Compliance with Rule 38a-1. The Adviser shall maintain policies and procedures relating to the services it provides to the Trust 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 requisite level of skill and competence required to effectively discharge its responsibilities. The Adviser 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 10 contracts
Samples: Investment Advisory Agreement (Carillon Series Trust), Investment Advisory Agreement (Carillon Series Trust), Investment Advisory Agreement (Carillon Series Trust)
Compliance with Rule 38a-1. The Adviser shall maintain policies and procedures relating to the services it provides to the Trust 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 requisite level of skill and competence required to effectively discharge its responsibilities. The Adviser 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 9 contracts
Samples: Investment Advisory Agreement (Direxion Shares ETF Trust), Investment Advisory Agreement (Direxion Shares ETF Trust), Investment Advisory Agreement (FQF Trust)
Compliance with Rule 38a-1. The Adviser shall maintain policies and procedures relating to the services it provides to the Trust 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 Adviser 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 3 contracts
Samples: Management Agreement (J.P. Morgan Exchange-Traded Fund Trust), Management Agreement (J.P. Morgan Exchange-Traded Fund Trust), Management Agreement (J.P. Morgan Exchange-Traded Fund Trust)
Compliance with Rule 38a-1. The Adviser Advisor shall maintain policies and procedures relating to the services it provides to the Trust 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 requisite level of skill and competence required to effectively discharge its responsibilities. The Adviser Advisor 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: Investment Advisory Agreement (Direxion Shares ETF Trust), Investment Advisory Agreement (SteelPath MLP Funds Trust)
Compliance with Rule 38a-1. The Adviser shall maintain policies and procedures relating to the services it provides to the Trust 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 requisite level of skill and competence required to effectively discharge its responsibilities. The Adviser shall also shall 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 1 contract
