Compliance and Other Matters Sample Clauses

Compliance and Other Matters. The Adviser, at its expense, shall provide the Manager with such compliance reports and certifications relating to its duties under this Agreement and the federal securities laws as may be agreed upon by such parties from time to time. The Adviser also shall:
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Compliance and Other Matters. As part of obtaining reasonable assurance about whether the QSA JPA’s financial statements are free from material misstatement, we performed tests of its compliance with certain provisions of laws, regulations, contracts, and grant agreements, noncompliance with which could have a direct and material effect on the determination of financial statement amounts. However, providing an opinion on compliance with those provisions was not an objective of our audit, and accordingly, we do not express such an opinion. The results of our tests disclosed no instances of noncompliance or other matters that are required to be reported under Government Auditing Standards. Purpose of this Report The purpose of this report is solely to describe the scope of our testing of internal control and compliance and the results of that testing, and not to provide an opinion on the effectiveness of the QSA JPA’s internal control or on compliance. This report is an integral part of an audit performed in accordance with Government Auditing Standards in considering the QSA JPA’s internal control and compliance. Accordingly, this communication is not suitable for any other purpose.
Compliance and Other Matters. The Sub-Advisor shall: (i) maintain any necessary registrations, licenses, or exemptions, to the extent required, with the U.S. Commodity Futures Trading Commission (“CFTC”) and/or National Futures Association; (ii) at all times provide its commercially reasonable efforts to the Manager and the Trust in carrying out its obligations hereunder; (iii) act in a manner that the Sub-Advisor considers to be consistent with the Sub-Advisor’s fiduciary duty (within the meaning of the Advisers Act) to the Fund, taking into consideration its fiduciary duties to all of its clients; (iv) (i) cooperate with the Manager, the Trust’s administrator, custodian, transfer agent and pricing agents and all other agents and representatives of the Trust and the Manager; (ii) provide prompt responses to reasonable requests made by such persons; and (iii) maintain any appropriate interfaces with each so as to promote the efficient exchange of information. Without limitation of the foregoing, the Sub-Advisor shall comply with all statutory and regulatory requirements relating to derivatives transactions entered into by the Sub-Advisor for the Fund including without limitation, compliance with all recordkeeping and reporting requirements; (v) maintain a written Code of Ethics complying with the requirements of Rule 17j-1 under the Investment Company Act and provide the Manager with a current copy of the Code of Ethics. The Sub-Advisor shall periodically certify to the Manager that the Sub-Advisor has complied with the requirements of Rule 17j-1 and that there have been no material violations of the Code of Ethics or, if a violation has occurred, that appropriate action has been taken in response to such violation. Upon advance notice of at least ten (10) business days and by written request of the Manager, the Sub-Advisor shall permit representatives of the Manager to examine in-person the reports (or summaries of the reports) required to be made under the Code of Ethics and other records evidencing enforcement of the Code of Ethics; (vi) maintain a compliance program in accordance with the requirements of Rule 206(4)-7 under the Advisers Act, as amended, and shall provide the Manager or the Trust’s Chief Compliance Officer (“CCO”) with reasonable access to information regarding the Sub-Advisor’s compliance program, which access shall include on-site visits with the Sub-Advisor as may be reasonably requested from time to time. In connection with the periodic review and annual report ...
Compliance and Other Matters. The Lead Adviser, at its expense, shall provide the Manager with such compliance reports and certifications relating to its duties under this Agreement and the federal securities laws as may be agreed upon by such parties from time to time. The Lead Adviser also shall:
Compliance and Other Matters. Agreement to be Exhibited Clause 32 No Reduction In Wages Clause 33 Security Checks Clause 34 Articles of Clothing Clause 35 Change (Money) Clause 36 Gear to be Provided Clause 37 No Further Claims Clause 42 CL3 - ANTI-DISCRIMINATION
Compliance and Other Matters. As part of obtaining reasonable assurance about whether the City’s financial statements are free of material misstatement, we performed tests of its compliance with certain provisions of laws, regulations, contracts, and grant agreements, noncompliance with which could have a direct and material effect on the determination of financial statement amounts. However, providing an opinion on compliance with those provisions was not an objective of our audit, and accordingly, we do not express such an opinion. The results of our tests disclosed no instances of noncompliance or other matters that are required to be reported under Government Auditing Standards.
Compliance and Other Matters. As part of obtaining reasonable assurance about whether the District's Measure M General Obligation Bond Fund (Measure M) financial statements are free of material misstatement, we performed tests of its compliance with certain provisions of laws, regulations, contracts, and grant agreements, noncompliance with which could have a direct and material effect on the determination of financial statement amounts. However, providing an opinion on compliance with those provisions was not an objective of our audit and, accordingly, we do not express such an opinion. The results of our testing disclosed no instances of noncompliance or other matters that are required to be reported under Government Auditing Standards. Purpose of this Report The purpose of this report is solely to describe the scope of our testing of internal control and compliance and the results of that testing, and not to provide an opinion on the effectiveness of the Measure M General Obligation Bond Fund (Measure M) internal control or on compliance. This report is an integral part of an audit performed in accordance with Government Auditing Standards in considering the Measure M General Obligation Bond Fund (Measure M) internal control and compliance. Accordingly, this communication is not suitable for any other purpose. San Diego, California December 20, 2016 SCHEDULE OF FINDINGS AND QUESTIONED COSTS None reported. There were no audit findings reported in the prior year's Financial Statement Findings. PALOMAR COMMUNITY COLLEGE DISTRICT MEASURE M GENERAL OBLIGATION BONDS ELECTION 2006 PERFORMANCE AUDIT JUNE 30, 2016 PALOMAR COMMUNITY COLLEGE DISTRICT MEASURE M GENERAL OBLIGATION BOND FUND PERFORMANCE AUDIT TABLE OF CONTENTS JUNE 30, 2016 Independent Auditor's Report on Performance 1 Authority for Issuance 2 Purpose of Issuance 2 Authority for the Audit 2 Objectives of the Audit 3 Scope of the Audit 3 Procedures Performed 3 Conclusion 4 Schedule of Findings and Questioned Costs 5 Summary Schedule of Prior Audit Findings 7 INDEPENDENT AUDITOR'S REPORT ON PERFORMANCE Board of Trustees and Citizens' Oversight Committee Palomar Community College District San Marcos, California We were engaged to conduct a performance audit of Palomar Community College District's (the District) Measure M General Obligation Bond Fund (General Obligation Bonds, Election 2006) for the year ended June 30, 2016. We conducted this performance audit in accordance with the standards applicable to performance audits containe...
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Compliance and Other Matters. As part of obtaining reasonable assurance about whether the Fund’s financial statements are free from material misstatement, we performed tests of its compliance with certain provisions of laws, regulations, contracts, and grant agreements, noncompliance with which could have a direct and material effect on the determination of financial statement amounts. However, providing an opinion on compliance with those provisions was not an objective of our audit, and accordingly, we do not express such an opinion. The results of our tests disclosed no instances of noncompliance or other matters that are required to be reported under Government Auditing Standards. Purpose of this Report The purpose of this report is solely to describe the scope of our testing of internal control and compliance and the results of that testing, and not to provide an opinion on the effectiveness of the entity’s internal control or on compliance. This report is an integral part of an audit performed in accordance with Government Auditing Standards in considering the entity’s internal control and compliance. Accordingly, this communication is not suitable for any other purpose. Atlanta, Georgia January 19, 2017 BeltLine Tax Allocation District Annual Estimate of Tax Allocation Increment Continuing Disclosure Agreement Dated December 15, 2009 Section †(b)(ii)
Compliance and Other Matters. As part of obtaining reasonable assurance about whether the Gas Departments’ financial statements are free from material misstatement, we performed tests of its compliance with certain provisions of laws, regulations, contracts, and grant agreements, noncompliance with which could have a direct and material effect on the determination of financial statement amounts. However, providing an opinion on compliance with those provisions was not an objective of our audit, and accordingly, we do not express such an opinion. The results of our tests disclosed no instances of noncompliance or other matters that are required to be reported under Government Auditing Standards.
Compliance and Other Matters. As part of obtaining reasonable assurance about whether the Gas Departments’ financial statements are free from material misstatement, we performed tests of its compliance with certain provisions of laws, regulations, contracts, and grant agreements, noncompliance with which could have a direct and material effect on the determination of financial statement amounts. However, providing an opinion on compliance with those provisions was not an objective of our audit, and accordingly, we do not express such an opinion. The results of our tests disclosed no instances of noncompliance or other matters that are required to be reported under Government Auditing Standards. Purpose of this Report The purpose of this report is solely to describe the scope of our testing of internal control and compliance and the results of that testing, and not to provide an opinion on the effectiveness of the entity’s internal control or on compliance. This report is an integral part of an audit performed in accordance with Government Auditing Standards in considering the entity’s internal control and compliance. Accordingly, this communication is not suitable for any other purpose. HintonBurdick, PLLC St. Xxxxxx, Utah January 23, 2018 MEMBERS: XXXX X. XXXXXXXX, CPA XXXXXX X. XXXXXX, CPA XXXX X. XXXXXXXXXXX, CPA XXXXXX X. XXX, CPA XXXXXXX X. XXXXXXX, CPA XXXX X. XXXXXXX, CPA XXXXX X. XXXXXXXX, CPA X. XXXX XXXXX, CPA XXXX X. XXXXXXXX, CPA XXXXXX X. XXXXXXX, CPA XXXXXXX X. XXXXXXXXX, CPA XXXX X. XXXX, CPA XXXXXXX X. XXXXX, CPA Findings and Recommendations Executive Director and Members of the Board of Trustees of Hildale/Colorado City Utility Systems During our audit of the Gas Departments of Hildale/Colorado City (the Gas Departments) for the year ended June 30, 2017, we noted a few areas that need corrective action in order to be in compliance with laws and regulations and we found a few circumstances that, if improved, would strengthen the Gas Departments' accounting system and control over its assets. Since the Gas Departments' accounting system is fully integrated with Hildale City’s accounting system, we have included all of our findings and recommendations in the Hildale City management letter, which is made available to each participating governing body. It has been a pleasure to be of service to the Gas Departments this past year. We would like to express special thanks to all those who assisted us in this year's audit. We invite you to ask questions of us throughout the yea...
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