Anti-Money Laundering Compliance. The Adviser acknowledges that, in compliance with the Bank Secrecy Act, as amended, the USA PATRIOT Act, and any implementing regulations thereunder (together, “AML Laws”), the Trust has adopted an Anti-Money Laundering Policy. The Adviser agrees to comply with the Trust’s Anti-Money Laundering Policy and the AML Laws, to the extent the same may apply to the Adviser, now and in the future. The Adviser further agrees to provide to the Trust, the Trust’s administrator, sub-administrator and/or the Trust’s anti-money laundering compliance officer such reports, certifications and contractual assurances as may be reasonably requested by the Trust. The Trust may disclose information regarding the Adviser to governmental and/or regulatory or self-regulatory authorities to the extent required by applicable law or regulation and may file reports with such authorities as may be required by applicable law or regulation.
Appears in 59 contracts
Samples: Investment Advisory Agreement (Tidal Trust III), Investment Advisory Agreement (Tidal Trust III), Investment Advisory Agreement (Tidal Trust II)
Anti-Money Laundering Compliance. The Adviser acknowledges that, in compliance with the Bank Secrecy Act, as amended, the USA PATRIOT Act, and any implementing regulations thereunder (together, “AML Laws”), the Trust has adopted an Anti-Money Laundering Policy. The Adviser represents that has adopted an Anti-Money Laundering Policy and agrees to comply with the Trust’s its Anti-Money Laundering Policy and the AML Laws, to the extent as the same may apply to the Adviser, now and in the future. The Adviser further agrees to provide to the Trust, the Trust’s administrator, sub-administrator Trust and/or the Trust’s anti-money laundering compliance officer administrator such reports, certifications and contractual assurances as may be reasonably requested by the Trust. The Trust may disclose information regarding the Adviser to governmental and/or regulatory or self-regulatory authorities to the extent required by applicable law or regulation and may file reports with such authorities as may be required by applicable law or regulation.
Appears in 16 contracts
Samples: Investment Advisory Agreement (Series Portfolios Trust), Investment Advisory Agreement (Series Portfolios Trust), Investment Advisory Agreement (Series Portfolios Trust)
Anti-Money Laundering Compliance. The Adviser acknowledges that, in compliance with the Bank Secrecy Act, as amended, the USA PATRIOT Act, and any implementing regulations thereunder (together, “AML Laws”), the Trust has adopted an Anti-Money Laundering Policy. The Adviser agrees to comply with the Trust’s Anti-Money Laundering Policy and the AML Laws, to the extent as the same may apply to the Adviser, now and in the future. The Adviser further agrees to provide to the Trust, the TrustFund’s administrator, sub-administrator and/or the TrustFund’s anti-money laundering compliance officer such reports, certifications and contractual assurances as may be reasonably requested by the Trust. The Trust may disclose information regarding the Adviser to governmental and/or regulatory or self-regulatory authorities to the extent required by applicable law or regulation and may file reports with such authorities as may be required by applicable law or regulation.
Appears in 5 contracts
Samples: Investment Advisory Agreement (Manager Directed Portfolios), Investment Advisory Agreement (Manager Directed Portfolios), Investment Advisory Agreement (Manager Directed Portfolios)
Anti-Money Laundering Compliance. The Adviser acknowledges that, in compliance with the Bank Secrecy Act, as amended, the USA PATRIOT Act, and any implementing regulations thereunder (together, “AML Laws”), the Trust has adopted an Anti-Money Laundering Policy. The Adviser agrees to comply with the Trust’s Anti-Money Laundering Policy and the AML Laws, to the extent the same may apply to the Adviser, now and in the future. The Adviser further agrees to provide to the Trust, the Trust’s administrator, sub-administrator and/or the Trust’s anti-money laundering compliance officer such reports, certifications and contractual assurances as may be reasonably requested by the Trust. The Trust may disclose information regarding the Adviser to governmental and/or regulatory or self-regulatory self‑regulatory authorities to the extent required by applicable law or regulation and may file reports with such authorities as may be required by applicable law or regulation.
Appears in 5 contracts
Samples: Investment Advisory Agreement (Tidal ETF Trust), Investment Advisory Agreement (Tidal ETF Trust), Investment Advisory Agreement (Tidal ETF Trust)
Anti-Money Laundering Compliance. The Adviser acknowledges that, in compliance with the Bank Secrecy Act, as amended, the USA PATRIOT Act, and any implementing regulations thereunder (together, “"AML Laws”"), the Trust has adopted an Anti-Money Laundering Policy. The Adviser agrees to comply with the Trust’s 's Anti-Money Laundering Policy and the AML Laws, to the extent as the same may apply to the Adviser, now and in the future. The Adviser further agrees to provide to the Trust, the Trust’s administrator, sub-Fund's administrator and/or the Trust’s Fund's anti-money laundering compliance officer such reports, certifications and contractual assurances as may be reasonably requested by the Trust. The Trust may disclose information regarding the Adviser to governmental and/or regulatory or self-regulatory authorities to the extent required by applicable law or regulation and may file reports with such authorities as may be required by applicable law or regulation.
Appears in 3 contracts
Samples: Investment Advisory Agreement (Manager Directed Portfolios), Investment Advisory Agreement (Manager Directed Portfolios), Investment Advisory Agreement (Manager Directed Portfolios)
Anti-Money Laundering Compliance. The Adviser acknowledges that, in compliance with the Bank Secrecy Act, as amended, the USA PATRIOT Act, and any implementing regulations thereunder (together, “AML Laws”), the Trust Fund has adopted an Anti-Money Laundering Policy. The Adviser agrees to comply with the TrustFund’s Anti-Money Laundering Policy and the AML Laws, to the extent as the same may apply to the Adviser, now and in the future. The Adviser further agrees to provide to the TrustFund, the Trust’s administrator, sub-administrator Administrator and/or the TrustFund’s anti-money laundering compliance officer such reports, certifications and contractual assurances as may be reasonably requested by the TrustFund. The Trust Fund may disclose information regarding the Adviser to governmental and/or regulatory or self-regulatory authorities to the extent required by applicable law or regulation and may file reports with such authorities as may be required by applicable law or regulation.
Appears in 2 contracts
Samples: Investment Advisory Agreement (Dynamic Alternatives Fund), Investment Advisory Agreement (Dynamic Alternatives Fund)
Anti-Money Laundering Compliance. The Adviser acknowledges that, in compliance with the Bank Secrecy Act, as amended, the USA PATRIOT Act, and any implementing regulations thereunder (together, “AML Laws”), the Trust has adopted an Anti-Money Laundering Policy. The Adviser agrees to comply with the Trust’s Anti-Money Laundering Policy and the AML Laws, to the extent as the same may apply to the Adviser, now and in the future. The Adviser further agrees to provide to the Trust, Trust and/or the Fund’s administrator such reports and certifications regarding the Adviser’s compliance with the Trust’s administrator, subAnti-administrator and/or the Trust’s anti-money laundering compliance officer such reports, certifications and contractual assurances Money Laundering Policy as may be reasonably requested by the Trust. The Trust may disclose information regarding the Adviser to governmental and/or regulatory or self-regulatory authorities to the extent required by applicable law or regulation and may file reports with such authorities as may be required by applicable law or regulation.
Appears in 1 contract
Samples: Investment Advisory Agreement (Trust for Professional Managers)
Anti-Money Laundering Compliance. The Adviser acknowledges that, in compliance with the Bank Secrecy Act, as amended, the USA PATRIOT Act, and any implementing regulations thereunder (together, “AML Laws”), the Trust has adopted an Anti-Money Laundering Policy. The Adviser agrees to comply with the Trust’s Anti-Money Laundering Policy and the AML Laws, to the extent as the same may apply to the Adviser, now and in the future. The Adviser further agrees to provide to the Trust, the Trust’s administrator, sub-Funds’ administrator and/or the Trust’s Funds’ anti-money laundering compliance officer such reports, certifications and contractual assurances as may be reasonably requested by the Trust. The Trust may disclose information regarding the Adviser to governmental and/or regulatory or self-regulatory authorities to the extent required by applicable law or regulation and may file reports with such authorities as may be required by applicable law or regulation.
Appears in 1 contract
Samples: Investment Advisory Agreement (Manager Directed Portfolios)