Directed Brokerage Prohibitions. Neither Party shall direct Fund portfolio securities transactions or related remuneration to compensate Dealer for any promotion or sale of Shares under this agreement. Distributor also will not directly or indirectly compensate Dealer in contravention of Rule 12b-1(h) of the 1940 Act.
Appears in 47 contracts
Samples: Service Fee Agreement (Advisor Managed Portfolios), Advisors Series Trust (Advisors Series Trust), Service Fee Agreement (Advisor Managed Portfolios)
Directed Brokerage Prohibitions. Neither Party shall direct Fund portfolio securities transactions or related remuneration to compensate Dealer Intermediary for any promotion or sale of Shares under this agreement. Distributor also will not directly or indirectly compensate Dealer Intermediary in contravention of Rule 12b-1(h) of the 1940 Act.
Appears in 43 contracts
Samples: Service Fee Agreement (Advisor Managed Portfolios), Advisors Series Trust (Advisors Series Trust), Service Fee Agreement (Advisor Managed Portfolios)
Directed Brokerage Prohibitions. Neither Party The Distributor and Dealer agree that neither of them shall direct Fund portfolio securities transactions or related remuneration to compensate Dealer for satisfy any promotion or sale of Shares compensation obligations under this agreementAgreement. The Distributor also agrees that it will not directly or indirectly compensate Dealer the dealer executing this agreement in contravention of Rule 12b-1(h) of the 1940 Act.
Appears in 35 contracts
Samples: Dealer Agreement (Palmer Square Opportunistic Income Fund), Dealer Agreement (Advisers Investment Trust), Dealer Agreement (Advisers Investment Trust)
Directed Brokerage Prohibitions. Neither Party The Distributor and Dealer agree that neither of them shall direct Fund portfolio securities transactions or related remuneration to compensate Dealer for satisfy any promotion or sale of Shares compensation obligations under this agreement. The Distributor also agrees that it will not directly or indirectly compensate the Dealer executing this agreement in contravention of Rule 12b-1(h) of the 1940 Act.
Appears in 25 contracts
Samples: Distribution Agreement (JOHCM Funds Trust), Distribution Agreement (Total Fund Solution), Distribution Agreement (Total Fund Solution)
Directed Brokerage Prohibitions. Neither Party party shall direct Fund portfolio securities transactions or related remuneration to compensate Dealer the Intermediary for any promotion or sale of Shares under this agreement. The Distributor also will not directly or indirectly compensate Dealer the Intermediary in contravention of Rule 12b-1(h) of the 1940 Act.
Appears in 1 contract
Samples: Selling Agreement (Gladstone Alternative Income Fund)
Directed Brokerage Prohibitions. Neither Party shall direct Fund portfolio securities transactions or related remuneration to compensate Dealer Intermediary for any promotion or sale of Shares under this agreement. Distributor also will not directly or indirectly compensate Dealer Intermediary in contravention of Rule 12b-1(h12b-l(h) of the 1940 Act.
Appears in 1 contract
Samples: Agreement (Direxion Funds)
Directed Brokerage Prohibitions. Neither Party shall direct Fund portfolio securities transactions or related remuneration to compensate Dealer for any promotion or sale of Shares under this agreement. Distributor also will not directly or indirectly compensate Dealer in contravention of Rule 12b-1(h12b-l(h) of the 1940 Act.
Appears in 1 contract
Samples: Agreement (Direxion Funds)
Directed Brokerage Prohibitions. Neither Party shall direct Fund portfolio securities transactions or related remuneration to compensate Dealer for any promotion or sale of Shares under this agreementAgreement. Distributor also will not directly or indirectly compensate Dealer in contravention of Rule 12b-1(h) of the 1940 Act.
Appears in 1 contract
Samples: Dealer Agreement (Rockefeller Municipal Opportunities Fund)
Directed Brokerage Prohibitions. Neither Party party shall direct Fund portfolio securities transactions or related remuneration to compensate the Dealer for any promotion or sale of Shares under this agreement. The Distributor also will not directly or indirectly compensate the Dealer in contravention of Rule 12b-1(h) of the 1940 Act.
Appears in 1 contract
Samples: Dealer Agreement (Gladstone Alternative Income Fund)
