 Act.
Appears in 7 contracts
Samples: Distribution Agreement (FS Multi-Alternative Income Fund), Distribution Agreement (FS Energy Total Return Fund), Distribution Agreement (FS Credit Income Fund)
Accounts and Records. The accounts and records maintained by ALPS shall be the property of the Fund. ALPS shall prepare, maintain and preserve such accounts and records as required by the 1940 Act and other applicable securities laws, rules and regulations. ALPS shall surrender such accounts and records to the Fund, in the form in which such accounts and records have been maintained or preserved, promptly upon receipt of instructions from the Fund. The Fund shall have access to such accounts and records at all times during ALPS’ normal business hours. Upon the reasonable request of the Fund, copies of any such books and records shall be provided by ALPS to the Fund at the Fund’s expense. ALPS shall assist the Fund, the Fund’s independent auditors, or, upon approval of the Fund, any regulatory body, in any requested review of the Fund’s accounts and records, and reports by ALPS or its independent accountants concerning its accounting system and internal auditing controls will be open to such entities for audit or inspection upon reasonable request. ALPS or its undersigned “undersigned”, as defined by Rule 17a-4 of the Securities and Exchange Act (the “Exchange 1934 Act”), shall have access to all electronic communications, including password access to the system storing the electronic communications, of registered representatives of ALPS that are associated with the Fund and are required to be maintained under Rule 17a-4 of the Exchange 1934 Act and FINRA Rules 3110 and 3010. Electronic storage media maintained by the Fund will comply with Rule 17a-4 of the Exchange 1934 Act.
Appears in 6 contracts
Samples: Distribution Agreement (CC Real Estate Income Fund-T2), Distribution Agreement (CC Real Estate Income Fund-Adv), Distribution Agreement (NorthStar Real Estate Capital Income Fund-C)
Accounts and Records. The accounts and records maintained by ALPS shall be the property of the FundTrust. ALPS shall prepare, maintain and preserve such accounts and records as required by the 1940 Act and other applicable securities laws, rules and regulations. ALPS shall surrender such accounts and records to the FundTrust, in the form in which such accounts and records have been maintained or preserved, promptly upon receipt of instructions from the FundTrust. The Fund Trust shall have access to such accounts and records at all times during ALPS’ ’s normal business hours. Upon the reasonable request of the FundTrust, copies of any such books and records shall be provided by ALPS to the Fund Trust at the Fund’s Funds’ expense. ALPS shall assist the FundTrust, the Fund’s Funds’ independent auditors, or, upon approval of the FundTrust, any regulatory body, in any requested review of the Fund’s Funds’ accounts and records, and reports by ALPS or its independent accountants concerning its accounting system and internal auditing controls will be open to such entities for audit or inspection upon reasonable request. ALPS or its undersigned as defined by Rule 17a-4 of the Securities and Exchange Act (the “Exchange 1934 Act”), shall have access to all electronic communications, including password access to the system storing the electronic communications, of registered representatives of ALPS that are associated with the Fund Funds and are required to be maintained under Rule 17a-4 of the Exchange 1934 Act and FINRA NASD Rules 3110 and 3010. Electronic storage media maintained by the Fund Trust will comply with Rule 17a-4 of the Exchange 1934 Act.
Appears in 6 contracts
Samples: Distribution Agreement (Litman Gregory Funds Trust), Distribution Agreement (ALPS Series Trust), Distribution Agreement (ALPS Series Trust)
Accounts and Records. The accounts and records maintained by ALPS shall be the property of the FundTrust. ALPS shall prepare, maintain and preserve such accounts and records as required by the 1940 Act and other applicable securities laws, rules and regulations. ALPS shall surrender such accounts and records to the FundTrust, in the form in which such accounts and records have been maintained or preserved, promptly upon receipt of instructions from the FundTrust. The Fund Trust shall have access to such accounts and records at all times during ALPS’ normal business hours. Upon the reasonable request of the FundTrust, copies of any such books and records shall be provided by ALPS to the Fund Trust at the FundTrust’s expense. ALPS shall assist the FundTrust, the FundTrust’s independent auditors, or, upon approval of the FundTrust, any regulatory body, in any requested review of the FundTrust’s accounts and records, and reports by ALPS or its independent accountants concerning its accounting system and internal auditing controls will be open to such entities for audit or inspection upon reasonable request. ALPS or its undersigned as defined by Rule 17a-4 of the Securities and Exchange Act (the “Exchange Act”), shall have access to all electronic communications, including password access to the system storing the electronic communications, of registered representatives of ALPS that are associated with the Fund Trust and are required to be maintained under Rule 17a-4 of the Exchange Act and FINRA Rules 3110 and 3010Rule 3110. Electronic storage media maintained by the Fund Trust will comply with Rule 17a-4 of the Exchange Act.
Appears in 5 contracts
Samples: Distribution Agreement (Axonic Funds), Distribution Agreement (Brown Advisory Funds), Distribution Agreement (Centre Funds)
Accounts and Records. The accounts and records maintained by ALPS shall be the property of the FundCortina. ALPS shall prepare, maintain and preserve such accounts and records as required by the 1940 Act and other applicable securities laws, rules and regulations. ALPS shall surrender such accounts and records to the Fund, in the form in which such accounts and records have been maintained or preserved, promptly upon receipt of instructions from the FundCortina. The Fund Cortina shall have access to such accounts and records at all times during ALPS’ ’s normal business hours. Upon the reasonable request of the FundCortina, copies of any such books and records shall be provided by ALPS to the Fund Cortina at the Fund’s Funds’ expense. ALPS shall assist the FundCortina, the Fund’s Funds’ independent auditors, or, upon approval of the FundCortina, any regulatory body, in any requested review of the Fund’s Funds’ accounts and records, and reports by ALPS or its independent accountants concerning its accounting system and internal auditing controls will be open to such entities for audit or inspection upon reasonable request. ALPS or its undersigned as defined by Rule 17a-4 of the Securities and Exchange 1934 Act (the “Exchange Act”), shall have access to all electronic communications, including password access to the system storing the electronic communications, of registered representatives of ALPS that are associated with the Fund Cortina and are required to be maintained under Rule 17a-4 of the Exchange 1934 Act and FINRA Rules 3110 and 3010. Electronic storage media maintained by the Fund Cortina will comply with Rule 17a-4 of the Exchange 1934 Act.
Appears in 4 contracts
Samples: Distribution Agreement (Cortina Funds, Inc.), Distribution Agreement (Cortina Funds, Inc.), Distribution Agreement (Cortina Funds, Inc.)
Accounts and Records. The accounts and records maintained by ALPS shall be the property of the Fund. ALPS shall prepare, maintain and preserve such accounts and records as required by the 1940 Act and other applicable securities laws, rules and regulations. ALPS shall surrender such accounts and records to the Fund, in the form in which such accounts and records have been maintained or preserved, promptly upon receipt of instructions from the Fund. The Fund shall have access to such accounts and records at all times during ALPS’ normal business hours. Upon the reasonable request of the Fund, copies of any such books and records shall be provided by ALPS to the Fund at the Fund’s expense. ALPS shall assist the Fund, the Fund’s independent auditors, or, upon approval of the Fund, any regulatory body, in any requested review of the Fund’s accounts and records, and reports by ALPS or its independent accountants concerning its accounting system and internal auditing controls will be open to such entities for audit or inspection upon reasonable request. ALPS or its undersigned as defined by Rule 17a-4 of under the Securities and Exchange Act (the “Exchange 1934 Act”), shall have access to all electronic communications, including password access to the system storing the electronic communications, of registered representatives of ALPS that are associated with the Fund and are required to be maintained under Rule 17a-4 of under the Exchange 1934 Act and FINRA Rules 3110 and 3010. Electronic storage media maintained by the Fund will comply with Rule 17a-4 of under the Exchange 1934 Act.
Appears in 4 contracts
Samples: Distribution Agreement (Stone Ridge Trust VIII), Distribution Agreement (Stone Ridge Trust VI), Distribution Agreement (Stone Ridge Residential Real Estate Income Fund I, Inc.)
Accounts and Records. The accounts and records maintained by ALPS shall be the property of the each Fund. ALPS shall prepare, maintain and preserve such accounts and records as required by the 1940 Act and other applicable securities laws, rules and regulations. ALPS shall surrender such accounts and records to the each Fund, in the form in which such accounts and records have been maintained or preserved, promptly upon receipt of instructions from the each Fund. The Each Fund shall have access to such accounts and records at all times during ALPS’ normal business hours. Upon the reasonable request of the a Fund, copies of any such books and records shall be provided by ALPS to the such Fund at the such Fund’s expense. ALPS shall assist the each Fund, the each Fund’s independent auditors, or, upon approval of the a Fund, any regulatory body, in any requested review of the a Fund’s accounts and records, and reports by ALPS or its independent accountants concerning its accounting system and internal auditing controls will be open to such entities for audit or inspection upon reasonable request. ALPS or its undersigned as defined by Rule 17a-4 of the Securities and Exchange Act (the “Exchange Act”), shall have access to all electronic communications, including password access to the system storing the electronic communications, of registered representatives of ALPS that are associated with the a Fund and are required to be maintained under Rule 17a-4 of the Exchange Act and FINRA Rules 3110 and 3010. Electronic storage media maintained by the Fund Funds will comply with Rule 17a-4 of the Exchange Act.
Appears in 4 contracts
Samples: Distribution Agreement (North American Government Bond Fund Inc), Distribution Agreement (Managed Municipal Fund Inc), Distribution Agreement (Isi Strategy Fund Inc)
Accounts and Records. The accounts and records maintained by ALPS shall be the property of the FundTrust. ALPS shall prepare, maintain and preserve such accounts and records as required by the 1940 Act and other applicable securities laws, rules and regulations. ALPS shall surrender such accounts and records to the FundTrust, in the form in which such accounts and records have been maintained or preserved, promptly upon receipt of instructions from the FundTrust. The Fund Trust shall have access to such accounts and records at all times during ALPS’ normal business hours. Upon the reasonable request of the FundTrust, copies of any such books and records shall be provided by ALPS to the Fund Trust at the FundTrust’s expense. ALPS shall assist the FundTrust, the FundTrust’s independent auditors, or, upon approval of the FundTrust, any regulatory body, in any requested review of the FundTrust’s accounts and records, and reports by ALPS or its independent accountants concerning its accounting system and internal auditing controls will be open to such entities for audit or inspection upon reasonable request. ALPS or its undersigned as defined by Rule 17a-4 of the Securities and Exchange Act (the “Exchange 1934 Act”), shall have access to all electronic communications, including password access to the system storing the electronic communications, of registered representatives of ALPS that are associated with the Fund Trust and are required to be maintained under Rule 17a-4 of the Exchange 1934 Act and FINRA Rules 3110 and 3010. Electronic storage media maintained by the Fund Trust will comply with Rule 17a-4 of the Exchange 1934 Act.
Appears in 4 contracts
Samples: Distribution Agreement (Investment Managers Series Trust II), Distribution Agreement (IndexIQ Active ETF Trust), Distribution Agreement (OWLshares Trust)
Accounts and Records. The accounts and records maintained by ALPS shall be the property of the FundTrust. ALPS shall prepare, maintain and preserve such accounts and records as required by the 1940 Act and other applicable securities laws, rules and regulations. ALPS shall surrender such accounts and records to the FundTrust, in the form in which such accounts and records have been maintained or preserved, promptly upon receipt of instructions from the FundTrust. The Fund Trust shall have access to such accounts and records at all times during ALPS’ ’s normal business hours. Upon the reasonable request of the FundTrust, copies of any such books and records shall be provided by ALPS to the Fund Trust at the Fund’s expense. ALPS shall assist the FundTrust, the Fund’s independent auditors, or, upon approval of the FundTrust, any regulatory body, in any requested review of the Fund’s accounts and records, and reports by ALPS or its independent accountants concerning its accounting system and internal auditing controls will be open to such entities for audit or inspection upon reasonable request. ALPS or its undersigned as defined by Rule 17a-4 of the Securities and Exchange Act (the “Exchange 1934 Act”), shall have access to all electronic communications, including password access to the system storing the electronic communications, of registered representatives of ALPS that are associated with the Fund and are required to be maintained under Rule 17a-4 of the Exchange 1934 Act and FINRA NASD Rules 3110 and 3010. Electronic storage media maintained by the Fund Trust will comply with Rule 17a-4 of the Exchange 1934 Act.
Appears in 3 contracts
Samples: Distribution Agreement (ALPS Series Trust), Distribution Agreement (ALPS Series Trust), Distribution Agreement (ALPS Series Trust)
Accounts and Records. The accounts and records maintained by ALPS shall be the property of the FundFunds. ALPS shall prepare, maintain and preserve such accounts and records as required by the 1940 Act and other applicable securities laws, rules and regulations. Such accounts and records shall be prepared in accordance with (i) U.S. Generally Accepted Accounting Principles ("GAAP"), as required, and (ii) the Internal Revenue Code of 1986, as amended (the "Code"). ALPS shall surrender such accounts and records to the FundFunds, in the form in which such accounts and records have been maintained or preserved, promptly upon receipt of instructions from the FundFunds. The Fund Funds shall have access to such accounts and records at all times during ALPS’ normal business hours. Upon the reasonable request of the FundFunds, copies of any such books and records shall be provided by ALPS to the Fund Funds at the Fund’s Funds’ expense. ALPS shall assist the FundFunds, the Fund’s Funds’ independent auditors, or, upon approval of the FundFunds, any regulatory body, in any requested review of the Fund’s Funds’ accounts and records, records and reports by ALPS or its independent accountants concerning its accounting system and internal auditing controls will be open to such entities for audit or inspection upon reasonable request. ALPS or its undersigned as defined by Rule 17a-4 of the Securities and Exchange Act (the “Exchange Act”), shall have access to all electronic communications, including password access to the system storing the electronic communications, of registered representatives of ALPS that are associated with the Fund and are required to be maintained under Rule 17a-4 of the Exchange Act and FINRA Rules 3110 and 3010. Electronic storage media maintained by the Fund will comply with Rule 17a-4 of the Exchange Act.
Appears in 3 contracts
Samples: Administration, Bookkeeping and Pricing Services Agreement (CC Real Estate Income Fund-T2), Administration, Bookkeeping and Pricing Services Agreement (NorthStar Real Estate Capital Income Fund-T), Administration, Bookkeeping and Pricing Services Agreement (NorthStar Real Estate Capital Income Fund)
Accounts and Records. The accounts and records maintained by ALPS shall be the property of the Fund. ALPS shall prepare, maintain and preserve such accounts and records as required by the 1940 Act and other applicable securities laws, rules and regulations. ALPS shall surrender such accounts and records to the Fund, in the form in which such accounts and records have been maintained or preserved, promptly upon receipt of instructions from the Fund. The Fund shall have access to such accounts and records at all times during ALPS’ normal business hours. Upon the reasonable request of the Fund, copies of any such books and records shall be provided by ALPS to the Fund at the Fund’s expense. ALPS shall assist the Fund, the Fund’s independent auditors, or, upon approval of the Fund, any regulatory body, in any requested review of the Fund’s accounts and records, and reports by ALPS or its independent accountants concerning its accounting system and internal auditing controls will be open to such entities for audit or inspection upon reasonable request. ALPS or its undersigned as defined by Rule 17a-4 of the Securities and Exchange Act (the “Exchange Act”), shall have access to all electronic communications, including password access to the system storing the electronic communications, communications of registered representatives of ALPS that are associated with the Fund and are required to be maintained under Rule 17a-4 of the Exchange Act and FINRA Rules 3110 and 3010. Electronic storage media maintained by the Fund will comply with Rule 17a-4 of the Exchange Act.
Appears in 3 contracts
Samples: Distribution Agreement (GLG Investment Series Trust), Distribution Agreement (GLG Investment Series Trust), Distribution Agreement (GLG Investment Series Trust)
Accounts and Records. The accounts and records maintained by ALPS shall be the property of the FundTrust. ALPS shall prepare, maintain and preserve such accounts and records as required by the 1940 Act and other applicable securities laws, rules and regulations. ALPS shall surrender all such accounts and records to the FundTrust, in the form in which such accounts and records have been maintained or preserved, promptly upon receipt of instructions from the FundTrust. The Fund Trust shall have access to all such accounts and records at all times during ALPS’ normal business hours. Upon the reasonable request of the FundTrust, copies of any such books and records shall be provided by ALPS to the Fund Trust at the FundTrust’s expense. ALPS shall assist the FundTrust, the FundTrust’s independent auditors, or, upon approval of the FundTrust, any regulatory body, in any requested review of the FundTrust’s accounts and records, and reports by ALPS or its independent accountants concerning its accounting system and internal auditing controls will be open to such entities for audit or inspection upon reasonable request. ALPS or its undersigned as defined by Rule 17a-4 of the Securities and Exchange Act (the “Exchange 1934 Act”), shall have access to all electronic communications, including password access to the system storing the electronic communications, of registered representatives of ALPS that are associated with the Fund Trust and are required to be maintained under Rule 17a-4 of the Exchange 1934 Act and FINRA Rules 3110 and 3010. Electronic storage media maintained by the Fund Trust will comply with Rule 17a-4 of the Exchange 1934 Act.
Appears in 3 contracts
Samples: Distribution Agreement (FS Series Trust), Distribution Agreement (FS Series Trust), Distribution Agreement (FS Series Trust)
Accounts and Records. The accounts and records maintained by ALPS shall be the property of the FundTrust. ALPS shall prepare, maintain and preserve such accounts and records as required by the 1940 Act and other applicable securities laws, rules and regulations. ALPS shall surrender such accounts and records to the FundTrust, in the form in which such accounts and records have been maintained or preserved, promptly upon receipt of instructions from the FundTrust. The Fund Trust shall have access to such accounts and records at all times during ALPS’ normal business hours. Upon the reasonable request of the FundTrust, copies of any such books and records shall be provided by ALPS to the Fund Trust at the FundTrust’s expense. ALPS shall assist the FundTrust, the FundTrust’s independent auditors, or, upon approval of the FundTrust, any regulatory body, in any requested review of the FundTrust’s accounts and records, and reports by ALPS or its independent accountants concerning its accounting system and internal auditing controls will be open to such entities for audit or inspection upon reasonable request. ALPS or its undersigned as defined by Rule 17a-4 of the Securities and Exchange Act of 1934 (the “Exchange Act”), shall have access to all electronic communications, including password access to the system storing the electronic communications, of registered representatives of ALPS that are associated with the Fund Trust and are required to be maintained under Rule 17a-4 of the Exchange Act and FINRA Rules 3110 and 3010. Electronic storage media maintained by the Fund Trust will comply with Rule 17a-4 of the Exchange Act.
Appears in 3 contracts
Samples: Distribution Agreement (BPV Family of Funds), Distribution Agreement (BPV Family of Funds), Distribution Agreement (BPV Family of Funds)
Accounts and Records. The accounts and records maintained by ALPS shall be the property of the FundTrust. ALPS shall prepare, maintain and preserve such accounts and records as required by the 1940 Act and other applicable securities laws, rules and regulations. ALPS shall surrender such accounts and records to the FundTrust, in the form in which such accounts and records have been maintained or preserved, promptly upon receipt of instructions from the FundTrust. The Fund Trust shall have access to such accounts and records at all times during ALPS’ normal business hours. Upon the reasonable request of the FundTrust, copies of any such books and records shall be provided by ALPS to the Fund Trust at the FundTrust’s expense. ALPS shall assist the FundTrust, the FundTrust’s independent auditors, or, upon approval of the FundTrust, any regulatory body, in any requested review of the FundTrust’s accounts and records, and reports by ALPS or its independent accountants concerning its accounting system and internal auditing controls will be open to such entities for audit or inspection upon reasonable request. ALPS or its undersigned as defined by Rule 17a-4 of the Securities and Exchange Act of 1934 (the “Exchange Act”), shall have access to all electronic communications, including password access to the system storing the electronic communications, of registered representatives of ALPS that are associated with the Fund Trust and are required to be maintained under Rule 17a-4 of the Exchange Act and FINRA Rules 3110 and 3010. Electronic storage media maintained by the Fund Trust will comply with Rule 17a-4 of the Exchange Act.
Appears in 3 contracts
Samples: Distribution Agreement (Stadion Investment Trust), Distribution Agreement (Stadion Investment Trust), Distribution Agreement (Tilson Investment Trust)
Accounts and Records. The accounts and records maintained by ALPS shall be the property of the FundTrust. ALPS shall prepare, maintain and preserve such accounts and records as required by the 1940 Act and other applicable securities laws, rules and regulations. ALPS shall surrender such accounts and records to the FundTrust and the Funds, in the form in which such accounts and records have been maintained or preserved, promptly upon receipt of instructions from the FundTrust. The Fund Trust shall have access to such accounts and records at all times during ALPS’ normal business hours. Upon the reasonable request of the FundTrust, copies of any such books and records shall be provided by ALPS to the Fund Trust at the FundTrust’s expense. ALPS shall assist the FundTrust, the Fund’s Funds’ independent auditors, or, upon approval of the FundTrust, any regulatory body, in any requested review of the Fund’s Funds’ accounts and records, and reports by ALPS or its independent accountants concerning its accounting system and internal auditing controls will be open to such entities for audit or inspection upon reasonable request. ALPS or its undersigned as defined by Rule 17a-4 of the Securities and Exchange Act (the “Exchange 1934 Act”), shall have access to all electronic communications, including password access to the system storing the electronic communications, of registered representatives of ALPS that are associated with the Fund Funds and are required to be maintained under Rule 17a-4 of the Exchange 1934 Act and FINRA Rules 3110 and 3010. Electronic storage media maintained by the Fund Funds will comply with Rule 17a-4 of the Exchange 1934 Act.
Appears in 3 contracts
Samples: Distribution Agreement (Hartford Funds NextShares Trust), Distribution Agreement (Hartford Funds Exchange-Traded Trust), Distribution Agreement (Hartford Funds Exchange-Traded Trust)
Accounts and Records. The accounts and records maintained by ALPS shall be the property of the FundTrust. ALPS shall prepare, maintain and preserve such accounts and records as required by the 1940 Act and other applicable securities laws, rules and regulations. ALPS shall surrender such accounts and records to the FundTrust, in the form in which such accounts and records have been maintained or preserved, promptly upon receipt of instructions from the FundTrust. The Fund Trust shall have access to such accounts and records at all times during ALPS’ ’s normal business hours. Upon the reasonable request of the FundTrust, copies of any such books and records shall be provided by ALPS to the Fund Trust at the FundTrust’s expense. ALPS shall assist the FundTrust, the a Fund’s independent auditors, auditors or, upon approval of the FundTrust, any regulatory body, in any requested review of the Fund’s accounts and records, and reports by ALPS or its independent accountants concerning its accounting system and internal auditing controls will be open to such entities for audit or inspection upon reasonable request. ALPS or its undersigned as defined by Rule 17a-4 of the Securities and Exchange Act (the “Exchange 1934 Act”), shall have access to all electronic communications, including password access to the system storing the electronic communications, of registered representatives of ALPS that are associated with the Fund and are required to be maintained under Rule 17a-4 of the Exchange 1934 Act and FINRA Rules 3110 and 3010. Electronic storage media maintained by the Fund Trust will comply with Rule 17a-4 of the Exchange 1934 Act.
Appears in 2 contracts
Samples: Distribution Agreement (USCF ETF Trust), Distribution Agreement (USCF ETF Trust)
Accounts and Records. The accounts and records maintained by ALPS shall be the property of the Fund. ALPS shall prepare, maintain and preserve such accounts and records as required by the 1940 Act and other applicable securities laws, rules and regulations. ALPS shall surrender such accounts and records to the Fund, in the form in which such accounts and records have been maintained or preserved, promptly upon receipt of instructions from the Fund. The Fund shall have access to such accounts and records at all times during ALPS’ normal business hours. Upon the reasonable request of the Fund, copies of any such books and records shall be provided by ALPS to the Fund at the Fund’s expense. ALPS shall assist the Fund, the Fund’s independent auditors, or, upon approval of the Fund, any regulatory body, in any requested review of the Fund’s accounts and records, and reports by ALPS or its independent accountants concerning its accounting system and internal auditing controls will be open to such entities for audit or inspection upon reasonable request. ALPS or its undersigned “undersigned” (as defined by Rule 17a-4 of the Securities and Exchange Act (the “Exchange Act”), 0000 Xxx) shall have access to all electronic communications, including password access to the system storing the electronic communications, of registered representatives of ALPS that are associated with the Fund and are required to be maintained under Rule 17a-4 of the Exchange 1934 Act and FINRA Rules 3110 and 3010. Electronic storage media maintained by the Fund will comply with Rule 17a-4 of the Exchange 1934 Act.
Appears in 2 contracts
Samples: Distribution Agreement (Arbitrage Funds), Distribution Agreement (Arbitrage Funds)
Accounts and Records. The accounts and records maintained by ALPS shall be the property of the Fund. ALPS shall prepare, maintain and preserve such accounts and records as required by the 1940 Act and other applicable securities laws, rules and regulations. ALPS shall surrender such accounts and records to the Fund, in the form in which such accounts and records have been maintained or preserved, promptly upon receipt of instructions from the Fund. The Fund shall have access to such accounts and records at all times during ALPS’ normal business hours. Upon the reasonable request of the Fund, copies of any such books and records shall be provided by ALPS to the Fund at the Fund’s expense. ALPS shall assist the Fund, the Fund’s independent auditors, or, upon approval of the Fund, any regulatory body, in any requested review of the Fund’s accounts and records, and reports by ALPS or its independent accountants concerning its accounting system and internal auditing controls will be open to such entities for audit or inspection upon reasonable request. ALPS or its undersigned as defined by Rule 17a-4 of the Securities and Exchange Act (the “Exchange Act”), shall have access to all electronic communications, including password access to the system storing the electronic communications, of registered representatives of ALPS that are associated with the Fund and are required to be maintained under Rule 17a-4 of the Exchange 1934 Act and applicable FINRA Rules 3110 and 3010Rules. Electronic storage media maintained by the Fund will comply with Rule 17a-4 of the Exchange 1934 Act.
Appears in 2 contracts
Samples: Distribution Agreement (FS MVP Private Markets Fund), Distribution Agreement (MVP Private Markets Fund)
Accounts and Records. The accounts and records maintained by ALPS shall be the property of the Fund. ALPS shall prepare, maintain and preserve such accounts and records as required by the 1940 Act and other applicable securities laws, rules and regulations. ALPS shall surrender such accounts and records to the Fund, in the form in which such accounts and records have been maintained or preserved, promptly upon receipt of instructions from the Fund. The Fund shall have access to such accounts and records at all times during ALPS’ ' normal business hours. Upon the reasonable request of the Fund, copies of any such books and records shall be provided by ALPS to the Fund at the Fund’s 's expense. ALPS shall assist the Fund, the Fund’s 's independent auditors, or, upon approval of the Fund, any regulatory body, in any requested review of the Fund’s 's accounts and records, and reports by ALPS or its independent accountants concerning its accounting system and internal auditing controls will be open to such entities for audit or inspection upon reasonable request. ALPS or its undersigned as defined by Rule 17a-4 of the Securities and Exchange Act (the “"Exchange Act”"), shall have access to all electronic communications, including password access to the system storing the electronic communications, of registered representatives of ALPS that are associated with the Fund and are required to be maintained under Rule 17a-4 of the Exchange Act and FINRA Rules 3110 and 3010. Electronic storage media maintained by the Fund will comply with Rule 17a-4 of the Exchange Act.
Appears in 2 contracts
Samples: Distribution Agreement (Principal Exchange-Traded Funds), Distribution Agreement (Mairs & Power Funds Trust)
Accounts and Records. The accounts and records maintained by ALPS shall be the property of the FundFunds. ALPS shall prepare, maintain and preserve such accounts and records as required by the 1940 Act and other applicable securities laws, rules and regulations. ALPS shall surrender such accounts and records to the FundFunds, in the form in which such accounts and records have been maintained or preserved, promptly upon receipt of instructions from the FundFunds. The Fund Funds shall have access to such accounts and records at all times during ALPS’ normal business hours. Upon the reasonable request of the FundFunds, copies of any such books and records shall be provided by ALPS to the Fund Funds at the Fund’s Funds’ expense. ALPS shall assist the FundFunds, the Fund’s Funds’ independent auditors, or, upon approval of the FundFunds, any regulatory body, in any requested review of the Fund’s Funds’ accounts and records, and reports by ALPS or its independent accountants concerning its accounting system and internal auditing controls will be open to such entities for audit or inspection upon reasonable request. ALPS or its undersigned as defined by Rule 17a-4 of under the Securities and Exchange Act (the “Exchange 1934 Act”), shall have access to all electronic communications, including password access to the system storing the electronic communications, of registered representatives of ALPS that are associated with the Fund Funds and are required to be maintained under Rule 17a-4 of under the Exchange 1934 Act and FINRA Rules 3110 and 3010. Electronic storage media maintained by the Fund Funds will comply with Rule 17a-4 of under the Exchange 1934 Act.
Appears in 2 contracts
Samples: Distribution Agreement (LifeX Income Trust 1948F), Distribution Agreement (LifeX Inflation-Protected Income Trust 1948F)
Accounts and Records. The accounts and records maintained by ALPS shall be the property of the Fund. ALPS shall prepare, maintain and preserve such accounts and records as required by the 1940 Act and other applicable securities laws, rules and regulations. ALPS shall surrender such accounts and records to the Fund, in the form in which such accounts and records have been maintained or preserved, promptly upon receipt of instructions from the Fund. The Fund shall have access to such accounts and records at all times during ALPS’ normal business hours. Upon the reasonable request of the Fund, copies of any such books and records shall be provided by ALPS to the Fund at the Fund’s expense. ALPS shall assist the Fund, the Fund’s independent auditors, or, upon approval of the Fund, any regulatory body, in any requested review of the Fund’s accounts and records, and reports by ALPS or its independent accountants concerning its accounting system and internal auditing controls will be open to such entities for audit or inspection upon reasonable request. ALPS or its undersigned as defined by Rule 17a-4 of the Securities and Exchange Act (the “Exchange 1934 Act”), shall have access to all electronic communications, including password access to the system storing the electronic communications, of registered representatives of ALPS that are associated with the Fund and are required to be maintained under Rule 17a-4 of the Exchange 1934 Act and FINRA Rules 3110 and 30103110. Electronic storage media maintained by the Fund will comply with Rule 17a-4 of the Exchange 1934 Act.
Appears in 2 contracts
Samples: Distribution Agreement (NorthStar/Townsend Institutional Real Estate Fund Inc.), Distribution Agreement (Griffin Institutional Access Credit Fund)
Accounts and Records. The accounts and records maintained by ALPS APSD shall be the property of the Fund. ALPS APSD shall prepare, maintain and preserve such accounts and records as required by the 1940 Act and other applicable securities laws, rules and regulations. ALPS APSD shall surrender such accounts and records to the Fund, in the form in which such accounts and records have been maintained or preserved, promptly upon receipt of instructions from the Fund. The Fund shall have access to such accounts and records at all times during ALPS’ APSD’s normal business hours. Upon the reasonable request of the Fund, copies of any such books and records shall be provided by ALPS APSD to the Fund or its agents at the Fund’s expense. ALPS APSD shall assist the Fund, the Fund’s independent auditors, or, upon approval of the Fund, any regulatory body, in any requested review of the Fund’s accounts and records, and reports by ALPS APSD or its independent accountants concerning its accounting system and internal auditing controls will be open to such entities for audit or inspection upon reasonable request. ALPS APSD or its undersigned as defined by Rule 17a-4 of the Securities and Exchange Act (the “Exchange Act”), shall have access to all electronic communications, including password access to the system storing the electronic communications, of registered representatives of ALPS APSD that are associated with the Fund and are required to be maintained under Rule 17a-4 of the Exchange Act and FINRA Rules 3110 and 3010. Electronic storage media maintained by the Fund will comply with Rule 17a-4 of the Exchange Act.
Appears in 2 contracts
Samples: Distribution Agreement (Clough Funds Trust), Distribution Agreement (Clough Funds Trust)
Accounts and Records. The accounts and records maintained by ALPS shall be the property of the Fund. ALPS shall prepare, maintain and preserve such accounts and records as required by the 1940 Act and other applicable securities laws, rules and regulations. ALPS shall surrender such accounts and records to the Fund, in the form in which such accounts and records have been maintained or preserved, promptly upon receipt of instructions from the Fund. The Fund shall have access to such accounts and records at all times during ALPS’ normal business hours. Upon the reasonable request of the Fund, copies of any such books and records shall be provided by ALPS to the Fund at the Fund’s expense. ALPS shall assist the Fund, the Fund’s independent auditors, or, upon approval of the Fund, any regulatory body, in any requested review of the Fund’s accounts and records, and reports by ALPS or its independent accountants concerning its accounting system and internal auditing controls will be open to such entities for audit or inspection upon reasonable request. ALPS or its undersigned as defined by Rule 17a-4 of the Securities and Exchange Act (the “Exchange 1934 Act”), shall have access to all electronic communications, including password access to the system storing the electronic communications, of registered representatives of ALPS that are associated with the Fund and are required to be maintained under Rule 17a-4 of the Exchange Act and FINRA Rules 3110 and 3010. Electronic storage media maintained by the Fund will comply with Rule 17a-4 of the Exchange 1934 Act.
Appears in 2 contracts
Samples: Distribution Agreement (DBX ETF Trust), Distribution Agreement (DBX ETF Trust)
Accounts and Records. The accounts and records maintained by ALPS on behalf of the Funds shall be the property of the FundTrust. ALPS shall prepare, maintain and preserve such accounts and records as required by the 1940 Act and other applicable securities laws, rules and regulations. ALPS shall surrender such accounts and records to the FundTrust, in the form in which such accounts and records have been maintained or preserved, promptly upon receipt of instructions from the FundTrust. The Fund Trust shall have access to such accounts and records at all times during ALPS’ normal business hours. Upon the reasonable request of the FundTrust, copies of any such books and records shall be provided by ALPS to the Fund Trust at the FundTrust’s expense. ALPS shall assist the FundTrust, the FundTrust’s independent auditors, auditors or, upon approval of the FundTrust, any regulatory body, in any requested review of the Fund’s accounts Funds’ accounts, and records, records and reports by ALPS or its independent accountants concerning its accounting system and internal auditing controls will be open to such entities for audit or inspection upon reasonable request. ALPS or its undersigned “undersigned” as defined by Rule 17a-4 of the Securities and Exchange Act of 1934, as amended (the “Exchange Act”), shall have access to all electronic communications, including password access to the system storing the electronic communications, communications of registered representatives of ALPS that are associated with the Fund Trust and are required to be maintained under Rule 17a-4 of the Exchange Act and FINRA Rules 3110 and 3010. Electronic storage media maintained by the Fund Trust or its designated agent will comply with Rule 17a-4 of the Exchange Act.
Appears in 2 contracts
Samples: Distribution Agreement (Oak Associates Funds), Distribution Agreement (Oak Associates Funds)
Accounts and Records. The accounts and records maintained by ALPS shall be the property of the Fund. ALPS shall prepare, maintain and preserve such accounts and records as required by the 1940 Act and other applicable securities laws, rules and regulations. ALPS shall surrender such accounts and records to the Fund, in the form in which such accounts and records have been maintained or preserved, promptly upon receipt of instructions from the Fund. The Fund shall have access to such accounts and records at all times during ALPS’ normal business hours. Upon the reasonable request of the Fund, copies of any such books and records shall be provided promptly by ALPS to the Fund at the Fund’s expense. ALPS shall assist the Fund, the Fund’s independent auditors, or, upon approval of the Fund, any regulatory body, in any requested review of the Fund’s accounts and records, and reports by ALPS or its independent accountants concerning its accounting system and internal auditing controls will be open to such entities for audit or inspection upon reasonable request. ALPS or its undersigned as defined by Rule 17a-4 of the Securities and Exchange Act (the “Exchange Act”), shall have access to all electronic communications, including password access to the system storing the electronic communications, communications of registered representatives of ALPS that are associated with the Fund and are required to be maintained under Rule 17a-4 of the Exchange Act and FINRA Rules 3110 and 3010. Electronic storage media maintained by the Fund will comply with Rule 17a-4 of the Exchange Act.
Appears in 2 contracts
Samples: Distribution Agreement (Caldwell & Orkin Funds Inc), Distribution Agreement (Caldwell & Orkin Funds Inc)
Accounts and Records. The accounts and records maintained by ALPS shall be the property of the FundTrust. ALPS shall prepare, maintain and preserve such accounts and records as required by the 1940 Act and other applicable securities laws, rules and regulations. ALPS shall surrender such accounts and records to the FundTrust, in the form in which such accounts and records have been maintained or preserved, promptly upon receipt of instructions from the FundTrust. The Fund Trust shall have access to such accounts and records at all times during ALPS’ normal business hours. Upon the reasonable request of the FundTrust, copies of any such books and records shall be provided by ALPS to the Fund Trust at the FundTrust’s expense. ALPS shall assist the FundTrust, the FundTrust’s independent auditors, or, upon approval of the FundTrust, any regulatory body, in any requested review of the FundTrust’s accounts and records, and reports by ALPS or its independent accountants concerning its accounting system and internal auditing controls will be open to such entities for audit or inspection upon reasonable request. ALPS or its undersigned as defined by Rule 17a-4 of the Securities and Exchange 1934 Act (the “Exchange Act”), shall have access to all electronic communications, including password access to the system storing the electronic communications, of registered representatives of ALPS that are associated with the Fund Trust and are required to be maintained under Rule 17a-4 of the Exchange Act and FINRA Rules 3110 and 3010. Electronic storage media maintained by the Fund Trust will comply with Rule 17a-4 of the Exchange 1934 Act.
Appears in 2 contracts
Samples: Distribution Agreement (EA Series Trust), Distribution Agreement (EA Series Trust)
Accounts and Records. The accounts and records maintained by ALPS shall be the property of the FundTrust. ALPS shall prepare, maintain and preserve such accounts and records as required by the 1940 Act and other applicable securities laws, rules and regulations. ALPS shall surrender such accounts and records to the FundTrust, in the form in which such accounts and records have been maintained or preserved, promptly upon receipt of instructions from the FundTrust. The Fund Trust shall have access to such accounts and records at all times during ALPS’ normal business hours. Upon the reasonable request of the FundTrust, copies of any such books and records shall be provided by ALPS to the Fund Trust at the FundTrust’s expense. ALPS shall assist the FundTrust, the FundTrust’s independent auditors, or, upon approval of the FundTrust, any regulatory body, in any requested review of the FundTrust’s accounts and records, and reports by ALPS or its independent accountants concerning its accounting system and internal auditing controls will be open to such entities for audit or inspection upon reasonable request. ALPS or its undersigned undersigned, as defined by Rule 17a-4 of under the Securities and Exchange Act (the “Exchange Act”), shall have access to all electronic communications, including password access to the system storing the electronic communications, of registered representatives of ALPS that are associated with the Fund Trust and are required to be maintained under Rule 17a-4 of under the Exchange Act and FINRA Rules 3110 and 3010. Electronic storage media maintained by the Fund Trust will comply with Rule 17a-4 of under the Exchange Act.
Appears in 2 contracts
Samples: Distribution Agreement (Stone Ridge Trust), Distribution Agreement (Stone Ridge Trust)
Accounts and Records. The accounts and records maintained by ALPS shall be the property of the FundTrust. ALPS shall prepare, maintain and preserve such accounts and records as required by the 1940 Act and other applicable securities laws, rules and regulations. ALPS shall surrender such accounts and records to the FundTrust, in the form in which such accounts and records have been maintained or preserved, promptly upon receipt of instructions from the FundTrust. The Fund Trust shall have access to such accounts and records at all times during ALPS’ ’s normal business hours. Upon the reasonable request of the FundTrust, copies of any such books and records shall be provided by ALPS to the Fund Trust at the Fund’s Funds’ expense. ALPS shall assist the FundTrust, the Fund’s Funds’ independent auditors, or, upon approval of the FundTrust, any regulatory body, in any requested review of the Fund’s Funds’ accounts and records, and reports by ALPS or its independent accountants concerning its accounting system and internal auditing controls will be open to such entities for audit or inspection upon reasonable request. ALPS or its undersigned as defined by Rule 17a-4 of under the Securities and Exchange Act (the “Exchange 1934 Act”), shall have access to all electronic communications, including password access to the system storing the electronic communications, of registered representatives of ALPS that are associated with the Fund Funds and are required to be maintained under Rule 17a-4 of under the Exchange 1934 Act and FINRA NASD Rules 3110 and 3010. Electronic storage media maintained by the Fund Trust will comply with Rule 17a-4 of under the Exchange 1934 Act.
Appears in 2 contracts
Samples: Distribution Agreement (1290 Funds), Distribution Agreement (1290 Funds)
Accounts and Records. The accounts and records maintained by ALPS shall be the property of the FundTrust. ALPS shall prepare, maintain and preserve such accounts and records as required by the 1940 Act and other applicable securities laws, rules and regulations. ALPS shall surrender such accounts and records to the FundTrust, in the form in which such accounts and records have been maintained or preserved, promptly upon receipt of instructions from the FundTrust. The Fund Trust shall have access to such accounts and records at all times during ALPS’ ’s normal business hours. Upon the reasonable request of the FundTrust, copies of any such books and records shall be provided by ALPS to the Fund Trust at the Fund’s expense. ALPS shall assist the FundTrust, the Fund’s independent auditors, or, upon approval of the FundTrust, any regulatory body, in any requested review of the Fund’s accounts and records, and reports by ALPS or its independent accountants concerning its accounting system and internal auditing controls will be open to such entities for audit or inspection upon reasonable request. ALPS or its undersigned as defined by Rule 17a-4 of the Securities and Exchange Act (the “Exchange 1934 Act”), shall have access to all electronic communications, including password access to the system storing the electronic communications, of registered representatives of ALPS that are associated with the Fund and are required to be maintained under Rule 17a-4 of the Exchange 1934 Act and FINRA Rules 3110 and 3010. Electronic storage media maintained by the Fund Trust will comply with Rule 17a-4 of the Exchange 1934 Act.
Appears in 2 contracts
Samples: Distribution Agreement (Financial Investors Trust), Distribution Agreement (Financial Investors Trust)
Accounts and Records. The accounts and records maintained by ALPS shall be the property of the FundTrust. ALPS shall prepare, maintain and preserve such accounts and records as required by the 1940 Act and other applicable securities laws, rules and regulations. ALPS shall surrender such accounts and records to the FundTrust, in the form in which such accounts and records have been maintained or preserved, promptly upon receipt of instructions from the FundTrust. The Fund Trust shall have access to such accounts and records at all times during ALPS’ s normal business hours. Upon the reasonable request of the FundTrust, copies of any such books and records shall be provided by ALPS to the Fund Trust at the Fund’s Funds’ expense. ALPS shall assist the FundTrust, the Fund’s Funds’ independent auditors, or, upon approval of the FundTrust, any regulatory body, in any requested review of the Fund’s Funds’ accounts and records, and reports by ALPS or its independent accountants concerning its accounting system and internal auditing controls will be open to such entities for audit or inspection upon reasonable request. ALPS or its undersigned as defined by Rule 17a-4 of the Securities and Exchange Act (the “Exchange 1934 Act”), shall have access to all electronic communications, including password access to the system storing the electronic communications, of registered representatives of ALPS that are associated with the Fund Funds and are required to be maintained under Rule 17a-4 of the Exchange 1934 Act and FINRA NASD Rules 3110 and 3010. Electronic storage media maintained by the Fund Trust will comply with Rule 17a-4 of the Exchange 1934 Act.
Appears in 1 contract
Samples: Distribution Agreement (Litman Gregory Funds Trust)
Accounts and Records. The accounts and records maintained by ALPS with respect to the Trust shall be the property of the FundTrust. ALPS shall prepare, maintain and preserve such accounts and records as required by the 1940 Act and other applicable securities laws, rules and regulations. ALPS shall surrender such accounts and records to the FundTrust, in the form in which such accounts and records have been maintained or preserved, promptly upon receipt of instructions from the FundTrust. The Fund Trust shall have access to such accounts and records at all times during ALPS’ normal business hours. Upon the reasonable request of the FundTrust, copies of any such books and records shall be provided by ALPS to the Fund Trust at the FundTrust’s expense. ALPS shall assist the FundTrust, the FundTrust’s independent auditors, or, upon approval of the FundTrust, any regulatory body, in any requested review of the FundTrust’s accounts and records, and reports by ALPS or its independent accountants concerning its accounting system and internal auditing controls will be open to such entities for audit or inspection upon reasonable request. ALPS or its undersigned as defined by Rule 17a-4 of the Securities and Exchange 1934 Act (the “Exchange Act”), shall have access to all electronic communications, including password access to the system storing the electronic communications, of registered representatives of ALPS that are associated with the Fund Trust and are required to be maintained under Rule 17a-4 of the Exchange 1934 Act and FINRA Rules 3110 and 30103110. Electronic storage media maintained by the Fund Trust will comply with Rule 17a-4 of the Exchange 1934 Act.
Appears in 1 contract
Accounts and Records. The accounts and records maintained by ALPS shall be the property of the FundTrust. ALPS shall prepare, maintain and preserve such accounts and records as required by the 1940 Act and other applicable securities laws, rules and regulations. ALPS shall surrender such accounts and records to the FundTrust, in the form in which such accounts and records have been maintained or preserved, promptly upon receipt of instructions from the FundTrust. The Fund Trust shall have access to such accounts and records at all times during ALPS’ normal business hours. Upon the reasonable request of the FundTrust, copies of any such books and records shall be provided by ALPS to the Fund Trust at the FundTrust’s expense. ALPS shall assist the FundTrust, the Fund’s Funds’ independent auditors, or, upon approval of the FundTrust, any regulatory body, in any requested review of the Fund’s Funds’ accounts and records, and reports by ALPS or its independent accountants concerning its accounting system and internal auditing controls will be open to such entities for audit or inspection upon reasonable request. ALPS or its undersigned as defined by Rule 17a-4 of the Securities and Exchange Act (the “Exchange 1934 Act”), shall have access to all electronic communications, including password access to the system storing the electronic communications, of registered representatives of ALPS that are associated with the Fund Trust and are required to be maintained under Rule 17a-4 of the Exchange 1934 Act and FINRA Rules 3110 and 3010. Electronic storage media maintained by the Fund Trust will comply with Rule 17a-4 of the Exchange 1934 Act.
Appears in 1 contract
Accounts and Records. The accounts and records maintained by ALPS shall be the property of the Fund. ALPS shall prepare, maintain and preserve such accounts and records as required by the 1940 Act and other applicable securities laws, rules and regulations. ALPS shall surrender such accounts and records to the Fund, in the form in which such accounts and records have been maintained or preserved, promptly upon receipt of instructions from the Fund. The Fund shall have access to such accounts and records at all times during ALPS’ normal business hours. Upon the reasonable request of the Fund, copies of any such books and records shall be provided by ALPS to the Fund at the Fund’s expense. ALPS shall assist the Fund, the Fund’s independent auditors, or, upon approval of the Fund, any regulatory body, in any requested review of the Fund’s accounts and records, and reports by ALPS or its independent accountants concerning its accounting system and internal auditing controls will be open to such entities for audit or inspection upon reasonable request. ALPS or its undersigned “undersigned” (as defined by Rule 17a-4 of the Securities and Exchange Act (the “Exchange 1934 Act”), ) shall have access to all electronic communications, including password access to the system storing the electronic communications, of registered representatives of ALPS that are associated with the Fund and are required to be maintained under Rule 17a-4 of the Exchange 1934 Act and FINRA Rules 3110 and 3010. Electronic storage media maintained by the Fund will comply with Rule 17a-4 of the Exchange 1934 Act.
Appears in 1 contract
Accounts and Records. The accounts and records maintained by ALPS shall be the property of the Fund. ALPS shall prepare, maintain and preserve such accounts and records as required by the 1940 Act and other applicable securities laws, rules and regulations. ALPS shall surrender such accounts and records to the Fund, in the form in which such accounts and records have been maintained or preserved, promptly upon receipt of instructions from the Fund. The Fund shall have access to such accounts and records at all times during ALPS’ ’s normal business hours. Upon the reasonable request of the Fund, copies of any such books and records shall be provided by ALPS to the Fund at the Fund’s expense. ALPS shall assist the Fund, the Fund’s independent auditors, or, upon approval of the Fund, any regulatory body, in any requested review of the Fund’s accounts and records, and reports by ALPS or its independent accountants concerning its accounting system and internal auditing controls will be open to such entities for audit or inspection upon reasonable request. ALPS or its undersigned as defined by Rule 17a-4 of the Securities and Exchange Act (the “Exchange 1934 Act”), shall have access to all electronic communications, including password access to the system storing the electronic communications, of registered representatives of ALPS that are associated with the Fund and are required to be maintained under Rule 17a-4 of the Exchange 1934 Act and FINRA Rules 3110 and 3010. Electronic storage media maintained by the Fund will comply with Rule 17a-4 of the Exchange 1934 Act.
Appears in 1 contract
Accounts and Records. The accounts and records maintained by ALPS shall be the property of the FundTrust. ALPS shall prepare, maintain and preserve such accounts and records as required by the 1940 Act and other applicable securities laws, rules and regulations. ALPS shall surrender such accounts and records to the FundTrust and the Funds, in the form in which such accounts and records have been maintained or preserved, promptly upon receipt of instructions from the FundTrust. The Fund Trust shall have access to such accounts and records at all times during ALPS’ normal business hours. Upon the reasonable request of the FundTrust, copies of any such books and records shall be provided by ALPS to the Fund Trust at the FundTrust’s expense. ALPS shall assist the FundTrust, the Fund’s Funds’ independent auditors, or, upon approval of the FundTrust, any regulatory body, in any requested review of the Fund’s Funds’ accounts and records, and reports by ALPS or its independent accountants concerning its accounting system and internal auditing controls will be open to such entities for audit or inspection upon reasonable request. ALPS or its undersigned as defined by Rule 17a-4 of the Securities and Exchange Act (the “Exchange 1934 Act”), shall have access to all electronic communications, including password access to the system storing the electronic communications, of registered representatives of ALPS that are associated with the Fund Funds and are required to be maintained under Rule 17a-4 17a4 of the Exchange 1934 Act and FINRA FINRA. Rules 3110 and 3010. Electronic storage media maintained by the Fund Funds will comply with Rule 17a-4 of the Exchange 1934 Act.
Appears in 1 contract
Samples: Distribution Agreement (Hartford Funds NextShares Trust)
Accounts and Records. The accounts and records maintained by ALPS the Distributor shall be the property of the Fund. ALPS Trust, the Distributor shall prepare, maintain and preserve such accounts and records as required by the 1940 Act and other applicable securities laws, rules and regulations. ALPS , the Distributor shall surrender such accounts and records to the FundTrust, in the form in which such accounts and records have been maintained or preserved, promptly upon receipt of instructions from the FundTrust. The Fund Trust shall have access to such accounts and records at all times during ALPSthe Distributor’ normal business hours. Upon the reasonable request of the FundTrust, copies of any such books and records shall be provided by ALPS the Distributor to the Fund Trust at the Fund’s expense. ALPS , the Distributor shall assist the FundTrust, the Fund’s Funds’ independent auditors, or, upon approval of the FundTrust, any regulatory body, in any requested review of the Fund’s Funds accounts and records, and reports by ALPS the Distributor or its independent accountants concerning its accounting system and internal auditing controls will be open to such entities for audit or inspection upon reasonable request. ALPS , the Distributor or its undersigned as defined by Rule 17a-4 of the Securities and Exchange Act (the “Exchange 1934 Act”), shall have access to all electronic communications, including password access to the system storing the electronic communications, of registered representatives of ALPS the Distributor that are associated with the Fund Funds and are required to be maintained under Rule 17a-4 of the Exchange 1934 Act and FINRA Rules 3110 and 3010Rule 3110. Electronic storage media maintained by the Fund Trust will comply with Rule 17a-4 of the Exchange 1934 Act.
Appears in 1 contract
Samples: Distribution Agreement (SCM Trust)
Accounts and Records. The accounts and records maintained by ALPS shall be the property of the FundTrust. ALPS shall prepare, maintain and preserve such accounts and records as required by the 1940 Act and other applicable securities laws, rules and regulations. ALPS shall surrender such accounts and records to the FundTrust, in the form in which such accounts and records have been maintained or preserved, promptly upon receipt of instructions from the FundTrust. The Fund Trust shall have access to such accounts and records at all times during ALPS’ normal business hours. Upon the reasonable request of the FundTrust, copies of any such books and records shall be provided by ALPS to the Fund Trust at the FundTrust’s expense. ALPS shall assist the FundTrust, the FundTrust’s independent auditors, or, upon approval of the FundTrust, any regulatory body, in any requested review of the FundTrust’s accounts and records, and reports by ALPS or its independent accountants concerning its accounting system and internal auditing controls will be open to such entities for audit or inspection upon reasonable request. ALPS or its undersigned as defined by Rule 17a-4 of under the Securities and Exchange Act (the “Exchange 1934 Act”), shall have access to all electronic communications, including password access to the system storing the electronic communications, of registered representatives of ALPS that are associated with the Fund Trust and are required to be maintained under Rule 17a-4 of under the Exchange 1934 Act and FINRA Rules 3110 and 3010. Electronic storage media maintained by the Fund Trust will comply with Rule 17a-4 of under the Exchange 1934 Act.
Appears in 1 contract
Accounts and Records. The accounts and records maintained by ALPS the Distributor shall be the property of the FundTrust. ALPS The Distributor shall prepare, maintain and preserve such accounts and records as required by the 1940 Act and other applicable securities laws, rules and regulations. ALPS the Distributor shall surrender such accounts and records to the FundTrust, in the form in which such accounts and records have been maintained or preserved, promptly upon receipt of instructions from the FundTrust. The Fund Trust shall have access to such accounts and records at all times during ALPS’ the Distributor's normal business hours. Upon the reasonable request of the FundTrust, copies of any such books and records shall be provided by ALPS the Distributor to the Fund Trust at the Fund’s Trust's expense. ALPS The Distributor shall assist the FundTrust, the Fund’s Trust's independent auditors, or, upon approval of the FundTrust, any regulatory body, in any requested review of the Fund’s Trust's accounts and records, and reports by ALPS the Distributor or its independent accountants concerning its accounting system and internal auditing controls will be open to such entities for audit or inspection upon reasonable request. ALPS The Distributor or its undersigned as defined by Rule 17a-4 of the Securities and Exchange Act (the “"Exchange Act”"), shall have access to all electronic communications, including password access to the system storing the electronic communications, of registered representatives of ALPS the Distributor that are associated with the Fund Trust and are required to be maintained under Rule 17a-4 of the Exchange Act and FINRA Rules 3110 and 3010. Electronic storage media maintained by the Fund Trust will comply with Rule 17a-4 of the Exchange Act.
Appears in 1 contract
Accounts and Records. The accounts and records maintained by ALPS with respect to the Fund shall be the property of the Fund. ALPS shall prepare, maintain and preserve such accounts and records as required by the 1940 Act and other applicable securities laws, rules and regulations. ALPS shall surrender such accounts and records to the Fund, in the form in which such accounts and records have been maintained or preserved, promptly upon receipt of instructions from the Fund. The Fund shall have access to such accounts and records at all times during ALPS’ normal business hours. Upon the reasonable request of the Fund, copies of any such books and records shall be provided by ALPS to the Fund at the Fund’s expense. ALPS shall assist the Fund, the Fund’s independent auditors, or, upon approval of the Fund, any regulatory body, in any requested review of the Fund’s accounts and records, and reports by ALPS or its independent accountants concerning its accounting system and internal auditing controls will be open to such entities for audit or inspection upon reasonable request. ALPS or its undersigned shall have access to all electronic communications, as defined by Rule 17a-4 of the Securities and Exchange Act (the “Exchange 1934 Act”), shall have access to all electronic communications, including password access to the system storing the electronic communications, of registered representatives of ALPS that are associated with the Fund and are required to be maintained under Rule 17a-4 of the Exchange 1934 Act and FINRA Rules 3110 and 3010. Electronic storage media maintained by the Fund will comply with Rule 17a-4 of the Exchange Act.
Appears in 1 contract
Accounts and Records. The accounts and records maintained by ALPS shall be the property of the Fund. ALPS shall prepare, maintain and preserve such accounts and records as required by the 1940 Act and other applicable securities laws, rules and regulations. ALPS shall surrender such accounts and records to the Fund, in the form in which such accounts and records have been maintained or preserved, promptly upon receipt of instructions from the Fund. The Fund shall have access to such accounts and records at all times during ALPS’ normal business hours. Upon the reasonable request of the Fund, copies of any such books and records shall be provided by ALPS to the Fund at the Fund’s Fund s expense. ALPS shall assist the Fund, the Fund’s independent auditors, or, upon approval of the Fund, any regulatory body, in any requested review of the Fund’s accounts and records, and reports by ALPS or its independent accountants concerning its accounting system and internal auditing controls will be open to such entities for audit or inspection upon reasonable request. ALPS or its undersigned as defined by Rule 17a-4 of the Securities and Exchange Act (the “Exchange 1934 Act”), shall have access to all electronic communications, including password access to the system storing the electronic communications, of registered representatives of ALPS that are associated with the Fund and are required to be maintained under Rule 17a-4 of the Exchange 1934 Act and FINRA Rules 3110 and 30103110. Electronic storage media maintained by the Fund will comply with Rule 17a-4 of the Exchange 1934 Act.
Appears in 1 contract
Samples: Distribution Agreement (Griffin Institutional Access Credit Fund)
Accounts and Records. The accounts and records maintained by ALPS shall be the property of the FundTrust. ALPS shall prepare, maintain and preserve such accounts and records as required by the 1940 Act and other applicable securities laws, rules and regulations. ALPS shall surrender such accounts and records to the FundTrust, in the form in which such accounts and records have been maintained or preserved, promptly upon receipt of instructions from the FundTrust. The Fund Trust shall have access to such accounts and records at all times during ALPS’ ’s normal business hours. Upon the reasonable request of the FundTrust, copies of any such books and records shall be provided by ALPS to the Fund Trust at the Fund’s expense. ALPS shall assist the FundTrust, the Fund’s independent auditors, or, upon approval of the FundTrust, any regulatory body, in any requested review of the Fund’s accounts and records, and reports by ALPS or its independent accountants concerning its accounting system and internal auditing controls will be open to such entities for audit or inspection upon reasonable request. ALPS or its undersigned (as such term is defined by Rule 17a-4 of the Securities and Exchange Act (the “Exchange Act”), 1000 Xxx) shall have access to all electronic communications, including password access to the system storing the electronic communications, of registered representatives of ALPS that are associated with the Fund and are required to be maintained under Rule 17a-4 of the Exchange 1934 Act and FINRA NASD Rules 3110 and 3010. Electronic storage media maintained by the Fund Trust will comply with Rule 17a-4 of the Exchange 1934 Act.
Appears in 1 contract
Accounts and Records. The accounts and records maintained by ALPS shall be the property of the Fund. ALPS shall prepare, maintain and preserve such accounts and records as required by the 1940 Act and other applicable securities laws, rules and regulations. ALPS shall surrender such accounts and records to the Fund, in the form in which such accounts regulations. ALPS shall surrender such accounts and records to the Fund, in the form in which such accounts and records have been maintained or preserved, promptly upon receipt of instructions from the Fund. The Fund shall have access to such accounts and records at all times during ALPS’ normal business hours. Upon the reasonable request of the Fund, copies of any such books and records shall be provided by ALPS to the Fund at the Fund’s expense. ALPS shall assist the Fund, the Fund’s independent auditors, or, upon approval of the Fund, any regulatory body, in any requested review of the Fund’s accounts and records, and reports by ALPS or its independent accountants concerning its accounting system and internal auditing controls will be open to such entities for audit or inspection upon reasonable request. ALPS or its undersigned as defined by Rule 17a-4 of the Securities and Exchange Act (the “Exchange Act”), shall have access to all electronic communications, including password access to the system storing the electronic communications, of registered representatives of ALPS that are associated with the Fund and are required to be maintained under Rule 17a-4 of the Exchange Act and FINRA Rules 3110 and 3010. Electronic storage media maintained by the Fund will comply with Rule 17a-4 of the Exchange Act.
Appears in 1 contract
Samples: Distribution Agreement (Aberdeen Standard Investments ETFs)
Accounts and Records. The accounts and records maintained by ALPS shall be the property of the FundTrust. ALPS shall prepare, maintain and preserve such accounts and records as required by the 1940 Act and other applicable securities laws, rules and regulations. ALPS shall surrender such accounts and records to the FundTrust, in the form in which such accounts and records have been maintained or preserved, promptly upon receipt of instructions from the FundTrust. The Fund Trust shall have access to such accounts and records at all times during ALPS’ normal business hours. Upon the reasonable request of the FundTrust, copies of any such books and records shall be provided by ALPS to the Fund Trust at the Fund’s Funds’ expense. ALPS shall assist the FundTrust, the Fund’s Funds’ independent auditors, or, upon approval of the FundTrust, any regulatory body, in any requested review of the Fund’s Funds’ accounts and records, and reports by ALPS or its independent accountants concerning its accounting system and internal auditing controls will be open to such entities for audit or inspection upon reasonable request. ALPS or its undersigned as defined by Rule 17a-4 of the Securities and Exchange Act (the “Exchange Act”), shall have access to all electronic communications, including password access to the system storing the electronic communications, of registered representatives of ALPS that are associated with the Fund Funds and are required to be maintained under Rule 17a-4 of the Exchange Act and FINRA Rules 3110 and 3010. Electronic storage media maintained by the Fund Trust will comply with Rule 17a-4 of the Exchange Act.
Appears in 1 contract
Accounts and Records. The accounts and records maintained by ALPS shall be the property of the Fund. ALPS shall prepare, maintain and preserve such accounts and records as required by the 1940 Act and other applicable securities laws, rules and regulations. ALPS shall surrender such accounts and records to the Fund, in the form in which such accounts and records have been maintained or preserved, promptly upon receipt of instructions from the Fund. The Fund shall have access to such accounts and records at all times during ALPS’ ' normal business hours. Upon the reasonable request of the Fund, copies of any such books and records shall be provided by ALPS to the Fund at the Fund’s 's expense. ALPS shall assist the Fund, the Fund’s 's independent auditors, or, upon approval of the Fund, any regulatory body, in any requested review of the Fund’s 's accounts and records, and reports by ALPS or its independent accountants concerning its accounting system and internal auditing controls will be open to such entities for audit or inspection upon reasonable request. ALPS or its undersigned as defined by Rule 17a-4 of the Securities and Exchange Act (the “Exchange 1934 Act”), shall have access to all electronic communications, including password access to the system storing the electronic communications, of registered representatives of ALPS that are associated with the Fund and are required to be maintained under Rule 17a-4 of the Exchange Act and FINRA Rules 3110 and 3010. Electronic storage media maintained by the Fund will comply with Rule 17a-4 of the Exchange 1934 Act.
Appears in 1 contract
Accounts and Records. The accounts and records maintained by ALPS shall be the property of the FundTrust. ALPS shall prepare, maintain and preserve such accounts and records as required by the 1940 Act and other applicable securities laws, rules and regulations. ALPS shall surrender such accounts and records to the FundTrust, in the form in which such accounts and records have been maintained or preserved, promptly upon receipt of instructions from the FundTrust. The Fund Trust shall have access to such accounts and records at all times during ALPS’ normal business hours. Upon the reasonable request of the FundTrust, copies of any such books and records shall be provided by ALPS to the Fund Trust at the FundTrust’s expense. ALPS shall assist the FundTrust, the FundTrust’s independent auditors, or, upon approval of the FundTrust, any regulatory body, in any requested review of the FundTrust’s accounts and records, and reports by ALPS or its independent accountants concerning its accounting system and internal auditing controls will be open to such entities for audit or inspection upon reasonable request. ALPS or its undersigned as defined by Rule 17a-4 of the Securities and Exchange Act (the “Exchange 1934 Act”), shall have access to all electronic communications, including password access to the system storing the electronic communications, of registered representatives of ALPS that are associated with the Fund Trust and are required to be maintained under Rule 17a-4 of the Exchange Act and FINRA Rules 3110 and 3010. Electronic storage media maintained by the Fund Trust will comply with Rule 17a-4 of the Exchange 1934 Act.
Appears in 1 contract
Accounts and Records. The accounts and records maintained by ALPS shall be the property of the FundTrust. ALPS shall prepare, maintain and preserve such accounts and records as required by the 1940 Act and other applicable securities laws, rules and regulations. ALPS shall surrender such accounts and records to the FundTrust, in the form in which such accounts and records have been maintained or preserved, promptly upon receipt of instructions from the FundTrust. The Fund Trust shall have access to such accounts and records at all times during ALPS’ ’s normal business hours. Upon the reasonable request of the FundTrust, copies of any such books and records shall be provided by ALPS to the Fund Trust at the Fund’s Funds’ expense. ALPS shall assist the FundTrust, the Fund’s Funds’ independent auditors, or, upon approval of the FundTrust, any regulatory body, in any requested review of the Fund’s Funds’ accounts and records, and reports by ALPS or its independent accountants concerning its accounting system and internal auditing controls will be open to such entities for audit or inspection upon reasonable request. ALPS or its undersigned as defined by Rule 17a-4 of the Securities and Exchange Act (the “Exchange 1934 Act”), shall have access to all electronic communications, including password access to the system storing the electronic communications, of registered representatives of ALPS that are associated with the Fund Funds and are required to be maintained under Rule 17a-4 of the Exchange 1934 Act and FINRA Rules 3110 and 3010. Electronic storage media maintained by the Fund Trust will comply with Rule 17a-4 of the Exchange 1934 Act.
Appears in 1 contract
Accounts and Records. The accounts and records maintained by ALPS shall be the property of the Trust and each Fund. ALPS shall prepare, maintain and preserve such accounts and records as required by the 1940 Act Act, Commodity Exchange Commission, as applicable, and other applicable securities laws, rules and regulations. ALPS shall surrender such accounts and records to the Trust and each Fund, in the form in which such accounts and records have been maintained or preserved, promptly upon receipt of instructions from the FundTrust's officers. The Fund Trust's officers shall have access to such accounts and records at all times during ALPS’ ' normal business hours. Upon the reasonable request of the FundTrust's officers, copies of any such books and records shall be provided by ALPS to the Fund Trust at the Fund’s Trust's expense. ALPS shall assist the FundTrust, the Fund’s Trust's independent auditors, or, upon approval of the FundTrust, any regulatory body, in any requested review of the a Fund’s 's accounts and records, and reports by ALPS or its independent accountants concerning its accounting system and internal auditing controls will be open to such entities for audit or inspection upon reasonable request. ALPS or its undersigned as defined by Rule 17a-4 of the Securities and Exchange 1934 Act (the “Exchange Act”), shall have access to all electronic communications, including password access to the system storing the electronic communications, of registered representatives of ALPS that are associated with the Fund Funds and are required to be maintained under Rule 17a-4 of the Exchange 1934 Act and FINRA Rules 3110 and 3010. Electronic storage media maintained by the Trust and each Fund will comply with Rule 17a-4 of the Exchange 1934 Act.
Appears in 1 contract
Accounts and Records. The accounts and records maintained by ALPS shall be the property of the Fund. ALPS shall prepare, maintain and preserve such accounts and records as required by the 1940 Act and other applicable securities laws, rules and regulations. ALPS shall surrender such accounts and records to the Fund, in the form in which such accounts and records have been maintained or preserved, promptly upon receipt of instructions from the Fund. The Fund shall have access to such accounts and records at all times during ALPS’ normal business hours. Upon the reasonable request of the Fund, copies of any such books and records shall be provided by ALPS to the Fund at the Fund’s expense. ALPS shall assist the Fund, the Fund’s independent auditors, or, upon approval of the Fund, any regulatory body, in any requested review of the Fund’s accounts and records, and reports by ALPS or its independent accountants concerning its accounting system and internal auditing controls will be open to such entities for audit or inspection upon reasonable request. ALPS or its undersigned as defined by Rule 17a-4 l 7a-4 of the Securities and Exchange Act (the “Exchange Act”), shall have access to all electronic communications, including password access to the system storing the electronic communications, of registered representatives of ALPS that are associated with the Fund and are required to be maintained under Rule 17a-4 of the Exchange Act and FINRA Rules 3110 and 3010. Electronic storage media maintained by the Fund will comply with Rule 17a-4 17 a-4 of the Exchange Act.
Appears in 1 contract
Samples: Distribution Agreement (Brown Capital Management Mutual Funds)
Accounts and Records. The accounts and records maintained by ALPS shall be the property of the FundTrust. ALPS shall prepare, maintain and preserve such accounts and records as required by the 1940 Act and other applicable securities laws, rules and regulations. ALPS shall surrender such accounts and records to the FundTrust, in the form in which such accounts and records have been maintained or preserved, promptly upon receipt of instructions from the FundTrust. The Fund Trust shall have access to such accounts and records at all times during ALPS’ normal business hours. Upon the reasonable request of the FundTrust, copies of any such books and records shall be provided by ALPS to the Fund Trust at the Fund’s expense. ALPS shall assist the FundTrust, the Fund’s Funds’ independent auditors, or, upon approval of the FundTrust, any regulatory body, in any requested review of the Fund’s Funds’ accounts and records, and reports by ALPS or its independent accountants concerning its accounting system and internal auditing controls will be open to such entities for audit or inspection upon reasonable request. ALPS or its undersigned as defined by Rule 17a-4 of the Securities and Exchange Act (the “Exchange 1934 Act”), shall have access to all electronic communications, including password access to the system storing the electronic communications, of registered representatives of ALPS that are associated with the Fund Funds and are required to be maintained under Rule 17a-4 Rule17a-4 of the Exchange 1934 Act and FINRA Rules 3110 and 3010Rule 3110. Electronic storage media maintained by the Fund Trust will comply with Rule 17a-4 of the Exchange 1934 Act.
Appears in 1 contract
Accounts and Records. The accounts and records maintained by ALPS shall be the property of the FundTrust. ALPS shall prepare, maintain and preserve such accounts and records as required by the 1940 Act and other applicable securities laws, rules and regulations. ALPS shall surrender such accounts and records to the FundTrust, in the form in which such accounts and records have been maintained or preserved, promptly upon receipt of instructions from the FundTrust. The Fund Trust shall have access to such accounts and records at all times during ALPS’ normal business hours. Upon the reasonable request of the FundTrust, copies of any such books and records shall be provided by ALPS to the Fund Trust at the FundTrust’s expense. ALPS shall assist the FundTrust, the FundTrust’s independent auditors, or, upon approval of the FundTrust, any regulatory body, in any requested review of the FundTrust’s accounts and records, and reports by ALPS or its independent accountants concerning its accounting system and internal auditing controls will be open to such entities for audit or inspection upon reasonable request. ALPS or its undersigned as defined by Rule 17a-4 of the Securities and Exchange 1934 Act (the “Exchange Act”), shall have access to all electronic communications, including password access to the system storing the electronic communications, of registered representatives of ALPS that are associated with the Fund Trust and are required to be maintained under Rule 17a-4 of the Exchange 1934 Act and FINRA Rules 3110 and 3010. Electronic storage media maintained by the Fund Trust will comply with Rule 17a-4 of the Exchange 1934 Act.
Appears in 1 contract
Accounts and Records. The accounts and records maintained by ALPS shall be the property of the Fund. ALPS shall prepare, maintain and preserve such accounts and records as required by the 1940 Act and other applicable securities laws, rules and regulations. ALPS shall surrender such accounts and records to the Fund, in the form in which such accounts and records have been maintained or preserved, promptly upon receipt of instructions from the Fund. The Fund shall have access to such accounts and records at all times during ALPS’ normal business hours. Upon the reasonable request of the Fund, copies of any such books and records shall be provided by ALPS to the Fund or its agents at the Fund’s expense. ALPS shall assist the Fund, the Fund’s independent auditors, or, upon approval of the Fund, any regulatory body, in any requested review of the Fund’s accounts and records, and reports by ALPS or its independent accountants concerning its accounting system and internal auditing controls will be open to such entities for audit or inspection upon reasonable request. ALPS or its undersigned as defined by Rule 17a-4 of the Securities and Exchange Act (the “Exchange Act”), shall have access to all electronic communications, including password access to the system storing the electronic communications, of registered representatives of ALPS or its affiliate that are associated with the Fund and are required to be maintained under Rule 17a-4 of the Exchange Act and FINRA Rules 3110 and 3010. Electronic storage media maintained by the Fund will comply with Rule 17a-4 of the Exchange Act.
Appears in 1 contract
Accounts and Records. The accounts and records maintained by ALPS PFI shall be the property of the Fund. ALPS PFI shall prepare, maintain and preserve such accounts and records as required by the 1940 Act and other applicable securities laws, rules and regulations. ALPS PFI shall surrender such accounts and records to the Fund, in the form in which such accounts and records have been maintained or preserved, promptly upon receipt of instructions from the Fund. The Fund shall have access to such accounts and records at all times during ALPSPFI’ normal business hours. Upon the reasonable request of the Fund, copies of any such books and records shall be provided by ALPS PFI to the Fund at the Fund’s expense. ALPS PFI shall assist the Fund, the Fund’s independent auditors, or, upon approval of the Fund, any regulatory body, in any requested review of the Fund’s accounts and records, and reports by ALPS PFI or its independent accountants concerning its accounting system and internal auditing controls will be open to such entities for audit or inspection upon reasonable request. ALPS PFI or its undersigned as defined by Rule 17a-4 of the Securities and Exchange Act (the “Exchange Act”), shall have access to all electronic communications, including password access to the system storing the electronic communications, of registered representatives of ALPS PFI that are associated with the Fund and are required to be maintained under Rule 17a-4 of the Exchange Act and FINRA Rules 3110 and 3010. Electronic storage media maintained by the Fund will comply with Rule 17a-4 of the Exchange Act.
Appears in 1 contract
Accounts and Records. The accounts and records maintained by ALPS shall be the property of the Fund. ALPS shall prepare, maintain and preserve such accounts and records as required by the 1940 Act and other applicable securities laws, rules and regulations. ALPS shall surrender such accounts and records to the Fund, in the form in which such accounts and records have been maintained or preserved, promptly upon receipt of instructions from the Fund. The Fund shall have access to such accounts and records at all times during ALPS’ ' normal business hours. Upon the reasonable request of the Fund, copies of any such books and records shall be provided by ALPS to the Fund at the Fund’s 's expense. ALPS shall assist the Fund, the Fund’s 's independent auditors, or, upon approval of the Fund, any regulatory body, in any requested review of the Fund’s 's accounts and records, and reports by ALPS or its independent accountants concerning its accounting system and internal auditing controls will be open to such entities for audit or inspection upon reasonable request. ALPS or its undersigned as defined by Rule 17a-4 of the Securities and Exchange Act (the “Exchange 1934 Act”), shall have access to all electronic communications, including password access to the system storing the electronic communications, of registered representatives of ALPS that are associated with the Fund and are required to be maintained under Rule 17a-4 of the Exchange 1934 Act and FINRA Rules 3110 and 3010. Electronic storage media maintained by the Fund will comply with Rule 17a-4 of the Exchange 1934 Act.
Appears in 1 contract
Accounts and Records. The accounts and records maintained by ALPS shall be the property of the FundCompany. ALPS shall prepare, maintain and preserve such accounts and records as required by the 1940 Act and other applicable securities laws, rules and regulations. ALPS shall surrender such accounts and records to the FundCompany, in the form in which such accounts and records have been maintained or preserved, promptly upon receipt of instructions from the FundCompany. The Fund Company shall have access to such accounts and records at all times during ALPS’ normal business hours. Upon the reasonable request of the FundCompany, copies of any such books and records shall be provided by ALPS to the Fund Company at the FundCompany’s expense. ALPS shall assist the FundCompany, the FundCompany’s independent auditors, or, upon approval of the FundCompany, any regulatory body, in any requested review of the FundCompany’s accounts and records, and reports by ALPS or its independent accountants concerning its accounting system and internal auditing controls will be open to such entities for audit or inspection upon reasonable request. ALPS or its undersigned as defined by Rule 17a-4 of the Securities and Exchange Act (the “Exchange 1934 Act”), shall have access to all electronic communications, including password access to the system storing the electronic communications, of registered representatives of ALPS that are associated with the Fund Company and are required to be maintained under Rule 17a-4 of the Exchange 1934 Act and FINRA Rules 3110 and 3010. Electronic storage media maintained by the Fund will comply with Rule 17a-4 of the Exchange Act.
Appears in 1 contract
Samples: Distribution Agreement (CIM Real Assets & Credit Fund)
Accounts and Records. The accounts and records maintained by ALPS shall be the property of the FundTrust. ALPS shall prepare, maintain and preserve such accounts and records as required by the 1940 Act and other applicable securities laws, rules and regulations. ALPS shall surrender such accounts and records to the FundFunds, in the form in which such accounts and records have been maintained or preserved, promptly upon receipt of instructions from the FundTrust. The Fund Trust shall have access to such accounts and records at all times during ALPS’ normal business hours. Upon the reasonable request of the FundTrust, copies of any such books and records shall be provided by ALPS to the Fund Trust at the Fund’s Funds’ expense. ALPS shall assist the FundTrust, the Fund’s Funds’ independent auditors, or, upon approval of the FundTrust, any regulatory body, in any requested review of the Fund’s Funds’ accounts and records, and reports by ALPS or its independent accountants concerning its accounting system and internal auditing controls will be open to such entities for audit or inspection upon reasonable request. ALPS or its undersigned as defined by Rule 17a-4 of the Securities and Exchange Act (the “Exchange Act”), shall have access to all electronic communications, including password access to the system storing the electronic communications, of registered representatives of ALPS that are associated with the Fund and are required to be maintained under Rule 17a-4 of the Exchange Act and FINRA Rules 3110 and 3010. Electronic storage media maintained by the Fund Trust will comply with Rule 17a-4 of the Exchange Act.
Appears in 1 contract
Accounts and Records. The accounts and records maintained by ALPS shall be the property of the Fund. ALPS shall prepare, maintain and preserve such accounts and records as required by the 1940 Act and other applicable securities laws, rules and regulations. ALPS shall surrender such accounts and records to the Fund, in the form in which such accounts and records have been maintained or preserved, promptly upon receipt of instructions from the Fund. The Fund shall have access to such accounts and records at all times during ALPS’ normal business hours. Upon the reasonable request of the Fund, copies of any such books and records shall be provided by ALPS to the Fund at it the Fund’s expense. ALPS shall assist the Fund, the Fund’s independent auditors, or, upon approval of the Fund, any regulatory body, in any requested review of the Fund’s accounts and records, and reports by ALPS or its independent accountants concerning its accounting system and internal auditing controls will be open to such entities for audit or inspection upon reasonable request. ALPS or its undersigned as defined by Rule 17a-4 of the Securities and Exchange Act (the “Exchange Act”), shall have access to all electronic communications, including password access to the system storing the electronic communications, of registered representatives of ALPS that are associated with the Fund and are required to be maintained under Rule 17a-4 of the Exchange Act and FINRA Rules 3110 and 3010. Electronic storage media maintained by the Fund will comply with Rule 17a-4 of the Exchange Act.
Appears in 1 contract
Accounts and Records. The accounts and records maintained by ALPS shall be the property of the FundTrust. ALPS shall prepare, maintain and preserve such accounts and records as required by the 1940 Act and other applicable securities laws, rules and regulations. ALPS shall surrender such accounts and records to the FundTrust and the Funds, in the form in which such accounts and records have been maintained or preserved, promptly upon receipt of instructions from the FundTrust. The Fund Trust shall have access to such accounts and records at all times during ALPS’ normal business hours. Upon the reasonable request of the FundTrust, copies of any such books and records shall be provided by ALPS to the Fund Trust at the FundTrust’s expense. ALPS shall assist the FundTrust, the Fund’s Funds’ independent auditors, or, upon approval of the FundTrust, any regulatory body, in any requested review of the Fund’s Funds’ accounts and records, and reports by ALPS or its independent accountants concerning its accounting system and internal auditing controls will be open to such entities for audit or inspection upon reasonable request. ALPS or its undersigned as defined by Rule 17a-4 of the Securities and Exchange Act (the “Exchange Act”), shall have access to all electronic communications, including password access to the system storing the electronic communications, of registered representatives of ALPS that are associated with the Fund Trust and are required to be maintained under Rule 17a-4 of the Exchange Act and FINRA Rules 3110 and 3010. Electronic storage media maintained by the Fund Trust will comply with Rule 17a-4 of the Exchange Act.
Appears in 1 contract
Accounts and Records. The accounts and records maintained by ALPS for the Funds shall be the property of the FundTrust. ALPS shall prepare, maintain and preserve such accounts and records as required by the 1940 Act and other applicable securities laws, rules and regulations. ALPS shall surrender such accounts and records to the FundTrust, in the form in which such accounts and records have been maintained or preserved, promptly upon receipt of instructions from the FundTrust. The Fund Trust shall have access to such accounts and records at all times during ALPS’ normal business hours. Upon the reasonable request of the FundTrust, copies of any such books and records shall be provided by ALPS to the Fund Trust at the FundTrust’s expense. ALPS shall assist the FundTrust, the Fund’s Funds’ independent auditors, or, upon approval of the FundTrust, any regulatory body, in any requested review of the Fund’s Funds’ accounts and records, and reports by ALPS or its independent accountants concerning its accounting system and internal auditing controls will be open to such entities for audit or inspection upon reasonable request. ALPS or its undersigned as defined by Rule 17a-4 of the Securities and Exchange Act (the “Exchange Act”), shall have access to all electronic communications, including password access to the system storing the electronic communications, of registered representatives of ALPS that are associated with the Fund Funds and are required to be maintained under Rule 17a-4 of the Exchange Act and FINRA Rules 3110 and 3010. Electronic storage media maintained by the Fund Funds will comply with Rule 17a-4 of the Exchange Act.
Appears in 1 contract
Samples: Distribution Agreement (Trust for Professional Managers)
Accounts and Records. The accounts and records maintained by ALPS shall be the property of the FundTrust. ALPS shall prepare, maintain and preserve such accounts and records as required by the 1940 Act and other applicable securities laws, rules and regulations. ALPS shall surrender such accounts and records to the FundTrust and the Funds, in the form in which such accounts and records have been maintained or preserved, promptly upon receipt of instructions from the FundTrust. The Fund Trust shall have access to such accounts and records at all times during ALPS’ normal business hours. Upon the reasonable request of the FundTrust, copies of any such books and records shall be provided by ALPS to the Fund Trust at the FundTrust’s expense. ALPS shall assist the FundTrust, the Fund’s Funds’ independent auditors, or, upon approval of the FundTrust, any regulatory body, in any requested review of the Fund’s Funds’ accounts and records, and reports by ALPS or its independent accountants concerning its accounting system and internal auditing controls will be open to such entities for audit or inspection upon reasonable request. ALPS or its undersigned as defined by Rule 17a-4 of under the Securities and Exchange Act (the “Exchange 1934 Act”), shall have access to all electronic communications, including password access to the system storing the electronic communications, of registered representatives of ALPS that are associated with the Fund Funds and are required to be maintained under Rule 17a-4 of under the Exchange 1934 Act and FINRA Rules 3110 and 3010. Electronic storage media maintained by the Fund Funds will comply with Rule 17a-4 of under the Exchange 1934 Act.
Appears in 1 contract
Accounts and Records. The accounts and records maintained by ALPS shall be the property of the Fund. ALPS shall prepare, maintain and preserve such accounts and records as required by the 1940 Act and other applicable securities laws, rules and regulations. ALPS shall surrender such accounts and records to the Fund, in the form in which such accounts and records have been maintained or preserved, promptly upon receipt of instructions from the Fund. The Fund shall have access to such accounts and records at all times during ALPS’ normal business hours. Upon the reasonable request of the Fund, copies of any such books and records shall be provided by ALPS to the Fund at the Fund’s expense. ALPS shall assist the Fund, the Fund’s independent auditors, or, upon approval of the Fund, any regulatory body, in any requested review of the Fund’s accounts and records, and reports by ALPS or its independent accountants concerning its accounting system and internal auditing controls will be open to such entities for audit or inspection upon reasonable request. ALPS or its undersigned as defined by Rule 17a-4 of the Securities and Exchange Act (the “Exchange Act”), shall have access to all electronic communications, including password access to the system storing the electronic communications, of registered representatives of ALPS that are associated with the Fund and are required to be maintained under Rule 17a-4 of the Exchange Act and FINRA Rules 3110 and 3010. Electronic storage media maintained by the Fund will comply with Rule 17a-4 of the Exchange Act.
Appears in 1 contract
Accounts and Records. The accounts and records maintained by ALPS shall be the property of the Fund. ALPS shall prepare, maintain and preserve such accounts and records as required by the 1940 Act and other applicable securities laws, rules and regulations. ALPS shall surrender such accounts and records to the Fund, in the form in which such accounts and records have been maintained or preserved, promptly upon receipt of instructions from the Fund. The Fund shall have access to such accounts and records at all times during ALPS’ normal business hours. Upon the reasonable request of the Fund, copies of any such books and records shall be provided by ALPS to the Fund at the Fund’s expense. ALPS shall assist the Fund, the Fund’s independent auditors, or, upon approval of the Fund, any regulatory body, in any requested review of the Fund’s accounts and records, and reports by ALPS or its independent accountants concerning its accounting system and internal auditing controls will be open to such entities for audit or inspection upon reasonable request. ALPS or its undersigned as defined by Rule 17a-4 of the Securities and Exchange Act (the “Exchange Act”), shall have access to all electronic communications, including password access to the system storing the electronic communications, of registered representatives of ALPS ALPS, if any, that are associated with the Fund and are required to be maintained under Rule 17a-4 of the Exchange Act and FINRA Rules 3110 and 3010. Electronic storage media maintained by the Fund will comply with Rule 17a-4 of the Exchange Act.
Appears in 1 contract
Samples: Distribution Agreement (Pax World Funds Series Trust Iii)
Accounts and Records. The accounts and records maintained by ALPS shall be the property of the Fund. ALPS shall prepare, maintain and preserve such accounts and records as required by the 1940 Act and other applicable securities laws, rules and regulations. ALPS shall surrender such accounts and records to the Fund, in the form in which such accounts and records have been maintained or preserved, promptly upon receipt of instructions from the Fund. The Fund shall have access to such accounts and records at all times during ALPS’ normal business hours. Upon the reasonable request of the Fund, copies of any such books and records shall be provided by ALPS to the die Fund at the Fund’s expense. ALPS shall assist the Fund, the Fund’s independent auditors, or, upon approval of the Fund, any regulatory body, in any requested review of the Fund’s accounts and records, and reports by ALPS or its independent accountants concerning its accounting system and internal auditing controls will be open to such entities for audit or inspection upon reasonable request. ALPS or its undersigned as defined by Rule 17a-4 of the Securities and Exchange Act (the “Exchange 1934 Act”), shall have access to all electronic communications, including password access to the system storing the electronic communications, of registered representatives of ALPS that are associated with the Fund and are required to be maintained under Rule 17a-4 of the Exchange Act and FINRA Rules 3110 and 3010. Electronic storage media maintained by the Fund will comply with Rule 17a-4 of the Exchange 1934 Act.
Appears in 1 contract
Samples: Distribution Agreement (Exchange Traded Spreads Trust)
Accounts and Records. The accounts and records maintained by ALPS shall be the property of the Fund. ALPS shall prepare, maintain and preserve such accounts and records as required by the 1940 Act and other applicable securities laws, rules and regulations. ALPS shall surrender such accounts and records to the Fund, in the form in which such accounts and records have been maintained or preserved, promptly upon receipt of instructions from the Fund. The Fund shall have access to such accounts and records at all times during ALPS’ normal business hours. Upon the reasonable request of the Fund, copies of any such books and records shall be provided by ALPS to the Fund at the Fund’s expense. ALPS shall assist the Fund, the Fund’s independent auditors, or, upon approval of the Fund, any regulatory body, in any requested review of the Fund’s accounts and records, and reports by ALPS or its independent accountants concerning its accounting system and internal auditing controls will be open to such entities for audit or inspection upon reasonable request. ALPS or its undersigned as defined by Rule 17a-4 of the Securities and Exchange Act (the “Exchange 1934 Act”), shall have access to all electronic communications, including password access to the system storing the electronic communications, of registered representatives of ALPS that are associated with the Fund and are required to be maintained under Rule 17a-4 of the Exchange 1934 Act and FINRA Rules 3110 and 3010. Electronic storage media maintained by the Fund will comply with Rule 17a-4 of the Exchange Act.
Appears in 1 contract
Samples: Distribution Agreement (CION Ares Diversified Credit Fund)
Accounts and Records. The accounts and records maintained by ALPS shall be the property of the Fund. ALPS shall prepare, maintain and preserve such accounts and records as required by the 1940 Act and other applicable securities laws, rules and regulations. ALPS shall surrender such accounts and records to the Fund, in the form in which such accounts and records have been maintained or preserved, promptly upon receipt of instructions from the Fund. The Fund shall have access to such accounts and records at all times during ALPS’ normal business hours. Upon the reasonable request of the Fund, copies of any such books and records shall be provided by ALPS to the Fund at the Fund’s expense. ALPS shall assist the Fund, the Fund’s independent auditors, or, upon approval of the Fund, any regulatory body, in any requested review of the Fund’s accounts and records, and reports by ALPS or its independent accountants concerning its accounting system and internal auditing controls will be open to such entities for audit or inspection upon reasonable request. ALPS or its undersigned as defined by Rule 17a-4 of the Securities and Exchange Act (the “Exchange Act”), shall have access to all electronic communications, including password access to the system storing the electronic communications, of registered representatives of ALPS that are associated with the Fund and are required to be maintained under Rule 17a-4 of the Exchange Act and FINRA Rules 3110 and 3010Rule 3110. Electronic storage media maintained by the Fund will comply with Rule 17a-4 of the Exchange Act.
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Samples: Distribution Agreement (X-Square Balanced Fund, LLC)
Accounts and Records. The accounts and records maintained by ALPS shall be the property of the FundTrust. ALPS shall prepare, maintain and preserve such accounts and records as required by the 1940 Act and other applicable securities laws, rules and regulations. ALPS shall surrender such accounts and records to the FundTrust, in the form in which such accounts and records have been maintained or preserved, promptly upon receipt of instructions from the FundTrust. The Fund Trust shall have access to such accounts and records at all times during ALPS’ normal business hours. Upon the reasonable request of the FundTrust, copies of any such books and records shall be provided by ALPS to the Fund Trust at the Fund’s expense. ALPS shall assist the FundTrust, the Fund’s Funds’ independent auditors, or, upon approval of the FundTrust, any regulatory body, in any requested review of the Fund’s Funds’ accounts and records, and reports by ALPS or its independent accountants concerning its accounting system and internal auditing controls will be open to such entities for audit or inspection upon reasonable request. ALPS or its undersigned as defined by Rule 17a-4 of the Securities and Exchange Act (the “Exchange 1934 Act”), shall have access to all electronic communications, including password access to the system storing the electronic communications, of registered representatives of ALPS that are associated with the Fund Funds and are required to be maintained under Rule 17a-4 Rule17a-4 of the Exchange 1934 Act and FINRA NASD Rules 3110 and 3010. Electronic storage media maintained by the Fund Trust will comply with Rule 17a-4 of the Exchange 1934 Act.
Appears in 1 contract
Accounts and Records. The accounts and records maintained by ALPS the Distributor shall be the property of the FundTrust. ALPS The Distributor shall prepare, maintain and preserve such accounts and records as required by the 1940 Act and other applicable securities laws, rules and regulations. ALPS the Distributor shall surrender such accounts and records to the FundTrust, in the form in which such accounts and records have been maintained or preserved, promptly upon receipt of instructions from the FundTrust. The Fund Trust shall have access to such accounts and records at all times during ALPS’ the Distributor’s normal business hours. Upon the reasonable request of the FundTrust, copies of any such books and records shall be provided by ALPS the Distributor to the Fund Trust at the FundTrust’s expense. ALPS The Distributor shall assist the FundTrust, the FundTrust’s independent auditors, or, upon approval of the FundTrust, any regulatory body, in any requested review of the FundTrust’s accounts and records, and reports by ALPS the Distributor or its independent accountants concerning its accounting system and internal auditing controls will be open to such entities for audit or inspection upon reasonable request. ALPS The Distributor or its undersigned as defined by Rule 17a-4 of the Securities and Exchange Act (the “Exchange Act”), shall have access to all electronic communications, including password access to the system storing the electronic communications, of registered representatives of ALPS the Distributor that are associated with the Fund Trust and are required to be maintained under Rule 17a-4 of the Exchange Act and FINRA Rules 3110 and 3010. Electronic storage media maintained by the Fund Trust will comply with Rule 17a-4 of the Exchange Act.
Appears in 1 contract
Accounts and Records. The accounts and records maintained by ALPS shall be the property of the FundTrust. ALPS shall prepare, maintain and preserve such accounts and records as required by the 1940 Act and other applicable securities laws, rules and regulations. ALPS shall surrender such accounts and records to the FundTrust, in the form in which such accounts and records have been maintained or preserved, promptly upon receipt of instructions from the FundTrust. The Fund Trust shall have access to such accounts and records at all times during ALPS’ normal business hours. Upon the reasonable request of the FundTrust, copies of any such books and records shall be provided by ALPS to the Fund Trust at the FundTrust’s expense. ALPS shall assist the FundTrust, the FundTrust’s independent auditors, or, upon approval of the FundTrust, any regulatory body, in any requested review of the FundTrust’s accounts and records, and reports by ALPS or its independent accountants concerning its accounting system and internal auditing controls will be open to such entities for audit or inspection upon reasonable request. ALPS or its undersigned as defined by Rule 17a-4 of the Securities and Exchange Act (the “Exchange Act”), shall have access to all electronic communications, including password access to the system storing the electronic communications, of registered representatives of ALPS that are associated with the Fund Trust and are required to be maintained under Rule 17a-4 of the Exchange 1934 Act and FINRA Rules 3110 and 3010Rule 3110. Electronic storage media maintained by the Fund Trust will comply with Rule 17a-4 of the Exchange 1934 Act.
Appears in 1 contract
Samples: Distribution Agreement (Manager Directed Portfolios)
Accounts and Records. The accounts and records maintained by ALPS the Distributor shall be the property of the FundTrust. ALPS the Distributor shall prepare, maintain and preserve such accounts and records as required by the 1940 Act and other applicable securities laws, rules and regulations. ALPS the Distributor shall surrender such accounts and records to the FundTrust, in the form in which such accounts and records have been maintained or preserved, promptly upon receipt of instructions from the FundTrust. The Fund Trust shall have access to such accounts and records at all times during ALPS’ the Distributor' normal business hours. Upon the reasonable request of the FundTrust, copies of any such books and records shall be provided by ALPS the Distributor to the Fund Trust at the Fund’s 's expense. ALPS the Distributor shall assist the FundTrust, the Fund’s Funds' independent auditors, or, upon approval of the FundTrust, any regulatory body, in any requested review of the Fund’s Funds' accounts and records, and reports by ALPS the Distributor or its independent accountants concerning its accounting system and internal auditing controls will be open to such entities for audit or inspection upon reasonable request. ALPS the Distributor or its undersigned as defined by Rule 17a-4 of the Securities and Exchange Act (the “Exchange 1934 Act”), shall have access to all electronic communications, including password access to the system storing the electronic communications, of registered representatives of ALPS the Distributor that are associated with the Fund Funds and are required to be maintained under Rule 17a-4 of the Exchange 1934 Act and FINRA Rules 3110 and 3010Rule 3110. Electronic storage media maintained by the Fund Trust will comply with Rule 17a-4 of the Exchange 1934 Act.
Appears in 1 contract
Accounts and Records. The accounts and records relating to the Fund maintained by ALPS shall be the property of the Fund. ALPS shall prepare, maintain and preserve such accounts and records as required by the 1940 Act and other applicable securities laws, rules and regulations. ALPS shall surrender such accounts and records to the Fund, in the form in which such accounts and records have been maintained or preserved, promptly upon receipt of instructions from the Fund. The Fund shall have access to such accounts and records at all times during ALPS’ normal business hours. Upon the reasonable request of the Fund, copies of any such books and records shall be provided by ALPS to the Fund at the Fund’s expense. ALPS shall assist the Fund, the Fund’s independent auditors, or, upon approval of the Fund, any regulatory body, in any requested review of the Fund’s accounts and records, and reports by ALPS or its independent accountants concerning its accounting system and internal auditing controls will be open to such entities for audit or inspection upon reasonable request. ALPS or its undersigned as defined by Rule 17a-4 of the Securities and Exchange Act (the “Exchange 1934 Act”), shall have access to all electronic communications, including password access to the system storing the electronic communications, of registered representatives of ALPS that are associated with the Fund and are required to be maintained under Rule 17a-4 of the Exchange 1934 Act and FINRA Rules 3110 and 3010. Electronic storage media maintained by the Fund will comply with Rule 17a-4 of the Exchange 1934 Act.
Appears in 1 contract
Accounts and Records. The accounts and records maintained by ALPS shall be the property of the FundTrust. ALPS shall prepare, maintain and preserve such accounts and records as required by the 1940 Act and other applicable securities laws, rules and regulations. ALPS shall surrender such accounts and records to the Fund, in the form in which such accounts and records have been maintained or preserved, promptly upon receipt of instructions from the FundTrust. The Fund Trust shall have access to such accounts and records at all times during ALPS’ ’s normal business hours. Upon the reasonable request of the FundTrust, copies of any such books and records shall be provided by ALPS to the Fund Trust at the Fund’s expense. ALPS shall assist the FundTrust, the Fund’s independent auditors, or, upon approval of the FundTrust, any regulatory body, in any requested review of the Fund’s accounts and records, and reports by ALPS or its independent accountants concerning its accounting system and internal auditing controls will be open to such entities for audit or inspection upon reasonable request. ALPS or its undersigned as defined by Rule 17a-4 of the Securities and Exchange 1934 Act (the “Exchange Act”), shall have access to all electronic communications, including password access to the system storing the electronic communications, of registered representatives of ALPS that are associated with the Fund Trust and are required to be maintained under Rule 17a-4 of the Exchange 1934 Act and FINRA Rules 3110 and 3010. Electronic storage media maintained by the Fund Trust will comply with Rule 17a-4 of the Exchange 1934 Act.
Appears in 1 contract
Accounts and Records. The accounts and records maintained by ALPS shall be the property of the FundFunds. ALPS shall prepare, maintain and preserve such accounts and records as required by the 1940 Act and other applicable securities laws, rules and regulations. ALPS shall surrender such accounts and records to the FundCompany, in the form in which such accounts and records have been maintained or preserved, promptly upon receipt of instructions from the FundCompany. The Fund Company shall have access to such accounts and records at all times during ALPS’ normal business hours. Upon the reasonable request of the FundCompany, copies of any such books and records shall be provided by ALPS to the Fund Company at the FundCompany’s expense. ALPS shall assist the FundCompany, the Fund’s Funds, the Funds’ independent auditors, or, upon approval of the FundCompany, any regulatory body, in any requested review of the FundCompany’s accounts and records, and reports by ALPS or its independent accountants concerning its accounting system and internal auditing controls will be open to such entities for audit or inspection upon reasonable request. ALPS or its undersigned as defined by Rule 17a-4 of the Securities and Exchange Act (the “Exchange Act”), shall have access to all electronic communications, including password access to the system storing the electronic communications, of registered representatives of ALPS that are associated with the Fund Funds and are required to be maintained under Rule 17a-4 of the Exchange Act and FINRA Rules 3110 and 3010. Electronic storage media maintained by the Fund Funds will comply with Rule 17a-4 of the Exchange Act.
Appears in 1 contract