Adviser Compliance Policies and Procedures. The Adviser has adopted and implemented written policies and procedures under Rule 206(4)-7 of the Advisers Act reasonably designed to prevent violation of the Advisers Act by the Adviser.
Appears in 12 contracts
Samples: Sales Agreement (Guggenheim Taxable Municipal Managed Duration Trust), Sales Agreement (Guggenheim Strategic Opportunities Fund), Sales Agreement (Guggenheim Credit Allocation Fund)
Adviser Compliance Policies and Procedures. The Adviser has adopted and implemented written policies and procedures under Rule 206(4)-7 of the Advisers Act reasonably designed to prevent a violation of the Advisers Act by the Adviser.
Appears in 12 contracts
Samples: Sales Agreement (Kayne Anderson MLP Investment CO), Sales Agreement (Kayne Anderson MLP Investment CO), Sales Agreement (Kayne Anderson MLP Investment CO)
Adviser Compliance Policies and Procedures. The Such Adviser has adopted and implemented written policies and procedures under Rule 206(4)-7 of the Advisers Act reasonably designed to prevent violation of the Advisers Act and the Advisers Act Rules by the Advisersuch adviser.
Appears in 2 contracts
Samples: Underwriting Agreement (Eaton Vance Tax-Managed Global Diversified Equity Income Fund), Underwriting Agreement (Eaton Vance Tax-Managed Diversified Equity Income Fund)
Adviser Compliance Policies and Procedures. The Adviser has adopted and implemented written policies and procedures under Rule 206(4)-7 of the Advisers Act reasonably designed to prevent violation of the Advisers Act and the Advisers Act Rules by the AdviserAdviser and its supervised persons.
Appears in 1 contract
Samples: Underwriting Agreement (Nuveen Multi-Currency Short-Term Government Income Fund)
