Due Diligence; Adequate Disclosure. By signing below and signing each Subscription Agreement, Selected Dealer hereby acknowledges (or reaffirms, in the latter case) that, prior to entering into this Agreement, Selected Dealer satisfied itself that it has reasonable grounds to believe, based upon information and other relevant materials made available to you by the Company, that all material facts are adequately and accurately disclosed in the Prospectus and provide a basis for evaluation of an investment in the Offered Shares (as is provided in Rule 2310(b)(3)(A), (B) and (C) of the FINRA Rules). In determining the adequacy of the disclosed facts, Selected Dealer shall obtain information on material facts relating at a minimum to the following, if relevant in view of the nature of the Company: (i) items of compensation; (ii) physical properties; (iii) tax aspects; (iv) financial stability and experience of the Company; (v) the Company’s conflicts and risk factors; and (vi) appraisals and other pertinent reports. Selected Dealer further acknowledges that it did not, and may not, rely upon the investigation conducted by the Dealer Manager as dealer-manager (because of the Dealer Manager’s affiliation with the Company) or by any other Selected Dealers, unless in the latter case all of the conditions set forth in FINRA Rule 2310(b)(3)(C) have been met.
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Samples: Selected Dealer Agreement (ICON ECI Fund Sixteen), Selected Dealer Agreement (CION Investment Corp)
Due Diligence; Adequate Disclosure. By signing below and signing each Subscription Agreement, Selected Dealer or an authorized representative thereof hereby acknowledges (or reaffirms, in the latter case) that, prior to entering into this Agreement, Selected Dealer satisfied itself that it has reasonable grounds to believe, based upon information and other relevant materials made available to you by the Company, that all material facts are adequately and accurately disclosed in the Prospectus and provide a basis for evaluation of an investment in the Offered Shares (as is provided in Rule FINRA Conduct Rules 2111 and 2310(b)(3)(A), (B) and (C) of the FINRA Rules)). In determining the adequacy of the disclosed facts, Selected Dealer shall obtain information on material facts relating at a minimum to the following, if relevant in view of the nature of the Company: (i) items of compensation; (ii) physical properties; (iii) tax aspects; (iv) financial stability and experience of the Company; (v) the Company’s conflicts and risk factors; and (vi) appraisals and other pertinent reports. Selected Dealer further acknowledges that it did not, and may not, rely upon the investigation conducted by the Dealer Manager as dealer-manager (because of the Dealer Manager’s affiliation with the Company) or by any other Selected Dealers, unless in the latter case all of the conditions set forth in FINRA Conduct Rule 2310(b)(3)(C) have been met.
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Samples: Follow on Selected Dealer Agreement (CION Investment Corp)
Due Diligence; Adequate Disclosure. By signing below and signing each Subscription Agreement, Selected Dealer hereby acknowledges (or reaffirms, in the latter case) that, prior to entering into this Agreement, Selected Dealer satisfied itself that it has reasonable grounds to believe, based upon information and other relevant materials made available to you by the Company, that all material facts are adequately and accurately disclosed in the Prospectus and provide a basis for evaluation of an investment in the Offered Shares (as is provided in Rule FINRA Conduct Rules 2111 and 2310(b)(3)(A), (B) and (C) of the FINRA Rules)). In determining the adequacy of the disclosed facts, Selected Dealer shall obtain information on material facts relating at a minimum to the following, if relevant in view of the nature of the Company: (i) items of compensation; (ii) physical properties; (iii) tax aspects; (iv) financial stability and experience of the Company; (v) the Company’s conflicts and risk factors; and (vi) appraisals and other pertinent reports. Selected Dealer further acknowledges that it did not, and may not, rely upon the investigation conducted by the Dealer Manager as dealer-manager (because of the Dealer Manager’s affiliation with the Company) or by any other Selected Dealers, unless in the latter case all of the conditions set forth in FINRA Rule 2310(b)(3)(C) have been met.
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