Compliance with Applicable Securities Laws. (a) With respect to their respective activities under this Agreement, Foreside and the Fund each agree that it will comply with the applicable requirements of (i) the Act (including Regulation D), (ii) the 1940 Act, (iii) the Securities Exchange Act of 1934, as amended (the “1934 Act”) (including all regulations, rules and releases under all such statutes), (iv) the Blue Sky Laws of the state or jurisdiction in which such sale is made and (v) with respect to Foreside, with all applicable rules and regulations of FINRA. In connection with the foregoing, Foreside agrees to comply with such procedures as may be necessary in order that no act or omission to act by Foreside in connection with the Fund’s offering of Units shall cause to become unavailable the exemption from registration of the Units under the Act provided by Section 4(2) thereof and Rule 506 of Regulation D thereunder. Neither Foreside nor its registered representatives will give any information or make any representation other than those contained in (i) the Offering Memorandum or (ii) any sales literature, performance reports, financial statements and other written materials provided by or on behalf of the Fund in connection with the placement of Units (all such materials except the Offering Memorandum being collectively referred to as “Related Offering Materials”).
Appears in 8 contracts
Samples: Private Placement Agent Agreement (Partners Group Private Equity (Institutional TEI), LLC), Private Placement Agent Agreement (Partners Group Private Equity (Institutional), LLC), Private Placement Agent Agreement (Partners Group Private Equity, LLC)
Compliance with Applicable Securities Laws. (a) With respect to their respective activities under this Agreement, Foreside and the Fund each agree that it will comply with the applicable requirements of (i) the Act (including Regulation D), (ii) the 1940 Act, (iii) the Securities Exchange Act of 1934, as amended (the “1934 Act”) (including all regulations, rules and releases under all such statutes), (iv) the Blue Sky Laws of the state or jurisdiction in which such sale is made and (v) with respect to Foreside, with all applicable rules and regulations of FINRA. In connection with the foregoing, Foreside agrees to comply with such procedures as may be necessary in order that no act or omission to act by Foreside in connection with the Fund’s ’s’ offering of Units shall cause to become unavailable the exemption from registration of the Units under the Act provided by Section 4(2) thereof and Rule 506 of Regulation D thereunder. Neither Foreside nor its registered representatives will give any information or make any representation other than those contained in (i) the Offering Memorandum or (ii) any sales literature, performance reports, financial statements and other written materials provided by or on behalf of the Fund in connection with the placement of Units (all such materials except the Offering Memorandum being collectively referred to as “Related Offering Materials”).
Appears in 3 contracts
Samples: Private Placement Agent Agreement (JHW Pan Asia Strategies Master Fund, LLC), Private Placement Agent Agreement (JHW Pan Asia Strategies Fund, LLC), Private Placement Agent Agreement (JHW Pan Asia Strategies TE Fund, LLC)
Compliance with Applicable Securities Laws. (a) With respect to their respective activities under this Agreement, Foreside and the Fund each agree that it will comply with the applicable requirements of (i) the Act (including Regulation D), (ii) the 1940 Act, (iii) the Securities Exchange Act of 1934, as amended (the “1934 Act”) (including all regulations, rules and releases under all such statutes), (iv) the Blue Sky Laws of the state or jurisdiction in which such any offer or sale is made and (v) with respect to Foreside, with all applicable rules and regulations of FINRA. In connection with the foregoing, Foreside agrees to comply with such procedures as may be necessary in order that no act or omission to act by Foreside in connection with the Fund’s offering of Units shall cause to become unavailable the exemption from registration of the Units under the Act provided by Section 4(2) thereof and Rule 506 of Regulation D thereunder. Neither Foreside nor its registered representatives will give any information or make any representation other than those contained in (i) the Offering Memorandum or (ii) any sales literature, performance reports, financial statements and other written materials provided by or on behalf of the Fund in connection with the placement of Units (all such materials except the Offering Memorandum being collectively referred to as “Related Offering Materials”).
Appears in 2 contracts
Samples: Private Placement Agent Agreement (Center Coast Core MLP Fund I, LLC), Private Placement Agent Agreement (Center Coast Core MLP Fund II, LLC)
Compliance with Applicable Securities Laws. (a) With respect to their respective activities under this Agreement, Foreside Placement Agent and the Fund each agree that it will comply with the applicable requirements of (i) the Act (including Regulation D), (ii) the 1940 Act, (iii) the Securities Exchange Act of 1934, as amended (the “1934 Act”) (including all regulations, rules and releases under all such statutes), (iv) the Blue Sky Laws of the state or jurisdiction in which such sale is made and (v) with respect to ForesidePlacement Agent, with all applicable rules and regulations of FINRA. In connection with the foregoing, Foreside Placement Agent agrees to comply with such procedures as may be necessary in order that no act or omission to act by Foreside Placement Agent in connection with the Fund’s offering of Units shall cause to become unavailable the exemption from registration of the Units under the Act provided by Section 4(2) thereof and Rule 506 of Regulation D thereunder. Neither Foreside nor its registered representatives will Placement Agent acknowledges and agrees that it is not authorized to give any information or make any representation other than those contained in (i) the Offering Memorandum or (ii) any sales literature, performance reports, financial statements and other written materials provided by or on behalf of the Fund in connection with the placement of Units (all such materials except the Offering Memorandum being collectively referred to as “Related Offering Materials”).
Appears in 2 contracts
Samples: Private Placement Agent Agreement (Primark Private Equity Fund), Private Placement Agent Agreement (Infinity Long/Short Equity Fund, LLC)
Compliance with Applicable Securities Laws. (a) With respect to their respective activities under this Agreement, Foreside and the Fund each agree that it will comply with the applicable requirements of (i) the Act (including Regulation D), (ii) the 1940 Act, (iii) the Securities Exchange Act of 1934, as amended (the “1934 Act”) (including all regulations, rules and releases under all such statutes), (iv) the Blue Sky Laws of the state or jurisdiction in which such sale is made and (v) with respect to Foreside, with all applicable rules and regulations of FINRA. In connection with the foregoing, Foreside Fxxxxxxx agrees to comply with such procedures as may be necessary in order that no act or omission to act by Foreside in connection with the Fund’s offering of Units shall cause to become unavailable the exemption from registration of the Units under the Act provided by Section 4(24(a)(2) thereof and Rule 506 of Regulation D thereunder. Neither Foreside nor its registered representatives will give any information or make any representation other than those contained in (i) the Offering Memorandum or (ii) any sales literature, performance reports, financial statements and other written materials provided by or on behalf of the Fund in connection with the placement of Units (all such materials except the Offering Memorandum being collectively referred to as “Related Offering Materials”).
Appears in 1 contract
Samples: Private Placement Agent Agreement (Partners Group Next Generation Infrastructure LLC)
Compliance with Applicable Securities Laws. (a) With respect to their respective activities under this Agreement, Foreside and the Fund each agree that it will comply with the applicable requirements of (i) the Act (including Regulation D), (ii) the 1940 Act, (iii) the Securities Exchange Act of 1934, as amended (the “1934 Act”) (including all regulations, rules and releases under all such statutes), (iv) the Blue Sky Laws of the state or jurisdiction in which such sale is made and (v) with respect to Foreside, with all applicable rules and regulations of FINRA. In connection with the foregoing, Foreside Xxxxxxxx agrees to comply with such procedures as may be necessary in order that no act or omission to act by Foreside in connection with the Fund’s offering of Units shall cause to become unavailable the exemption from registration of the Units under the Act provided by Section 4(24(a)(2) thereof and Rule 506 of Regulation D thereunder. Neither Foreside nor its registered representatives will give any information or make any representation other than those contained in (i) the Offering Memorandum or (ii) any sales literature, performance reports, financial statements and other written materials provided by or on behalf of the Fund in connection with the placement of Units (all such materials except the Offering Memorandum being collectively referred to as “Related Offering Materials”).
Appears in 1 contract
Samples: Private Placement Agent Agreement (Partners Group Growth, LLC)
Compliance with Applicable Securities Laws. (a) With respect to their respective activities under this Agreement, Foreside Placement Agent and the Fund each agree that it will comply with the applicable requirements of (i) the Act (including Regulation D), (ii) the 1940 Act, (iii) the Securities Exchange Act of 1934, as amended (the “1934 Act”) (including all regulations, rules and releases under all such statutes), (iv) the Blue Sky Laws of the state or jurisdiction in which such any offer or sale is made and (v) with respect to ForesidePlacement Agent, with all applicable rules and regulations of FINRA. In connection with the foregoing, Foreside Placement Agent agrees to comply with such procedures as may be necessary in order that no act or omission to act by Foreside Placement Agent in connection with the Fund’s offering of Units shall cause to become unavailable the exemption from registration of the Units under the Act provided by Section 4(2) thereof and Rule 506 of Regulation D thereunder. Neither Foreside nor its registered representatives will Placement Agent acknowledges and agrees that it is not authorized to give any information or make any representation other than those contained in (i) the Offering Memorandum or (ii) any sales literature, performance reports, financial statements and other written materials provided by or on behalf of the Fund in connection with the placement of Units (all such materials except the Offering Memorandum being collectively referred to as “Related Offering Materials”).
Appears in 1 contract
Samples: Private Placement Agent Agreement (Aetna Multi-Strategy 1099 Fund)
Compliance with Applicable Securities Laws. (a) With respect to their respective activities under this Agreement, Foreside Placement Agent and the Fund each agree that it will comply with the applicable requirements of (i) the Act (including Regulation D), (ii) the 1940 Act, (iii) the Securities Exchange Act of 1934, as amended (the “1934 Act”) (including all regulations, rules and releases under all such statutes), (iv) the Blue Sky Laws of the state or jurisdiction in which such sale is made and (v) with respect to ForesidePlacement Agent, with all applicable rules and regulations of FINRA. In connection with the foregoing, Foreside Placement Agent agrees to comply with such procedures as may be necessary in order that no act or omission to act by Foreside Placement Agent in connection with the Fund’s offering of Units shall cause to become unavailable the exemption from registration of the Units under the Act provided by Section 4(24(a)(2) thereof and Rule 506 of Regulation D thereunder. Neither Foreside nor its registered representatives will Placement Agent acknowledges and agrees that it is not authorized to give any information or make any representation other than those contained in (i) the Offering Memorandum or (ii) any sales literature, performance reports, financial statements and other written materials provided by or on behalf of the Fund in connection with the placement of Units (all such materials except the Offering Memorandum being collectively referred to as “Related Offering Materials”).
Appears in 1 contract
Samples: Private Placement Agent Agreement (Conversus StepStone Private Markets)
Compliance with Applicable Securities Laws. (a) With respect to their respective activities under this Agreement, Foreside and the Fund each agree that it will comply with the applicable requirements of (i) the Act (including Regulation D), (ii) the 1940 Act, (iii) the Securities Exchange Act of 1934, as amended (the “1934 Act”) (including all regulations, rules and releases under all such statutes), (iv) the Blue Sky Laws of the state or jurisdiction in which such sale is made and (v) with respect to Foreside, with all applicable rules and regulations of FINRA. In connection with the foregoing, Foreside agrees to comply with such procedures as may be necessary in order that no act or omission to act by Foreside in connection with the Fund’s offering of Units shall cause to become unavailable the exemption from registration of the Units under the Act provided by Section 4(24(a)(2) thereof and Rule 506 of Regulation D thereunder. Neither Foreside nor its registered representatives will give any information or make any representation other than those contained in (i) the Offering Memorandum or (ii) any sales literature, performance reports, financial statements and other written materials provided by or on behalf of the Fund in connection with the placement of Units (all such materials except the Offering Memorandum being collectively referred to as “Related Offering Materials”).
Appears in 1 contract
Samples: Private Placement Agent Agreement (Partners Group Private Equity (Master Fund), LLC)