Compliance with Rule 38a-1. The Administrator shall maintain policies and procedures that are reasonably designed to prevent violations of the federal securities laws, and shall employ personnel to administer the policies and procedures who have the same requisite level of skill and competence required to effectively discharge its responsibilities. The Administrator shall also provide the Trust’s chief compliance officer with periodic reports regarding its compliance with the federal securities laws, and shall promptly provide special reports in the event of any material violation of the federal securities laws.
Appears in 11 contracts
Samples: Administration Agreement (J.P. Morgan Exchange-Traded Fund Trust), Administration Agreement (J.P. Morgan Exchange-Traded Fund Trust), Administration Agreement (J.P. Morgan Exchange-Traded Fund Trust)
Compliance with Rule 38a-1. The Administrator shall maintain policies and procedures relating to the services it provides pursuant to this Agreement that are reasonably designed to prevent violations of the federal securities laws, and shall employ personnel to administer the policies and procedures who have the same requisite level of skill and competence required to effectively discharge its responsibilities. The Administrator also shall also provide the Trust’s chief compliance officer with periodic reports regarding its compliance with the federal securities laws, and shall promptly provide special reports in the event of any material violation of the federal securities laws.
Appears in 6 contracts
Samples: Administrative Services Agreement (Us Global Investors Funds), Administrative Services Agreement (U S Global Investors Inc), Administrative Services Agreement (Us Global Investors Funds)
Compliance with Rule 38a-1. The Administrator shall maintain policies and procedures relating to the Services it provides pursuant to this Agreement that are reasonably designed to prevent violations of the federal securities laws, and shall employ personnel to administer the policies and procedures who have the same requisite level of skill and competence required to effectively discharge its responsibilities. The Administrator also shall also provide the Trust’s Trusts’ chief compliance officer with periodic reports regarding its compliance with the federal securities laws, and shall promptly provide special reports in the event of any material violation of the federal securities laws.
Appears in 5 contracts
Samples: Administrative Services Agreement (Eagle Growth & Income Fund), Administrative Services Agreement (Eagle Capital Appreciation Fund), Administrative Services Agreement (Eagle Series Trust)
Compliance with Rule 38a-1. The Administrator shall maintain policies and procedures relating to the services it provides pursuant to this Agreement that are reasonably designed to prevent violations of the federal securities laws, and shall employ personnel to administer the policies and procedures who have the same requisite level of skill and competence required to effectively discharge its responsibilities. The Administrator also shall also provide the Trust’s Trusts’ chief compliance officer with periodic reports regarding its compliance with the federal securities laws, and shall promptly provide special reports in the event of any material violation of the federal securities laws.
Appears in 4 contracts
Samples: Administration Agreement (Heritage Income Trust), Administration Agreement (Eagle Growth & Income Fund), Administration Agreement (Eagle Series Trust)
Compliance with Rule 38a-1. The Administrator shall maintain policies and procedures that are reasonably designed to prevent violations of the federal securities laws, and shall employ personnel to administer the policies and procedures who have the same requisite level of skill and competence required to effectively discharge its responsibilities. The Administrator shall also provide the Trust’s 's chief compliance officer with periodic reports regarding its compliance with the federal securities laws, and shall promptly provide special reports in the event of any material violation of the federal securities laws.
Appears in 3 contracts
Samples: Administration Agreement (Undiscovered Managers Funds), Administration Agreement (Jp Morgan Mutual Fund Investment Trust), Administration Agreement (Jp Morgan Mutual Fund Series)
Compliance with Rule 38a-1. The Administrator shall maintain policies and procedures relating to the services it provides pursuant to this Agreement that are reasonably designed to prevent violations of the federal securities laws, and shall employ personnel to administer the policies and procedures who have the same requisite level of skill and competence required to effectively discharge its responsibilities. The Administrator shall also provide the Trust’s chief compliance officer with periodic reports regarding its compliance with the federal securities laws, and shall promptly provide special reports in the event of any material violation of the federal securities laws.
Appears in 2 contracts
Samples: Amended And (U S Global Investors Inc), Amended And (Us Global Investors Funds)
Compliance with Rule 38a-1. The Administrator shall maintain policies and procedures that are reasonably designed to prevent violations of the federal securities laws, and shall employ personnel to administer the policies and procedures who have the same requisite level of skill and competence required to effectively discharge its responsibilities. The Administrator shall also provide the Trust’s Fund’s’ chief compliance officer with periodic reports regarding its compliance with the federal securities laws, and shall promptly provide special reports in the event of any material violation of the federal securities laws.
Appears in 2 contracts
Samples: Administration Agreement (J.P. Morgan Access Multi-Strategy Fund II), Administration Agreement (Jp Morgan Access Multi-Strategy Fund LLC)
Compliance with Rule 38a-1. The Administrator shall maintain policies and procedures that are reasonably designed to prevent violations of the federal securities lawslaws by the Administrator, and shall employ personnel to administer the Administrator’s policies and procedures who have the same requisite level of skill and competence required to effectively discharge its responsibilities. The Administrator shall also provide the Trust’s chief compliance officer with periodic reports regarding its the Administrator’s compliance with the federal securities laws, and shall promptly provide special reports in the event of any material violation of the federal securities lawslaws by the Administrator.
Appears in 2 contracts
Samples: Administration Agreement (Consulting Group Capital Markets Funds), Administration Agreement (Consulting Group Capital Markets Funds)
Compliance with Rule 38a-1. The Administrator shall maintain policies and procedures that are reasonably designed to prevent violations of the federal securities laws, and shall employ personnel to administer the policies and procedures who have the same requisite level of skill and competence required to effectively discharge its responsibilities. The Administrator shall also shall provide the Trust’s chief compliance officer with periodic reports regarding its compliance with the federal securities laws, and shall promptly provide special reports in the event of any material violation of the federal securities laws.
Appears in 2 contracts
Samples: Administration Agreement (JPMorgan Institutional Trust), Administration Agreement (JPMorgan Institutional Trust)
Compliance with Rule 38a-1. The Administrator shall maintain policies and procedures that are reasonably designed to prevent violations of the federal securities laws, and shall employ personnel to administer the policies and procedures who have the same requisite level of skill and competence required to effectively discharge its responsibilities. The Administrator shall also provide the TrustFund’s chief compliance officer with periodic reports regarding its compliance with the federal securities laws, and shall promptly provide special reports in the event of any material violation of the federal securities laws.
Appears in 1 contract
Samples: Administration Agreement (J.P. Morgan Access Multi-Strategy Fund II)
Compliance with Rule 38a-1. The Administrator shall maintain policies and procedures relating to the Services it provides pursuant to this Agreement that are reasonably designed to prevent violations of the federal securities laws, and shall employ personnel to administer the policies and procedures who have the same requisite level of skill and competence required to effectively discharge its responsibilities. The Administrator also shall also provide the Trust’s chief compliance officer with periodic reports regarding its compliance with the federal securities laws, and shall promptly provide special reports in the event of any material violation of the federal securities laws.
Appears in 1 contract
