Disclosure Review; Confidentiality of Information. The Broker agrees that it shall have reasonable grounds to believe, based on the information made available to it through the Prospectus or other materials, that all material facts are adequately and accurately disclosed in the Prospectus and provide a basis for evaluating the Shares. In making this determination, the Broker shall evaluate, at a minimum, items of compensation, physical properties, tax aspects, financial stability and experience of the sponsor, conflicts of interest and risk factors, and appraisals and other pertinent reports. If the Broker relies upon the results of any inquiry conducted by another member or members of FINRA, the Broker shall have reasonable grounds to believe that such inquiry was conducted with due care, that the member or members conducting or directing the inquiry consented to the disclosure of the results of the inquiry and that the person who participated in or conducted the inquiry is not the Managing Dealer or a sponsor or an affiliate of the sponsor of the Company.
Appears in 10 contracts
Samples: Managing Dealer Agreement (Kennedy Lewis Capital Co), Managing Dealer Agreement (Kennedy Lewis Capital Co), Managing Dealer Agreement (HPS Corporate Lending Fund)
Disclosure Review; Confidentiality of Information. The Broker Dealer agrees that it shall have reasonable grounds to believe, based on the information made available to it through the Prospectus or other materials, that all material facts are adequately and accurately disclosed in the Prospectus and provide a basis for evaluating the Shares. In making this determination, the Broker Dealer shall evaluate, at a minimum, items of compensation, physical properties, tax aspects, financial stability and experience of the sponsor, conflicts of interest and risk factors, and appraisals and other pertinent reports. If the Broker Dealer relies upon the results of any inquiry conducted by another member or members of FINRA, the Broker Dealer shall have reasonable grounds to believe that such inquiry was conducted with due care, that the member or members conducting or directing the inquiry consented to the disclosure of the results of the inquiry and that the person who participated in or conducted the inquiry is not the Managing Dealer Manager or a sponsor or an affiliate of the sponsor of the Company.
Appears in 9 contracts
Samples: Dealer Manager Agreement (BGO Industrial Real Estate Income Trust, Inc.), Dealer Manager Agreement (BGO Industrial Real Estate Income Trust, Inc.), Dealer Manager Agreement (BGO Industrial Real Estate Income Trust, Inc.)
Disclosure Review; Confidentiality of Information. The Broker agrees that it shall have reasonable grounds to believe, based on the information made available to it through the Prospectus or other materials, that all material facts are adequately and accurately disclosed in the Prospectus and provide a basis for evaluating the Shares. In making this determination, the Broker shall evaluate, at a minimum, items of compensation, physical properties, tax aspects, financial stability and experience of the sponsor, conflicts of interest and risk factors, and appraisals and other pertinent reports. If the Broker relies upon the results of any inquiry conducted by another member or members of FINRA, the Broker shall have reasonable grounds to believe that such inquiry was conducted with due care, that the member or members conducting or directing the inquiry consented to the disclosure of the results of the inquiry and that the person who participated in or conducted the inquiry is not the Managing Dealer or a sponsor or an affiliate of the sponsor of the CompanyFund.
Appears in 6 contracts
Samples: Managing Dealer Agreement (AMG Comvest Senior Lending Fund), Managing Dealer Agreement (AB Private Lending Fund), Managing Dealer Agreement (AB Private Lending Fund)
Disclosure Review; Confidentiality of Information. The Broker agrees that it shall have reasonable grounds to believe, based on the information made available to it through the Prospectus or other materials, that all material facts are adequately and accurately disclosed in the Prospectus and provide a basis for evaluating the Shares. In making this determination, the Broker shall evaluate, at a minimum, items of compensation, physical properties, tax aspects, financial stability and experience of the sponsor, conflicts of interest and risk factors, and appraisals and other pertinent reports. If the Broker relies upon the results of any inquiry conducted by another member or members of FINRA, the Broker shall have reasonable grounds to believe that such inquiry was conducted with due care, that the member or members conducting or directing the inquiry consented to the disclosure of the results of the inquiry and that the person who participated in or conducted the inquiry is not the Managing Dealer Intermediary Manager or a sponsor or an affiliate of the sponsor of the Company.
Appears in 4 contracts
Samples: Intermediary Agreement (AG Twin Brook Capital Income Fund), Intermediary Manager Agreement (Apollo Debt Solutions BDC), Intermediary Manager Agreement (Apollo Debt Solutions BDC)
Disclosure Review; Confidentiality of Information. The Broker agrees that it shall have reasonable grounds to believe, based on the information made available to it through the Prospectus or other materials, that all material facts are adequately and accurately disclosed in the Prospectus and provide a basis for evaluating the Shares. In making this determination, the Broker shall evaluate, at a minimum, items of compensation, physical properties, tax aspects, financial stability and experience of the sponsor, conflicts of interest and risk factors, and appraisals and other pertinent reports. If the Broker relies upon the results of any inquiry conducted by another member or members of FINRA, the Broker shall have reasonable grounds to believe that such inquiry was conducted with due care, that the member or members conducting or directing the inquiry consented to the disclosure of the results of the inquiry and that the person who participated in or conducted the inquiry is not the Managing Dealer Intermediary Manager or a sponsor or an affiliate of the sponsor of the CompanyFund.
Appears in 4 contracts
Samples: Intermediary Manager Agreement (Crescent Private Credit Income Corp), Intermediary Manager Agreement (Ares Strategic Income Fund), Intermediary Manager Agreement (Ares Strategic Income Fund)
Disclosure Review; Confidentiality of Information. The Broker Participating Dealer agrees that it shall have reasonable grounds to believe, believe based on the information made available to it through the Prospectus Memorandum or other materials, materials that all material facts are adequately and accurately disclosed in the Prospectus Memorandum and provide a basis for evaluating the Shares. In making this determination, the Broker Participating Dealer shall evaluate, at a minimum, items of compensation, physical properties, tax aspects, financial stability and experience of the sponsor, conflicts of interest and risk factors, and appraisals and other pertinent reports. If the Broker Participating Dealer relies upon the results of any inquiry conducted by another member or members of FINRA, the Broker Participating Dealer shall have reasonable grounds to believe that such inquiry was conducted with due care, that the member or members conducting or directing the inquiry consented to the disclosure of the results of the inquiry and that the person who participated in or conducted the inquiry is not the Managing Dealer Manager or a sponsor or an affiliate of the sponsor of the Company.
Appears in 4 contracts
Samples: Dealer Manager Agreement (Invesco Commercial Real Estate Finance Trust, Inc.), Dealer Manager Agreement (Invesco Commercial Real Estate Finance Trust, Inc.), Dealer Manager Agreement (Invesco Commercial Real Estate Finance Trust, Inc.)
Disclosure Review; Confidentiality of Information. The Broker Dealer agrees that it shall have reasonable grounds to believe, based on the information made available to it through the Prospectus or other materials, that all material facts are adequately and accurately disclosed in the Prospectus and provide a basis for evaluating the Shares. In making this determination, the Broker Dealer shall evaluate, at a minimum, items of compensation, physical properties, tax aspects, financial stability and experience of the sponsor, conflicts of interest and risk factors, and appraisals and other pertinent reports. If the Broker Dealer relies upon the results of any inquiry conducted by another member or members of FINRA, the Broker Dealer shall have reasonable grounds to believe that such inquiry was conducted with due care, that the member or members conducting or directing the inquiry consented to the disclosure of the results of the inquiry and that the person who participated in or conducted the inquiry is not the Managing Dealer Intermediary Manager or a sponsor or an affiliate of the sponsor of the Company.
Appears in 2 contracts
Samples: Intermediary Manager Agreement (Nuveen Churchill Private Capital Income Fund), Intermediary Manager Agreement (Nuveen Churchill Private Capital Income Fund)
Disclosure Review; Confidentiality of Information. The Broker agrees that it shall have reasonable grounds to believe, based on the information made available to it through the Prospectus Offering Memorandum or other materials, materials that all material facts are adequately and accurately disclosed in the Prospectus Offering Memorandum and provide a basis for evaluating the Shares. In making this determination, the Broker shall evaluate, at a minimum, items of compensation, physical properties, tax aspects, financial stability and experience of the sponsor, conflicts of interest and risk factors, and appraisals and other pertinent reports. If the Broker relies upon the results of any inquiry conducted by another member or members of FINRA, the Broker shall have reasonable grounds to believe that such inquiry was conducted with due care, that the member or members conducting or directing the inquiry consented to the disclosure of the results of the inquiry and that the person who participated in or conducted the inquiry is not the Managing Dealer or a sponsor or an affiliate of the sponsor of the Company.
Appears in 1 contract
Samples: Managing Dealer Agreement (HPS Corporate Capital Solutions Fund)
Disclosure Review; Confidentiality of Information. The Broker Participating Dealer agrees that it shall have reasonable grounds to believe, believe based on the information made available to it through the Prospectus Memorandum or other materials, materials that all material facts are adequately and accurately disclosed in the Prospectus Memorandum and provide a basis for evaluating the Shares. In making this determination, the Broker Participating Dealer shall evaluate, at a minimum, items of compensation, physical properties, tax aspects, financial stability and experience of the sponsor, conflicts of interest and risk factors, and appraisals and other pertinent reports. If the Broker Participating Dealer relies upon the results of any inquiry conducted by another member or members of FINRA, the Broker Participating Dealer shall have reasonable grounds to believe that such inquiry was conducted with due care, that the member or members conducting or directing the inquiry consented to the disclosure of the results of the inquiry and that the person who participated in or conducted the inquiry is not the Managing Dealer Manager or a sponsor or an affiliate of the sponsor of the Company.. LEGAL02/44544150v5
Appears in 1 contract
Samples: Dealer Manager Agreement (Invesco Commercial Real Estate Finance Trust, Inc.)