Compliance with the Investment Company Act of 1940. (a) Trust Entity confirms that it will be considered the Fund Company’s agent for the sole purpose of receiving purchase and redemption orders from Client-shareholders and transmitting them to the Funds. Trust Entity may authorize such designees as it deems appropriate (“Designees”) to receive orders on the Fund Company’s behalf. Trust Entity shall be liable to the Fund Company for each Designee’s compliance with applicable regulations, requirements and this Section 2 to the same extent as if Trust Entity itself had acted or failed to act instead of the Designee.
(b) Trust Entity certifies that it will at all times follow relevant rules, regulations and requirements in connection with the handling of orders for transactions in the Funds, including, without limitation:
(i) Rule 22c-1(a) and other applicable rules under the Investment Company Act of 1940, as amended;
(ii) the provisions of this Agreement; and
(iii) the Prospectus and SAI ;
(c) Trust Entity further certifies that it:
(i) has adopted and implemented and will monitor, on a continuous basis, its compliance with procedures reasonably designed to prevent violations of relevant law, regulation and Prospectus requirements with respect to, late trading, market timing and abusive trading practices;
(ii) has determined that each Designee has adopted and implemented and will monitor, on a continuous basis, its compliance with its own internal procedures reasonably designed to prevent violations of relevant law, regulation and Prospectus requirements with respect to, late trading, market timing and abusive trading practices;
(iii) upon request, will provide information and further certification to Fund Agent or its designee to verify compliance with this Section 2; and
(iv) will cooperate in monitoring and enforcing the Fund Company’s market timing, late trading, and any redemption fee policies as set forth in the Prospectus and such other policies established by the Fund Company from time to time.
(d) Trust Entity agrees to provide the Fund Agent, upon written request, the taxpayer identification number (“TIN”), the Individual/International Taxpayer Identification Number (“ITIN”), or other government-issued identifier (“GII”), if known, of any or all Shareholder(s) and the amount, date, name or other identifier of any investment professional(s) associated with the Shareholder(s) (if known), and transaction type (purchase, redemption, transfer, or exchange) of every purchase, redemption, transfer, or exc...
Compliance with the Investment Company Act of 1940. The parties hereto acknowledge and agree that nothing contained herein shall be construed to require CFS to perform any services for the Adviser which services could cause CFS to be deemed an "investment adviser" of a Trust within the meaning of Section 2(a)(20) of the Act or to supersede or contravene the Prospectus or Statement of Additional Information of any Trust or any provisions of the Act and the rules thereunder.
Compliance with the Investment Company Act of 1940. The parties hereto acknowledge and agree that nothing contained herein shall be construed to require MGF to perform any services for the Adviser which services could cause MGF to be deemed an "investment adviser" of the Trust within the meaning of Section 2(a)(20) of the Investment Company Act of 1940 or to supercede or contravene the Prospectus or Statement of Additional Information of the Trust or any provisions of the Investment Company Act of 1940 and the rules thereunder.
Compliance with the Investment Company Act of 1940. The parties hereto acknowledge and agree that nothing contained herein shall be construed to require IFS to perform any services for the Adviser which services could cause IFS to be deemed an "investment adviser" of a Trust within the meaning of Section 2(a)(20) of the Act or to supersede or contravene the Prospectus or Statement of Additional Information of any Trust or any provisions of the Act and the rules thereunder.
Compliance with the Investment Company Act of 1940. The parties hereto acknowledge and agree that nothing contained herein shall be construed to require Countrywide to perform any services for the Trust which services could cause Countrywide to be deemed an "investment adviser" of the Trust within the meaning of Section 2(a)(20) of the Investment Company Act of 1940 or to supersede or contravene the Prospectus or Statement of Additional Information of the Trust or any provisions of the Investment Company Act of 1940 and the rules thereunder.
Compliance with the Investment Company Act of 1940. The parties hereto acknowledge and agree that nothing contained herein shall be construed to require McKenna to perform any services for the Fund which services could cauxx XxXxnna to be deemed an "investment adviser" of the Fund within the mxxxxxx of Section 2(a)(20) of the Investment Company Act of 1940 or to supersede or contravene the Prospectus or Statement of Additional Information of the Fund or any provisions of the Investment Company Act of 1940 and the rules thereunder.
Compliance with the Investment Company Act of 1940. The parties hereto acknowledge and agree that nothing contained herein shall be construed to require Countrywide to perform any services for Fremont which services could cause Countrywide to be deemed an "investment adviser" of the Funds within the meaning of Section 2(a)(20) of the Investment Company Act of 1940 or to supersede or contravene the Prospectus or Statement of Additional Information of the Funds or any provisions of the Investment Company Act of 1940 and the rules thereunder.
