Compliance Services. (a) If Schedule I contains a requirement for the BNY to provide the Fund with compliance services, such services shall be provided pursuant to the terms of this Section 6 (the “Compliance Services”). The precise compliance review and testing services to be provided shall be as mutually agreed between the BNY and each Fund, and the results of the BNY’s Compliance Services shall be detailed in a compliance summary report (the “Compliance Summary Report”) prepared on a periodic basis as mutually agreed. Each Compliance Summary Report shall be subject to review and approval by the Fund. The BNY shall have no responsibility or obligation to provide Compliance Services other that those services specifically listed in Schedule I.
Compliance Services. (a) The parties mutually agree to coordinate and cooperate in connection with the creation and implementation of written compliance polices and procedures which, in the aggregate, shall be deemed by the Board of Trustees of the Trust (the "Board") to be reasonably designed to prevent the Trust from violating the provisions of the Federal securities laws applicable to the Trust (the "Applicable Securities Laws"), as required under Rule 38a-1 under the 0000 Xxx.
Compliance Services. The on-site portion will consist primarily of reviewing the policies and procedures identified in Phase I above as well as interviews of the relevant personnel throughout the different business lines of the Trust. Visits to Service Providers of the Trust will include:
Compliance Services o Assist the Funds in responding to routine and non-routine regulatory inquiries, examinations and investigations o Provide consultation on regulatory matters relating to Fund operations and any potential changes in the Funds' investment policies, operations or structure o Develop or assist in developing guidelines and procedures to improve overall compliance by the Funds and their various agents
Compliance Services. (a) The Trust and MFund, through the designated Chief Compliance Officer described in Section 2 hereof, mutually agree to coordinate and cooperate in connection with the implementation and ongoing maintenance of written compliance policies and procedures which, in the aggregate, shall be deemed by the Board of Trustees of the Trust (the “Board”) to be reasonably designed to prevent the Trust from violating the provisions of the Federal securities laws applicable to the Trust (the “Applicable Securities Laws”), as required under Rule 38a-1 under the 1940 Act (the “Fund Compliance Program”).
Compliance Services. 16. provide the Trusts' Chief Compliance Officer and other necessary staff to administer the Trusts' Compliance Program required by Rule 38a-1 under the Investment Company Act of 1940; Legal Consulting and Planning Services
Compliance Services. Subject to the direction and control of the Trustees of the Trust, Integrated shall perform the compliance services for the Trust detailed in Exhibits A-B. Integrated shall perform such other services for the Trust and the Funds that are mutually agreed upon by the parties from time to time, for which the Trust will pay Integrated the amounts agreed upon between them.
Compliance Services. (a) If Schedule I contains a requirement for BNYM to provide a Fund with compliance services (including any Sub-Chapter M Services), such services shall be provided pursuant to the terms of this Section 7 (the “Compliance Services”). The precise compliance review and testing services to be provided shall be as mutually agreed between BNYM and each Fund, and the results of the BNYM’s Compliance Services shall be detailed in a compliance summary report (the “Compliance Summary Report”) prepared on a periodic basis as mutually agreed. Each Compliance Summary Report shall be subject to review and approval by the Funds. BNYM shall have no responsibility or obligation to provide Compliance Services other that those services specifically listed in Schedule I.
Compliance Services. USBGFS shall:
Compliance Services. (a) Perform risk-based testing and an annual assessment of the compliance procedures of each service group of Service Provider (other than the Compliance Services group) that provides services for the Client pursuant to this Agreement.
