Common use of Concerning Applicable Provisions of Law, etc Clause in Contracts

Concerning Applicable Provisions of Law, etc. This Agreement shall be subject to all applicable provisions of law, including the applicable provisions of the 1940 Act and to the extent that any provisions herein contained conflict with any such applicable provisions of law, the latter shall control. The laws of the Commonwealth of Pennsylvania shall, except to the extent that any applicable provisions of Federal law shall be controlling, govern the construction, validity and effect of this Agreement, without reference to principles of conflicts of law. The undersigned officer of the Trust has executed this Agreement not individually, but solely in the capacity of an officer of the Trust under the Trust’s Declaration of Trust, as amended. Pursuant to the Declaration of Trust the obligations of this Agreement are not binding upon any of the Trustees or investors of the Trust individually, but bind only the trust estate. If the contract set forth herein is acceptable to you, please so indicate by executing the enclosed copy of this Agreement and returning the same to the undersigned, whereupon this Agreement shall constitute a binding contract between the parties hereto effective at the closing of business on the date hereof. Yours very truly, High-Yield Bond Portfolio, a portfolio of Federated Core Trust By: /s/ Xxxx X. XxXxxxxxx Name: Xxxx X. XxXxxxxxx Title: Executive Vice President Accepted: FEDERATED SECURITIES CORP. By: /s/ Xxxxx X. Xxxxxx Name: Xxxxx X. Xxxxxx Title: Vice President This Amendment to the Exclusive Placement Agent Agreement (“Agreement”) dated December 30, 1997, between Federated Core Trust, on behalf of High Yield Bond Portfolio (“Fund”) and Federated Securities Corp. (“Service Provider”) is made and entered into as of the 1st day of June, 2001.

Appears in 6 contracts

Samples: Exclusive Placement Agent Agreement (Federated Hermes Core Trust), Exclusive Placement Agent Agreement (Federated Hermes Core Trust), Exclusive Placement Agent Agreement (Federated Hermes Core Trust)

AutoNDA by SimpleDocs

Concerning Applicable Provisions of Law, etc. This Agreement shall be subject to all applicable provisions of law, including the applicable provisions of the 1940 Act and to the extent that any provisions herein contained conflict with any such applicable provisions of law, the latter shall control. The laws of the Commonwealth of Pennsylvania shall, except to the extent that any applicable provisions of Federal law shall be controlling, govern the construction, validity and effect of this Agreement, without reference to principles of conflicts of law. The undersigned officer of the Trust has executed this Agreement not individually, but solely in the capacity of an officer of the Trust under the Trust’s Declaration of Trust, as amended. Pursuant to the Declaration of Trust the obligations of this Agreement are not binding upon any of the Trustees or investors of the Trust individually, but bind only the trust estate. If the contract set forth herein is acceptable to you, please so indicate by executing the enclosed copy of this Agreement and returning the same to the undersigned, whereupon this Agreement shall constitute a binding contract between the parties hereto effective at the closing of business on the date hereof. Yours very truly, High-Yield Bond Portfolio, Federated Mortgage Core Portfolio a portfolio of Federated Core Trust By: /s/ Xxxx X. XxXxxxxxx Xxxxxxxxxxx Xxxxxxx Name: Xxxx X. XxXxxxxxx Xxxxxxxxxxx Xxxxxxx Title: Executive Vice President Accepted: FEDERATED SECURITIES CORP. By: /s/ Xxxxx Xxxxxxx X. Xxxxxx Xxxx Name: Xxxxx Xxxxxxx X. Xxxxxx Xxxx Title: Senior Vice President This Amendment to the Exclusive Placement Agent Agreement (“Agreement”) dated December 30February 19, 19971999, between Federated Core Trust, on behalf of High Yield Bond Federated Mortgage Core Portfolio (“Fund”) and Federated Securities Corp. (“Service Provider”) is made and entered into as of the 1st day of June, 2001.

Appears in 6 contracts

Samples: Exclusive Placement Agent Agreement (Federated Hermes Core Trust), Exclusive Placement Agent Agreement (Federated Hermes Core Trust), Exclusive Placement Agent Agreement (Federated Hermes Core Trust)

Concerning Applicable Provisions of Law, etc. This Agreement shall be subject to all applicable provisions of law, including the applicable provisions of the 1940 Act and to the extent that any provisions herein contained conflict with any such applicable provisions of law, the latter shall control. The laws of the Commonwealth of Pennsylvania shall, except to the extent that any applicable provisions of Federal law shall be controlling, govern the construction, validity and effect of this Agreement, without reference to principles of conflicts of law. FSC agrees to maintain the security and confidentiality of nonpublic personal information (“NPI”) of Trust customers and consumers, as those terms are defined in Regulation S-P, 17 CFR Part 248. FSC agrees to use and redisclose such NPI for the limited purposes of processing and servicing transactions; for specified law enforcement and miscellaneous purposes; and to service providers or in connection with joint marketing arrangements directed by the Trust, in each instance in furtherance of fulfilling FSC’s obligations under this contract and consistent with the exceptions provided in 17 CFR Sections 248.14, 248.15 and 248.13, respectively. The undersigned officer of the Trust has executed this Agreement not individually, but solely in the capacity of an officer of the Trust under the Trust’s Declaration of Trust, as amended. Pursuant to the Declaration of Trust the obligations of this Agreement are not binding upon any of the Trustees or investors of the Trust individually, but bind only the trust estate. If the contract set forth herein is acceptable to you, please so indicate by executing the enclosed copy of this Agreement and returning the same to the undersigned, whereupon this Agreement shall constitute a binding contract between the parties hereto effective at the closing of business on the date hereof. Yours very truly, High-Yield Bond PortfolioFEDERATED EMERGING MARKETS CORE FUND, a portfolio of Federated Core Trust FEDERATED CORE TRUST By: /s/ Xxxx X. XxXxxxxxx X.Xxxxxx Name: Xxxx X. XxXxxxxxx Xxxxxx Title: Executive Vice President President/CEO Accepted: FEDERATED SECURITIES CORP. By: /s/ Xxxxx /s/Xxxxxx X. Xxxxxx Xxxxxxx Name: Xxxxx Xxxxxx X. Xxxxxx Xxxxxxx Title: Vice President This Amendment President I. Definition of “Disqualifying Event” (i) Has been convicted, within the last ten years of any felony or misdemeanor: (A) In connection with the purchase or sale of any security; (B) Involving the making of any false filing with the SEC; or (C) Arising out of the conduct of the business of an underwriter, broker, dealer, municipal securities dealer, investment adviser or paid solicitor of purchasers of securities; (ii) Is subject to any order, judgment or decree of any court of competent jurisdiction, entered within the Exclusive Placement Agent Agreement previous five years, that restrains or enjoins such person from engaging or continuing to engage in any conduct or practice: (A) In connection with the purchase or sale of any security; (B) Involving the making of any false filing with the SEC; or (C) Arising out of the conduct of the business of an underwriter, broker, dealer, municipal securities dealer, investment adviser or paid solicitor of purchasers of securities; (iii) Is subject to a final order of a state securities commission (or an agency or officer of a state performing like functions); a state authority that supervises or examines banks, savings associations, or credit unions; a state insurance commission (or an agency or officer of a state performing like functions); an appropriate federal banking agency; the U.S. Commodity Futures Trading Commission; or the National Credit Union Administration that: (A) Bars the person from: (1) Association with an entity regulated by such commission, authority, agency, or officer; (2) Engaging in the business of securities, insurance or banking; or (3) Engaging in savings association or credit union activities; or (B) Constitutes a final order based on a violation of any law or regulation that prohibits fraudulent, manipulative, or deceptive conduct entered within the last ten years; (iv) Is subject to an order of the SEC entered pursuant to Section 15(b) or 15B(c) of the Securities Exchange Act of 1934 (the AgreementExchange Act”) dated December 30, 1997, between Federated Core Trust, on behalf or Section 203(e) or (f) of High Yield Bond Portfolio the Investment Advisers Act of 1940 (the FundAdvisers Act”) and Federated Securities Corp. that: (“Service Provider”A) is made and entered into Suspends or revokes such person’s registration as a broker, dealer, municipal securities dealer or investment adviser; (B) Places limitations on the activities, functions or operations of such person; or (C) Bars such person from being associated with any entity or from participating in the offering of any xxxxx stock; (v) Is subject to any order of the 1st day SEC entered within the last five years that orders the person to cease and desist from committing or causing a violation or future violation of: (A) Any scienter-based anti-fraud provision of Junethe federal securities laws, 2001including without limitation Section 17(a)(1) of the Securities Act, section 10(b) of the Exchange Act and 17 CFR 240.10b-5, Section 15(c)(1) of the Exchange Act and Section 206(1) of the Advisers Act, or any other rule or regulation thereunder; or (B) Section 5 of the Securities Act. (vi) Is suspended or expelled from membership in, or suspended or barred from association with a member of, a registered national securities exchange or a registered national or affiliated securities association for any act or omission to act constituting conduct inconsistent with just and equitable principles of trade; (vii) Has filed (as a registrant or issuer), or was or was named as an underwriter in, any registration statement or Regulation A offering statement filed with the SEC that, within the last five years, was the subject of a refusal order, stop order, or order suspending the Regulation A exemption, or is the subject of an investigation or proceeding to determine whether a stop order or suspension order should be issued; or (viii) Is subject to a United States Postal Service false representation order entered within the last five years, or is subject to a temporary restraining order or preliminary injunction with respect to conduct alleged by the United States Postal Service to constitute a scheme or device for obtaining money or property through the mail by means of false representations.

Appears in 4 contracts

Samples: Exclusive Placement Agent Agreement (Federated Hermes Core Trust), Exclusive Placement Agent Agreement (Federated Hermes Core Trust), Exclusive Placement Agent Agreement (Federated Hermes Core Trust)

Concerning Applicable Provisions of Law, etc. This Agreement shall be subject to all applicable provisions of law, including the applicable provisions of the 1940 Act and to the extent that any provisions herein contained conflict with any such applicable provisions of law, the latter shall control. The laws of the Commonwealth of Pennsylvania shall, except to the extent that any applicable provisions of Federal law shall be controlling, govern the construction, validity and effect of this Agreement, without reference to principles of conflicts of law. FSC agrees to maintain the security and confidentiality of nonpublic personal information (“NPI”) of Trust customers and consumers, as those terms are defined in Regulation S-P, 17 CFR Part 248. FSC agrees to use and redisclose such NPI for the limited purposes of processing and servicing transactions; for specified law enforcement and miscellaneous purposes; and to service providers or in connection with joint marketing arrangements directed by the Trust, in each instance in furtherance of fulfilling FSC’s obligations under this contract and consistent with the exceptions provided in 17 CFR Sections 248.14, 248.15 and 248.13, respectively. The undersigned officer of the Trust has executed this Agreement not individually, but solely in the capacity of an officer of the Trust under the Trust’s Declaration of Trust, as amended. Pursuant to the Declaration of Trust the obligations of this Agreement are not binding upon any of the Trustees or investors of the Trust individually, but bind only the trust estate. If the contract set forth herein is acceptable to you, please so indicate by executing the enclosed copy of this Agreement and returning the same to the undersigned, whereupon this Agreement shall constitute a binding contract between the parties hereto effective at the closing of business on the date hereof. Yours very truly, High-Yield Bond PortfolioFEDERATED EMERGING MARKETS CORE FUND, a portfolio of Federated Core Trust FEDERATED CORE TRUST By: /s/ Xxxx X. XxXxxxxxx X.Xxxxxx Name: Xxxx X. XxXxxxxxx Xxxxxx Title: Executive Vice President President/CEO Accepted: FEDERATED SECURITIES CORP. By: /s/ Xxxxx /s/Xxxxxx X. Xxxxxx Territt Name: Xxxxx Xxxxxx X. Xxxxxx Territt Title: Vice President This Amendment President I. Definition of “Disqualifying Event” (i) Has been convicted, within the last ten years of any felony or misdemeanor: (A) In connection with the purchase or sale of any security; (B) Involving the making of any false filing with the SEC; or (C) Arising out of the conduct of the business of an underwriter, broker, dealer, municipal securities dealer, investment adviser or paid solicitor of purchasers of securities; (ii) Is subject to any order, judgment or decree of any court of competent jurisdiction, entered within the Exclusive Placement Agent Agreement previous five years, that restrains or enjoins such person from engaging or continuing to engage in any conduct or practice: (A) In connection with the purchase or sale of any security; (B) Involving the making of any false filing with the SEC; or (C) Arising out of the conduct of the business of an underwriter, broker, dealer, municipal securities dealer, investment adviser or paid solicitor of purchasers of securities; (iii) Is subject to a final order of a state securities commission (or an agency or officer of a state performing like functions); a state authority that supervises or examines banks, savings associations, or credit unions; a state insurance commission (or an agency or officer of a state performing like functions); an appropriate federal banking agency; the U.S. Commodity Futures Trading Commission; or the National Credit Union Administration that: (A) Bars the person from: (1) Association with an entity regulated by such commission, authority, agency, or officer; (2) Engaging in the business of securities, insurance or banking; or (3) Engaging in savings association or credit union activities; or (B) Constitutes a final order based on a violation of any law or regulation that prohibits fraudulent, manipulative, or deceptive conduct entered within the last ten years; (iv) Is subject to an order of the SEC entered pursuant to Section 15(b) or 15B(c) of the Securities Exchange Act of 1934 (the AgreementExchange Act”) dated December 30, 1997, between Federated Core Trust, on behalf or Section 203(e) or (f) of High Yield Bond Portfolio the Investment Advisers Act of 1940 (the FundAdvisers Act”) and Federated Securities Corp. that: (“Service Provider”A) is made and entered into Suspends or revokes such person’s registration as a broker, dealer, municipal securities dealer or investment adviser; (B) Places limitations on the activities, functions or operations of such person; or (C) Bars such person from being associated with any entity or from participating in the offering of any xxxxx stock; (v) Is subject to any order of the 1st day SEC entered within the last five years that orders the person to cease and desist from committing or causing a violation or future violation of: (A) Any scienter-based anti-fraud provision of Junethe federal securities laws, 2001including without limitation Section 17(a)(1) of the Securities Act, section 10(b) of the Exchange Act and 17 CFR 240.10b-5, Section 15(c)(1) of the Exchange Act and Section 206(1) of the Advisers Act, or any other rule or regulation thereunder; or (B) Section 5 of the Securities Act. (vi) Is suspended or expelled from membership in, or suspended or barred from association with a member of, a registered national securities exchange or a registered national or affiliated securities association for any act or omission to act constituting conduct inconsistent with just and equitable principles of trade; (vii) Has filed (as a registrant or issuer), or was or was named as an underwriter in, any registration statement or Regulation A offering statement filed with the SEC that, within the last five years, was the subject of a refusal order, stop order, or order suspending the Regulation A exemption, or is the subject of an investigation or proceeding to determine whether a stop order or suspension order should be issued; or (viii) Is subject to a United States Postal Service false representation order entered within the last five years, or is subject to a temporary restraining order or preliminary injunction with respect to conduct alleged by the United States Postal Service to constitute a scheme or device for obtaining money or property through the mail by means of false representations.

Appears in 2 contracts

Samples: Exclusive Placement Agent Agreement (Federated Hermes Core Trust), Exclusive Placement Agent Agreement (Federated Hermes Core Trust)

AutoNDA by SimpleDocs

Concerning Applicable Provisions of Law, etc. This Agreement shall be subject to all applicable provisions of law, including the applicable provisions of the 1940 Act and to the extent that any provisions herein contained conflict with any such applicable provisions of law, the latter shall control. The laws of the Commonwealth of Pennsylvania shall, except to the extent that any applicable provisions of Federal law shall be controlling, govern the construction, validity and effect of this Agreement, without reference to principles of conflicts of law. The undersigned officer of the Trust has executed this Agreement not individually, but solely in the capacity of an officer of the Trust under the Trust’s 's Declaration of Trust, as amended. Pursuant to the Declaration of Trust the obligations of this Agreement are not binding upon any of the Trustees or investors of the Trust individually, but bind only the trust estate. If the contract set forth herein is acceptable to you, please so indicate by executing the enclosed copy of this Agreement and returning the same to the undersigned, whereupon this Agreement shall constitute a binding contract between the parties hereto effective at the closing of business on the date hereof. Yours very truly, High-Yield Bond PortfolioEMERGING MARKETS FIXED INCOME FUND, a portfolio of Federated Core Trust FEDERATED CORE TRUST II, L.P. By: /s/ Xxxx X. XxXxxxxxx J. Christopher Donahue --------------------------------- Name: Xxxx X. XxXxxxxxx TitleJ. Christopher Donahue Xxxxx: Executive Vice President Xxxxxxxxx Accepted: FEDERATED SECURITIES CORP. By: /s/ Xxxxx X. Xxxxxx David M. Taylor --------------------------- Name: Xxxxx X. Xxxxxx Xxxlor Title: Executive Vice President Amendment to Exclusive Placement Agent Agreement between Federated Core Trust II, L.P. and Federated Securities Corp. This Amendment to the Exclusive Placement Agent Agreement ("Agreement") dated December 301, 19972000, between Federated Core TrustTrust II, on behalf of High Yield Bond Portfolio L.P. ("Fund") and Federated Securities Corp. ("Service Provider") is made and entered into as of the 1st day of June, 2001.

Appears in 1 contract

Samples: Exclusive Placement Agent Agreement (Federated Core Trust Ii)

Concerning Applicable Provisions of Law, etc. This Agreement shall be subject to all applicable provisions of law, including the applicable provisions of the 1940 Act and to the extent that any provisions herein contained conflict with any such applicable provisions of law, the latter shall control. The laws of the Commonwealth of Pennsylvania shall, except to the extent that any applicable provisions of Federal law shall be controlling, govern the construction, validity and effect of this Agreement, without reference to principles of conflicts of law. FSC agrees to maintain the security and confidentiality of nonpublic personal information (“NPI”) of Trust customers and consumers, as those terms are defined in Regulation S-P, 17 CFR Part 248. FSC agrees to use and redisclose such NPI for the limited purposes of processing and servicing transactions; for specified law enforcement and miscellaneous purposes; and to service providers or in connection with joint marketing arrangements directed by the Trust, in each instance in furtherance of fulfilling FSC’s obligations under this contract and consistent with the exceptions provided in 17 CFR Sections 248.14, 248.15 and 248.13, respectively. The undersigned officer of the Trust has executed this Agreement not individually, but solely in the capacity of an officer of the Trust under the Trust’s Declaration of Trust, as amended. Pursuant to the Declaration of Trust the obligations of this Agreement are not binding upon any of the Trustees or investors of the Trust individually, but bind only the trust estate. If the contract set forth herein is acceptable to you, please so indicate by executing the enclosed copy of this Agreement and returning the same to the undersigned, whereupon this Agreement shall constitute a binding contract between the parties hereto effective at the closing of business on the date hereof. Yours very truly, High-Yield Bond PortfolioFEDERATED EMERGING MARKETS CORE FUND, a portfolio of Federated Core Trust FEDERATED CORE TRUST By: /s/ Xxxx X. XxXxxxxxx Jxxx X.Xxxxxx Name: Xxxx Jxxx X. XxXxxxxxx Xxxxxx Title: Executive Vice President President/CEO Accepted: FEDERATED SECURITIES CORP. By: /s/ Xxxxx /s/Txxxxx X. Xxxxxx Xxxxxxx Name: Xxxxx Txxxxx X. Xxxxxx Xxxxxxx Title: Vice President This Amendment President I. Definition of “Disqualifying Event” A Disqualifying Event exists if a person or entity: (i) Has been convicted, within the last ten years of any felony or misdemeanor: (A) In connection with the purchase or sale of any security; (B) Involving the making of any false filing with the SEC; or (C) Arising out of the conduct of the business of an underwriter, broker, dealer, municipal securities dealer, investment adviser or paid solicitor of purchasers of securities; (ii) Is subject to any order, judgment or decree of any court of competent jurisdiction, entered within the Exclusive Placement Agent Agreement previous five years, that restrains or enjoins such person from engaging or continuing to engage in any conduct or practice: (A) In connection with the purchase or sale of any security; (B) Involving the making of any false filing with the SEC; or (C) Arising out of the conduct of the business of an underwriter, broker, dealer, municipal securities dealer, investment adviser or paid solicitor of purchasers of securities; (iii) Is subject to a final order of a state securities commission (or an agency or officer of a state performing like functions); a state authority that supervises or examines banks, savings associations, or credit unions; a state insurance commission (or an agency or officer of a state performing like functions); an appropriate federal banking agency; the U.S. Commodity Futures Trading Commission; or the National Credit Union Administration that: (A) Bars the person from: (1) Association with an entity regulated by such commission, authority, agency, or officer; (2) Engaging in the business of securities, insurance or banking; or (3) Engaging in savings association or credit union activities; or (B) Constitutes a final order based on a violation of any law or regulation that prohibits fraudulent, manipulative, or deceptive conduct entered within the last ten years; (iv) Is subject to an order of the SEC entered pursuant to Section 15(b) or 15B(c) of the Securities Exchange Act of 1934 (the AgreementExchange Act”) dated December 30, 1997, between Federated Core Trust, on behalf or Section 203(e) or (f) of High Yield Bond Portfolio the Investment Advisers Act of 1940 (the FundAdvisers Act”) and Federated Securities Corp. that: (“Service Provider”A) is made and entered into Suspends or revokes such person’s registration as a broker, dealer, municipal securities dealer or investment adviser; (B) Places limitations on the activities, functions or operations of such person; or (C) Bars such person from being associated with any entity or from participating in the offering of any pxxxx stock; (v) Is subject to any order of the 1st day SEC entered within the last five years that orders the person to cease and desist from committing or causing a violation or future violation of: (A) Any scienter-based anti-fraud provision of Junethe federal securities laws, 2001including without limitation Section 17(a)(1) of the Securities Act, section 10(b) of the Exchange Act and 17 CFR 240.10b-5, Section 15(c)(1) of the Exchange Act and Section 206(1) of the Advisers Act, or any other rule or regulation thereunder; or (B) Section 5 of the Securities Act. (vi) Is suspended or expelled from membership in, or suspended or barred from association with a member of, a registered national securities exchange or a registered national or affiliated securities association for any act or omission to act constituting conduct inconsistent with just and equitable principles of trade; (vii) Has filed (as a registrant or issuer), or was or was named as an underwriter in, any registration statement or Regulation A offering statement filed with the SEC that, within the last five years, was the subject of a refusal order, stop order, or order suspending the Regulation A exemption, or is the subject of an investigation or proceeding to determine whether a stop order or suspension order should be issued; or (viii) Is subject to a United States Postal Service false representation order entered within the last five years, or is subject to a temporary restraining order or preliminary injunction with respect to conduct alleged by the United States Postal Service to constitute a scheme or device for obtaining money or property through the mail by means of false representations.

Appears in 1 contract

Samples: Exclusive Placement Agent Agreement (Federated Hermes Core Trust)

Draft better contracts in just 5 minutes Get the weekly Law Insider newsletter packed with expert videos, webinars, ebooks, and more!