Duties of the Investment Adviser. A. The Investment Adviser shall continue to have responsibility for all services to be provided to the Fund pursuant to the Advisory Agreement and shall oversee and review the Sub-Adviser's performance of its duties and services under this Agreement. B. The Investment Adviser has furnished the Sub-Adviser with copies of each of the following documents and will furnish to the Sub-Adviser at its principal office all future amendments and supplements to such documents, if any, as soon as practicable after such documents become available: (1) The Transamerica IDEX Declaration of Trust and By-Laws, as each is in effect on the date hereof and as amended from time to time; (2) Certified resolutions of the Board authorizing the appointment of the Investment Adviser and the Sub-Adviser and approving this Agreement; (3) The Transamerica IDEX Registration Statement under the 1940 Act and the Securities Act of 1933, on Form N-1A, as filed with the Securities and Exchange Commission ("SEC") relating to the Fund and its shares and all amendments thereto ("Registration Statement"); and (4) A certified copy of any publicly available financial statement or report prepared for Transamerica IDEX by certified or independent public accountants, and copies of any financial statements or reports made by the Fund to its shareholders or to any governmental body or securities exchange. The Investment Adviser shall furnish the Sub-Adviser with any further documents, materials or information that the Sub-Adviser may reasonably request to enable it to perform its duties pursuant to this Agreement. C. During the term of this Agreement, the Investment Adviser shall furnish to the Sub-Adviser at its principal office all prospectuses, proxy statements, reports to shareholders, sales documentation, promotional, marketing, advertising and other written, printed or electronic material or performance information or data prepared for distribution to shareholders of the Fund or the public, which include the Xxxx or refer to the Fund, the Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser in any way, prior to a use thereof which has not been previously approved by the Sub-Adviser. The Investment Adviser shall not use any such materials without the Sub-Adviser's prior written approval, which approval shall not be unreasonably withheld; and the Investment Adviser shall not use any such materials which do not include the Xxxx if the Sub-Adviser reasonably objects in writing within ten (10) business days (or such other time as may be mutually agreed upon) after the Sub-Adviser's receipt thereof.
Appears in 8 contracts
Samples: Investment Sub Advisory Agreement (Transamerica Idex Mutual Funds), Investment Sub Advisory Agreement (Transamerica Idex Mutual Funds), Sub Advisory Agreement (Transamerica Idex Mutual Funds)
Duties of the Investment Adviser. A. The Investment Adviser shall continue to have responsibility for all services to be provided to the Fund Portfolio pursuant to the Advisory Agreement and shall oversee and review the Sub-Adviser's performance of its duties and services under this Agreement.
B. The Investment Adviser has furnished the Sub-Adviser with copies of each of the following documents and will furnish to the Sub-Adviser at its principal office all future amendments and supplements to such documents, if any, as soon as practicable after such documents become available:
(1) The Transamerica IDEX Declaration Articles of Trust and By-LawsIncorporation of the Fund, as each is filed with the State of Maryland, as in effect on the date hereof and as amended from time to timetime ("Articles"):
(2) The By-Laws of the Fund as in effect on the date hereof and as amended from time to time ("By-Laws");
(23) Certified resolutions of the Board of the Fund authorizing the appointment of the Investment Adviser and the Sub-Adviser and approving the form of the Advisory Agreement and this Agreement;
(34) The Transamerica IDEX Fund's Registration Statement under the 1940 Act and the Securities Act of 1933, as amended, on Form N-1A, as filed with the Securities and Exchange Commission ("SEC") relating to the Fund Portfolio and its shares and all amendments thereto ("Registration Statement");
(5) The Notification of Registration of the Fund under the 1940 Act on Form N-8A as filed with the SEC and any amendments thereto:
(6) The Fund's Prospectus (as defined above); and
(47) A certified copy of any publicly available financial statement or report prepared for Transamerica IDEX the Fund by certified or independent public accountants, and copies of any financial statements or reports made by the Fund Portfolio to its shareholders or to any governmental body or securities exchange. The Investment Adviser shall furnish the Sub-Adviser with any further documents, materials or information that the Sub-Adviser may reasonably request to enable it to perform its duties pursuant to this Agreement.
C. During the term of this Agreement, the Investment Adviser shall furnish to the Sub-Adviser at its principal office all prospectuses, proxy statements, reports to shareholders, sales documentationliterature, promotional, marketing, advertising and or other written, printed or electronic material or performance information or data prepared for distribution to shareholders of the Fund Portfolio or the public, which include the Xxxx or refer to the Fund, Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser in any way, prior to a the use thereof which has not been previously approved by the Sub-Adviser. The Investment Adviser shall not use any such materials without the Sub-Adviser's prior written approvalthereof, which approval shall not be unreasonably withheld; and the Investment Adviser shall not use any such materials which do not include the Xxxx if the Sub-Adviser reasonably objects in writing within ten (10) fifteen business days (or such other time as may be mutually agreed uponagreed) after the Sub-Adviser's receipt thereof.
Appears in 7 contracts
Samples: Sub Advisory Agreement (WRL Series Fund Inc), Sub Advisory Agreement (WRL Series Fund Inc), Sub Advisory Agreement (WRL Series Fund Inc)
Duties of the Investment Adviser. A. The Investment Adviser shall continue to have responsibility for all services to be provided to the Fund pursuant to the Advisory Agreement and shall oversee and review the Sub-Adviser's performance of its duties and services under this Agreement.
B. The Investment Adviser has furnished the Sub-Adviser with copies of each of the following documents and will furnish to the Sub-Adviser at its principal office all future amendments and supplements to such documents, if any, as soon as practicable after such documents become available:
(1) The Transamerica IDEX Restatement of Declaration of Trust and By-LawsTrust, as each is filed with the State of Massachusetts, as in effect on the date hereof and as amended from time to timetime ("Trust");
(2) The By-Laws of IDEX as in effect on the date hereof and as amended from time to time ("By-Laws");
(3) Certified resolutions of the Board of IDEX authorizing the appointment of the Investment Adviser and the Sub-Adviser and approving the form of the Advisory Agreement and this Agreement;
(34) The Transamerica IDEX Registration Statement under the 1940 Act and the Securities Act of 1933, as amended, on Form N-1A, as filed with the Securities and Exchange Commission ("SEC") relating to the Fund and its shares and all amendments thereto ("Registration Statement");
(5) The Notification of Registration of IDEX under the 1940 Act on Form N-8A as filed with the SEC and any amendments thereto;
(6) The IDEX Prospectus (as defined above); and
(47) A certified copy of any publicly available financial statement or report prepared for Transamerica IDEX by certified or independent public accountants, and copies of any financial statements or reports made by the Fund to its shareholders or to any governmental body or securities exchange. The Investment Adviser shall furnish the Sub-Adviser with any further documents, materials or information that the Sub-Adviser may reasonably request to enable it to perform its duties pursuant to this Agreement.
C. During the term of this Agreement, the Investment Adviser shall furnish to the Sub-Adviser at its principal office all prospectuses, proxy statements, reports to shareholders, sales documentationliterature, promotional, marketing, advertising and or other written, printed or electronic material or performance information or data prepared for distribution to shareholders of the Fund or the public, which include the Xxxx or refer to the Fund, Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser in any way, prior to a the use thereof which has not been previously approved by the Sub-Adviser. The Investment Adviser shall not use any such materials without the Sub-Adviser's prior written approvalthereof, which approval shall not be unreasonably withheld; and the Investment Adviser shall not use any such materials which do not include the Xxxx if the Sub-Adviser reasonably objects in writing within ten (10) fifteen business days (or such other time as may be mutually agreed uponagreed) after the Sub-Adviser's receipt thereof.
Appears in 4 contracts
Samples: Sub Advisory Agreement (Idex Series Fund), Sub Advisory Agreement (Idex Series Fund), Sub Advisory Agreement (Idex Series Fund)
Duties of the Investment Adviser. A. The Investment Adviser shall continue to have responsibility for all services to be provided to the Fund Portfolio pursuant to the Advisory Agreement and shall oversee and review the Sub-Adviser's performance of its duties and services under this Agreement.
B. The Investment Adviser has furnished the Sub-Adviser with copies of each of the following documents and will furnish to the Sub-Adviser at its principal office all future amendments and supplements to such documents, if any, as soon as practicable after such documents become available:
(1) The Transamerica IDEX ATST Declaration of Trust and By-Laws, as each is in effect on the date hereof and as amended from time to time;
(2) Certified resolutions of the Board authorizing the appointment of the Investment Adviser and the Sub-Adviser and approving this Agreement;
(3) The Transamerica IDEX ATST Registration Statement under the 1940 Act and the Securities Act of 1933, on Form N-1A, as filed with the Securities and Exchange Commission ("SEC") relating to the Fund Portfolio and its shares and all amendments thereto ("Registration Statement"); and
(4) A certified copy of any publicly available financial statement or report prepared for Transamerica IDEX ATST by certified or independent public accountants, and copies of any financial statements or reports made by the Fund Portfolio to its shareholders or to any governmental body or securities exchange. The Investment Adviser shall furnish the Sub-Adviser with any further documents, materials or information that the Sub-Adviser may reasonably request to enable it to perform its duties pursuant to this Agreement.
C. During the term of this Agreement, the Investment Adviser shall furnish to the Sub-Adviser at its principal office all prospectuses, proxy statements, reports to shareholders, sales documentation, promotional, marketing, advertising and other written, printed or electronic material or performance information or data prepared for distribution to shareholders of the Fund Portfolio or the public, which include the Xxxx or refer to the FundPortfolio, the Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser in any way, prior to a use thereof which has not been previously approved by the Sub-Adviser. The Investment Adviser shall not use any such materials without the Sub-Adviser's prior written approval, which approval shall not be unreasonably withheld; and the Investment Adviser shall not use any such materials which do not include the Xxxx if the Sub-Adviser reasonably objects in writing within ten (10) business days (or such other time as may be mutually agreed upon) after the Sub-Adviser's receipt thereof.
Appears in 3 contracts
Samples: Sub Advisory Agreement (Aegon/Transamerica Series Trust), Sub Advisory Agreement (Aegon/Transamerica Series Trust), Sub Advisory Agreement (Aegon/Transamerica Series Trust)
Duties of the Investment Adviser. A. The Investment Adviser shall continue to have responsibility for all services to be provided to the Fund pursuant to the Advisory Agreement and shall oversee and review the Sub-Adviser's performance of its duties and services under this Agreement. Notwithstanding the Advisory Agreement, the Sub-Adviser has the authority to buy, sell, exchange, convert, lend, and otherwise trade in any stocks, bonds and other securities or assets on behalf of the Fund.
B. The Investment Adviser has furnished the Sub-Adviser with copies of each of the following documents and will furnish to the Sub-Adviser at its principal office all future amendments and supplements to such documents, if any, as soon as practicable after such documents become available:
(1) The Transamerica IDEX Restatement of Declaration of Trust and By-LawsTrust, as each is filed with the State of Massachusetts, as in effect on the date hereof and as amended from time to timetime ("Trust");
(2) The By-Laws of Transamerica IDEX as in effect on the date hereof and as amended from time to time ("By-Laws");
(3) Certified resolutions of the Board of Transamerica IDEX authorizing the appointment of the Investment Adviser and the Sub-Adviser and approving the form of the Advisory Agreement and this Agreement;
(34) The Transamerica IDEX Registration Statement under the 1940 Act and the Securities Act of 1933, as amended, on Form N-1A, as filed with the Securities and Exchange Commission ("SEC") relating to the Fund and its shares and all amendments thereto ("Registration Statement"); and;
(45) The Transamerica IDEX Prospectus (as defined above);
(6) A certified copy of any publicly available financial statement or report prepared for Transamerica IDEX by certified or independent public accountants, and copies of any financial statements or reports made by the Fund to its shareholders or to any governmental body or securities exchange. ; and The Investment Adviser shall furnish the Sub-Adviser with any further documents, materials or information that the Sub-Sub- Adviser may reasonably request to enable it to perform its duties pursuant to this Agreement.
C. During the term of this Agreement, the Investment Adviser shall furnish to the Sub-Adviser at its principal office all prospectuses, proxy statements, reports to shareholders, sales documentationliterature, promotional, marketing, advertising and or other written, printed or electronic material or performance information or data prepared for distribution to shareholders of the Fund or the public, which include the Xxxx or refer to the Fund, the Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser in any way, prior to a the use thereof which has not been previously approved by the Sub-Adviser. The Investment Adviser shall not use any such materials without the Sub-Adviser's prior written approvalthereof, which approval shall not be unreasonably withheld; and the Investment Adviser shall not use any such materials which do not include the Xxxx if the Sub-Adviser reasonably objects in writing within ten (10) fifteen business days (or such other time as may be mutually agreed uponagreed) after the Sub-Adviser's receipt thereof.
Appears in 3 contracts
Samples: Sub Advisory Agreement (Transamerica Idex Mutual Funds), Sub Advisory Agreement (Transamerica Idex Mutual Funds), Sub Advisory Agreement (Transamerica Idex Mutual Funds)
Duties of the Investment Adviser. A. The Investment Adviser shall continue to have responsibility for all services to be provided to the Fund Portfolio pursuant to the Advisory Agreement and shall oversee and review the Sub-Adviser's performance of its duties and services under this Agreement.
B. The Investment Adviser has furnished the Sub-Adviser with copies of each of the following documents and will furnish to the Sub-Adviser at its principal office all future amendments and supplements to such documents, if any, as soon as practicable after such documents become available:
(1) The Transamerica IDEX Declaration Articles of Trust and By-LawsIncorporation of the Fund, as each is filed with the State of Maryland, as in effect on the date hereof and as amended from time to timetime ("Articles");
(2) The By-Laws of the Fund as in effect on the date hereof and as amended from time to time ("By-Laws");
(3) Certified resolutions of the Board of the Fund authorizing the appointment of the Investment Adviser and the Sub-Adviser and approving the form of the Advisory Agreement and this Agreement;
(34) The Transamerica IDEX Fund's Registration Statement under the 1940 Act and the Securities Act of 1933, as amended ("1933 Act"), on Form N-1A, as filed with the Securities and Exchange Commission ("SEC") relating to the Fund Portfolio and its shares and all amendments thereto ("Registration Statement");
(5) The Notification of Registration of the Fund under the 1940 Act on Form N-8A as filed with the SEC and any amendments thereto;
(6) The Fund's Prospectus and Statement of Additional Information (as defined above); and
(47) A certified copy of any publicly available financial statement or report prepared for Transamerica IDEX the Fund by certified or independent public accountants, and copies of any financial statements or reports made by the Fund Portfolio to its shareholders or to any governmental body or securities exchange. The Investment Adviser shall furnish the Sub-Adviser with any further documents, materials or information that the Sub-Adviser may reasonably request to enable it to perform its duties pursuant to this Agreement.
C. During the term of this Agreement, the Investment Adviser shall furnish to the Sub-Adviser at its principal office all prospectuses, proxy statements, reports to shareholders, sales documentationliterature, promotional, marketing, advertising and or other written, printed or electronic material or performance information or data prepared for distribution to shareholders of the Fund Portfolio or the public, which include the Xxxx or refer to the Fund, the Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser in any way, prior to a the use thereof which has not been previously approved by the Sub-Adviser. The Investment Adviser shall not use any such materials without the Sub-Adviser's prior written approvalthereof, which approval shall not be unreasonably withheld; and the Investment Adviser shall not use any such materials which do not include the Xxxx if the Sub-Adviser reasonably objects in writing within ten (10) fifteen business days (or such other time as may be mutually agreed uponagreed) after the Sub-Adviser's receipt thereof.
Appears in 3 contracts
Samples: Sub Advisory Agreement (WRL Series Fund Inc), Sub Advisory Agreement (WRL Series Fund Inc), Sub Advisory Agreement (WRL Series Fund Inc)
Duties of the Investment Adviser. A. The Investment Adviser shall continue to have responsibility for all services to be provided to the Fund Portfolio pursuant to the Advisory Agreement and shall oversee and review the Sub-Adviser's performance of its duties and services under this Agreement.
B. The Investment Adviser has furnished the Sub-Adviser with copies of each of the following documents and will furnish to the Sub-Adviser at its principal office all future amendments and supplements to such documents, if any, as soon as practicable after such documents become availableavailable and, when possible, before such amendments or supplements become effective:
(1) The Transamerica IDEX Declaration Articles of Trust and By-LawsIncorporation of the Fund, as each is filed with the State of Maryland, as in effect on the date hereof and as amended from time to timetime ("Articles"):
(2) The By-Laws of the Fund as in effect on the date hereof and as amended from time to time ("By-Laws");
(23) Certified resolutions of the Board of the Fund authorizing the appointment of the Investment Adviser and the Sub-Adviser and approving the form of the Advisory Agreement and this Agreement and any other resolutions of the Board applicable to the Sub-Adviser's duties under this Agreement;
(34) The Transamerica IDEX Fund's Registration Statement under the 1940 Act and the Securities Act of 1933, as amended, on Form N-1A, as filed with the Securities and Exchange Commission ("SEC") relating to the Fund Portfolio and its shares and all amendments thereto ("Registration Statement");
(5) The Notification of Registration of the Fund under the 1940 Act on Form N-8A as filed with the SEC and any amendments thereto:
(6) The Fund's Prospectus (as defined above); and
(47) A certified copy of any publicly available financial statement or report prepared for Transamerica IDEX the Fund by certified or independent public accountants, and copies of any financial statements or reports made by the Fund Portfolio to its shareholders or to any governmental body or securities exchange. The Investment Adviser shall furnish the Sub-Adviser with any further documents, materials or information that the Sub-Adviser may reasonably request to enable it to perform its duties pursuant to this Agreement.
C. During the term of this Agreement, the Investment Adviser shall furnish to the Sub-Adviser at its principal office all prospectuses, proxy statements, reports to shareholders, sales documentationliterature, promotional, marketing, advertising and or other written, printed or electronic material or performance information or data prepared for distribution to shareholders of the Fund Portfolio or the public, which include the Xxxx or refer to the Fund, Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser in any way, prior to a the use thereof which has not been previously approved by the Sub-Adviser. The Investment Adviser shall not use any such materials without the Sub-Adviser's prior written approvalthereof, which approval shall not be unreasonably withheld; and the Investment Adviser shall not use any such materials which do not include the Xxxx if the Sub-Adviser reasonably objects in writing within ten (10) fifteen business days (or such other time as may be mutually agreed uponagreed) after the Sub-Adviser's receipt thereof.
Appears in 3 contracts
Samples: Sub Advisory Agreement (WRL Series Fund Inc), Sub Advisory Agreement (WRL Series Fund Inc), Sub Advisory Agreement (WRL Series Fund Inc)
Duties of the Investment Adviser. A. The Investment Adviser shall continue to have responsibility for all services to be provided to the Fund Portfolio pursuant to the Advisory Agreement and shall oversee and review the Sub-Adviser's performance of its duties and services under this Agreement. Notwithstanding the Investment Advisory Agreement, the Sub-Adviser has the authority to buy, sell, exchange, convert, lend, and otherwise trade in any stocks, bonds and other securities or assets on behalf of the Portfolio.
B. The Investment Adviser has furnished the Sub-Adviser with copies of each of the following documents and will furnish to the Sub-Adviser at its principal office all future amendments and supplements to such documents, if any, as soon as practicable after such documents become available:
(1) The Transamerica IDEX Declaration Articles of Trust and By-LawsIncorporation of the Fund, as each is filed with the State of Maryland, as in effect on the date hereof and as amended from time to timetime ("Articles"):
(2) The By-Laws of the Fund as in effect on the date hereof and as amended from time to time ("By-Laws");
(23) Certified resolutions of the Board of the Fund authorizing the appointment of the Investment Adviser and the Sub-Adviser and approving the form of the Advisory Agreement and this Agreement;
(34) The Transamerica IDEX Fund's Registration Statement under the 1940 Act and the Securities Act of 1933, as amended, on Form N-1A, as filed with the Securities and Exchange Commission ("SEC") relating to the Fund Portfolio and its shares and all amendments thereto ("Registration Statement");
(5) The Notification of Registration of the Fund under the 1940 Act on Form N-8A as filed with the SEC and any amendments thereto:
(6) The Fund's Prospectus (as defined above); and
(47) A certified copy of any publicly available financial statement or report prepared for Transamerica IDEX the Fund by certified or independent public accountants, and copies of any financial statements or reports made by the Fund Portfolio to its shareholders or to any governmental body or securities exchange. The Investment Adviser shall furnish the Sub-Adviser with any further documents, materials or information that the Sub-Adviser may reasonably request to enable it to perform its duties pursuant to this Agreement.
C. During the term of this Agreement, the Investment Adviser shall furnish to the Sub-Adviser at its principal office all prospectuses, proxy statements, reports to shareholders, sales documentationliterature, promotional, marketing, advertising and or other written, printed or electronic material or performance information or data prepared for distribution to shareholders of the Fund Portfolio or the public, which include the Xxxx or refer to the Fund, Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser in any way, prior to a the use thereof which has not been previously approved by the Sub-Adviser. The Investment Adviser shall not use any such materials without the Sub-Adviser's prior written approvalthereof, which approval shall not be unreasonably withheld; and the Investment Adviser shall not use any such materials which do not include the Xxxx if the Sub-Adviser reasonably objects in writing within ten (10) fifteen business days (or such other time as may be mutually agreed uponagreed) after the Sub-Adviser's receipt thereof.
Appears in 3 contracts
Samples: Sub Advisory Agreement (WRL Series Fund Inc), Sub Advisory Agreement (WRL Series Fund Inc), Sub Advisory Agreement (WRL Series Fund Inc)
Duties of the Investment Adviser. A. The Investment Adviser shall continue to have responsibility for all services to be provided to the each Fund pursuant to the Advisory Agreement and shall oversee and review the Sub-Adviser's performance of its duties and services under this Agreement.
B. The Investment Adviser has furnished the Sub-Adviser with copies of each of the following documents and will furnish to the Sub-Adviser at its principal office all future amendments and supplements to such documents, if any, as soon as practicable after such documents become available:
(1) The Transamerica IDEX Restatement of Declaration of Trust and By-LawsTrust, as each is filed with the State of Massachusetts, as in effect on the date hereof and as amended from time to timetime ("Trust");
(2) The By-Laws of IDEX as in effect on the date hereof and as amended from time to time ("By-Laws");
(3) Certified resolutions of the Board of IDEX authorizing the appointment of the Investment Adviser and the Sub-Adviser and approving the form of the Advisory Agreement and this Agreement;
(34) The Transamerica IDEX Registration Statement under the 1940 Act and the Securities Act of 1933, as amended, on Form N-1A, as filed with the Securities and Exchange Commission ("SEC") relating to the each Fund and its shares and all amendments thereto ("Registration Statement");
(5) The Notification of Registration of IDEX under the 1940 Act on Form N-8A as filed with the SEC and any amendments thereto;
(6) The IDEX Prospectus (as defined above); and
(47) A certified copy of any publicly available financial statement or report prepared for Transamerica IDEX by certified or independent public accountants, and copies of any financial statements or reports made by the each Fund to its shareholders or to any governmental body or securities exchange. The Investment Adviser shall furnish the Sub-Adviser with any further documents, materials or information that the Sub-Adviser may reasonably request to enable it to perform its duties pursuant to this Agreement.
C. During the term of this Agreement, the Investment Adviser shall furnish to the Sub-Adviser at its principal office all prospectuses, proxy statements, reports to shareholders, sales documentationliterature, promotional, marketing, advertising and or other written, printed or electronic material or performance information or data prepared for distribution to shareholders of the each Fund or the public, which include the Xxxx or refer to the Fund, Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser in any way, prior to a the use thereof which has not been previously approved by the Sub-Adviser. The Investment Adviser shall not use any such materials without the Sub-Adviser's prior written approvalthereof, which approval shall not be unreasonably withheld; and the Investment Adviser shall not use any such materials which do not include the Xxxx if the Sub-Adviser reasonably objects in writing within ten (10) fifteen business days (or such other time as may be mutually agreed uponagreed) after the Sub-Adviser's receipt thereof.
Appears in 3 contracts
Samples: Sub Advisory Agreement (Idex Series Fund), Sub Advisory Agreement (Idex Series Fund), Sub Advisory Agreement (Idex Series Fund)
Duties of the Investment Adviser. A. The Investment Adviser shall continue to have responsibility for all services to be provided to the Fund pursuant to the Advisory Agreement and shall oversee and review the Sub-Adviser's performance of its duties and services under this Agreement. Notwithstanding the Advisory Agreement, the Sub-Adviser has the authority to buy, sell, exchange, convert, lend, and otherwise trade in any stocks, bonds and other securities or assets on behalf of the Fund.
B. The Investment Adviser has furnished the Sub-Adviser with copies of each of the following documents and will furnish to the Sub-Adviser at its principal office all future amendments and supplements to such documents, if any, as soon as practicable after such documents become available:
(1) The Transamerica IDEX Restatement of Declaration of Trust and By-LawsTrust, as each is filed with the State of Massachusetts, as in effect on the date hereof and as amended from time to timetime ("Trust");
(2) The By-Laws of IDEX as in effect on the date hereof and as amended from time to time ("By-Laws");
(3) Certified resolutions of the Board of IDEX authorizing the appointment of the Investment Adviser and the Sub-Adviser and approving the form of the Advisory Agreement and this Agreement;
(34) The Transamerica IDEX Registration Statement under the 1940 Act and the Securities Act of 1933, as amended, on Form N-1A, as filed with the Securities and Exchange Commission ("SEC") relating to the Fund and its shares and all amendments thereto ("Registration Statement"); and;
(45) The IDEX Prospectus (as defined above);
(6) A certified copy of any publicly available financial statement or report prepared for Transamerica IDEX by certified or independent public accountants, and copies of any financial statements or reports made by the Fund to its shareholders or to any governmental body or securities exchange;
(7) The Investment Advisory Agreement. The Investment Adviser shall furnish the Sub-Adviser with any further documents, materials or information that the Sub-Adviser may reasonably request to enable it to perform its duties pursuant to this Agreement.
C. During the term of this Agreement, the Investment Adviser shall furnish to the Sub-Adviser at its principal office all prospectuses, proxy statements, reports to shareholders, sales documentationliterature, promotional, marketing, advertising and or other written, printed or electronic material or performance information or data prepared for distribution to shareholders of the Fund or the public, which include the Xxxx or refer to the Fund, the Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser in any way, at least 15 days prior to a the use thereof which has not been previously approved by the Sub-Adviser. The Investment Adviser shall not use any such materials without the Sub-Adviser's prior written approvalthereof, which approval shall not be unreasonably withheld; and the Investment Adviser shall not use any such materials which do not include the Xxxx if the Sub-Adviser reasonably objects in writing within ten (10) fifteen business days (or such other time as may be mutually agreed uponagreed) after the Sub-Adviser's receipt thereof. This Paragraph C shall survive the termination of this Agreement.
Appears in 3 contracts
Samples: Sub Advisory Agreement (Idex Mutual FDS), Sub Advisory Agreement (Idex Mutual FDS), Sub Advisory Agreement (Idex Mutual FDS)
Duties of the Investment Adviser. A. The Investment Adviser shall continue to have responsibility for all services to be provided to the Fund pursuant to the Advisory Agreement and shall oversee and review the Sub-Adviser's performance of its duties and services under this Agreement. Notwithstanding the Advisory Agreement, the Sub-Adviser has the authority to buy, sell, exchange, convert, lend, and otherwise trade in any stocks, bonds and other securities or assets on behalf of the Fund.
B. The Investment Adviser has furnished the Sub-Adviser with copies of each of the following documents and will furnish to the Sub-Adviser at its principal office all future amendments and supplements to such documents, if any, as soon as practicable after such documents become available:
(1) The Transamerica IDEX Declaration of Trust and By-Laws, as each is in effect on the date hereof and as amended from time to time;Fund's Prospectus; and
(2) Certified resolutions of the Board authorizing the appointment of the Investment Adviser The Advisory and the Sub-Adviser and approving this Agreement;
(3) The Transamerica IDEX Registration Statement under the 1940 Act and the Securities Act of 1933, on Form N-1A, as filed with the Securities and Exchange Commission ("SEC") relating to the Fund and its shares and all amendments thereto ("Registration Statement"); and
(4) A certified copy of any publicly available financial statement or report prepared for Transamerica IDEX by certified or independent public accountants, and copies of any financial statements or reports made by the Fund to its shareholders or to any governmental body or securities exchange. Advisory Agreements The Investment Adviser shall furnish the Sub-Adviser with any further documents, materials or information that the Sub-Adviser may reasonably request to enable it to perform its duties pursuant to this Agreement.
C. During the term of this Agreement, the Investment Adviser shall furnish to the Sub-Adviser at its principal office all prospectuses, proxy statements, reports to shareholders, sales documentationliterature, promotional, marketing, advertising and or other written, printed or electronic material or performance information or data prepared for distribution to shareholders of the Fund or the public, which include the Xxxx or refer to the Fund, the Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser in any way, prior to a the use thereof which has not been previously approved by the Sub-Adviser. The Investment Adviser shall not use any such materials without the Sub-Adviser's prior written approvalthereof, which approval shall not be unreasonably withheld; and the Investment Adviser shall not use any such materials which do not include the Xxxx if the Sub-Adviser reasonably objects in writing within ten (10) fifteen business days (or such other time as may be mutually agreed uponagreed) after the Sub-Adviser's receipt thereof.
Appears in 2 contracts
Samples: Sub Advisory Agreement (Transamerica Idex Mutual Funds), Sub Advisory Agreement (Aegon/Transamerica Series Fund Inc)
Duties of the Investment Adviser. A. The Investment Adviser shall continue to have responsibility for all services to be provided to the Fund Portfolio pursuant to the Advisory Agreement and shall oversee and review the Sub-Adviser's performance of its duties and services under this Agreement.
B. The Investment Adviser has furnished the Sub-Adviser with copies of each of the following documents and will furnish to the Sub-Adviser at its principal office all future amendments and supplements to such documents, if any, as soon as practicable after such documents become available:
(1) The Transamerica IDEX Declaration Articles of Trust and By-LawsIncorporation of the Fund, as each is filed with the State of Maryland, as in effect on the date hereof and as amended from time to timetime ("Articles"):
(2) The By-Laws of the Fund as in effect on the date hereof and as amended from time to time ("By-Laws");
(23) Certified resolutions of the Board of the Fund authorizing the appointment of the Investment Adviser and the Sub-Adviser and approving the form of the Advisory Agreement and this Agreement;
(34) The Transamerica IDEX Fund's Registration Statement under the 1940 Act and the Securities Act of 1933, as amended, on Form N-1A, as filed with the Securities and Exchange Commission ("SEC") relating to the Fund Portfolio and its shares and all amendments thereto ("Registration Statement");
(5) The Notification of Registration of the Fund under the 1940 Act on Form N-8A as filed with the SEC and any amendments thereto;
(6) The Fund's Prospectus (as defined above); and
(47) A certified copy of any publicly available financial statement or report prepared for Transamerica IDEX the Fund by certified or independent public accountants, and copies of any financial statements or reports made by the Fund Portfolio to its shareholders or to any governmental body or securities exchange. The Investment Adviser shall furnish the Sub-Adviser with any further documents, materials or information that the Sub-Adviser may reasonably request to enable it to perform its duties pursuant to this Agreement.
C. During the term of this Agreement, the Investment Adviser shall furnish to the Sub-Adviser at its principal office all prospectuses, proxy statements, reports to shareholders, sales documentationliterature, promotional, marketing, advertising and or other written, printed or electronic material or performance information or data prepared for distribution to shareholders of the Fund Portfolio or the public, which include the Xxxx or refer to the Fund, Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser in any way, prior to a the use thereof which has not been previously approved by the Sub-Adviser. The Investment Adviser shall not use any such materials without the Sub-Adviser's prior written approvalthereof, which approval shall not be unreasonably withheld; and the Investment Adviser shall not use any such materials which do not include the Xxxx if the Sub-Adviser reasonably objects in writing within ten (10) fifteen business days (or such other time as may be mutually agreed uponagreed) after the Sub-Adviser's receipt thereof.
Appears in 2 contracts
Samples: Sub Advisory Agreement (WRL Series Fund Inc), Sub Advisory Agreement (WRL Series Fund Inc)
Duties of the Investment Adviser. A. The Investment Adviser shall continue to have responsibility for all services to be provided to the Fund each Portfolio pursuant to the Advisory Agreement and shall oversee and review the Sub-Adviser's performance of its duties and services under this Agreement. Notwithstanding the Investment Advisory Agreement, the Sub-Adviser has the authority to buy, sell, exchange, convert, lend, and otherwise trade in any stocks, bonds and other securities or assets on behalf of each Portfolio.
B. The Investment Adviser has furnished the Sub-Adviser with copies of each of the following documents and will furnish to the Sub-Adviser at its principal office all future amendments and supplements to such documents, if any, as soon as practicable after such documents become available:
(1) The Transamerica IDEX Declaration Articles of Trust and By-LawsIncorporation of the Fund, as each is filed with the State of Maryland, as in effect on the date hereof and as amended from time to timetime ("Articles"):
(2) The By-Laws of the Fund as in effect on the date hereof and as amended from time to time ("By-Laws");
(23) Certified resolutions of the Board of the Fund authorizing the appointment of the Investment Adviser and the Sub-Adviser and approving the form of the Advisory Agreement and this Agreement;
(34) The Transamerica IDEX Fund's Registration Statement under the 1940 Act and the Securities Act of 1933, as amended, on Form N-1A, as filed with the Securities and Exchange Commission ("SEC") relating to the Fund each Portfolio and its shares and all amendments thereto ("Registration Statement");
(5) The Notification of Registration of the Fund under the 1940 Act on Form N-8A as filed with the SEC and any amendments thereto:
(6) The Fund's Prospectus (as defined above); and
(47) A certified copy of any publicly available financial statement or report prepared for Transamerica IDEX the Fund by certified or independent public accountants, and copies of any financial statements or reports made by the Fund each Portfolio to its shareholders or to any governmental body or securities exchange. The Investment Adviser shall furnish the Sub-Adviser with any further documents, materials or information that the Sub-Adviser may reasonably request to enable it to perform its duties pursuant to this Agreement.
C. During the term of this Agreement, the Investment Adviser shall furnish to the Sub-Adviser at its principal office all prospectuses, proxy statements, reports to shareholders, sales documentationliterature, promotional, marketing, advertising and or other written, printed or electronic material or performance information or data prepared for distribution to shareholders of the Fund each Portfolio or the public, which include the Xxxx or refer to the Fund, Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser in any way, prior to a the use thereof which has not been previously approved by the Sub-Adviser. The Investment Adviser shall not use any such materials without the Sub-Adviser's prior written approvalthereof, which approval shall not be unreasonably withheld; and the Investment Adviser shall not use any such materials which do not include the Xxxx if the Sub-Adviser reasonably objects in writing within ten (10) fifteen business days (or such other time as may be mutually agreed uponagreed) after the Sub-Adviser's receipt thereof.
Appears in 2 contracts
Samples: Sub Advisory Agreement (WRL Series Fund Inc), Sub Advisory Agreement (WRL Series Fund Inc)
Duties of the Investment Adviser. A. The Investment Adviser shall continue to have responsibility for all services to be provided to the Fund Portfolios pursuant to the Advisory Agreement and shall oversee and review the Sub-Adviser's performance of its duties and services under this Agreement. Notwithstanding the Investment Advisory Agreement, the Sub-Adviser has the authority to buy, sell, exchange, convert, lend, and otherwise trade in any stocks, bonds and other securities or assets on behalf of the Portfolios.
B. The Investment Adviser has furnished the Sub-Adviser with copies of each of the following documents and will furnish to the Sub-Adviser at its principal office all future amendments and supplements to such documents, if any, as soon as practicable after such documents become available:
(1) The Transamerica IDEX Declaration Articles of Trust and By-LawsIncorporation of the Fund, as each is filed with the State of Maryland, as in effect on the date hereof and as amended from time to timetime ("Articles"):
(2) The By-Laws of the Fund as in effect on the date hereof and as amended from time to time ("By-Laws");
(23) Certified resolutions of the Board of the Fund authorizing the appointment of the Investment Adviser and the Sub-Adviser and approving the form of the Advisory Agreement and this Agreement;
(34) The Transamerica IDEX Fund's Registration Statement under the 1940 Act and the Securities Act of 1933, as amended, on Form N-1A, as filed with the Securities and Exchange Commission ("SEC") relating to the Fund a Portfolio and its shares and all amendments thereto ("Registration Statement");
(5) The Notification of Registration of the Fund under the 1940 Act on Form N-8A as filed with the SEC and any amendments thereto:
(6) The Fund's Prospectus (as defined above); and
(47) A certified copy of any publicly available financial statement or report prepared for Transamerica IDEX the Fund by certified or independent public accountants, and copies of any financial statements or reports made by the Fund a Portfolio to its shareholders or to any governmental body or securities exchange. The Investment Adviser shall furnish the Sub-Adviser with any further documents, materials or information that the Sub-Adviser may reasonably request to enable it to perform its duties pursuant to this Agreement.
C. During the term of this Agreement, the Investment Adviser shall furnish to the Sub-Adviser at its principal office all prospectuses, proxy statements, reports to shareholders, sales documentationliterature, promotional, marketing, advertising and or other written, printed or electronic material or performance information or data prepared for distribution to shareholders of the Fund Portfolios or the public, which include the Xxxx or refer to the Fund, Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser in any way, prior to a the use thereof which has not been previously approved by the Sub-Adviser. The Investment Adviser shall not use any such materials without the Sub-Adviser's prior written approvalthereof, which approval shall not be unreasonably withheld; and the Investment Adviser shall not use any such materials which do not include the Xxxx if the Sub-Adviser reasonably objects in writing within ten (10) fifteen business days (or such other time as may be mutually agreed uponagreed) after the Sub-Adviser's receipt thereof.
Appears in 2 contracts
Samples: Sub Advisory Agreement (Aegon/Transamerica Series Fund Inc), Sub Advisory Agreement (Aegon/Transamerica Series Fund Inc)
Duties of the Investment Adviser. A. The Investment Adviser shall continue to have responsibility for all services to be provided to the Fund Portfolio pursuant to the Advisory Agreement and shall oversee and review the Co-Sub-Adviser's performance of its duties and services under this Agreement.
B. The Investment Adviser has furnished the Co-Sub-Adviser with copies of each of the following documents and will furnish to the Co-Sub-Adviser at its principal office all future amendments and supplements to such documents, if any, as soon as practicable after such documents become available:
(1) The Transamerica IDEX Declaration Articles of Trust and By-LawsIncorporation of the Fund, as each is filed with the State of Maryland, as in effect on the date hereof and as amended from time to timetime ("Articles"):
(2) The By-Laws of the Fund as in effect on the date hereof and as amended from time to time ("By-Laws");
(23) Certified resolutions of the Board of the Fund authorizing the appointment of the Investment Adviser and the Co-Sub-Adviser and approving the form of the Advisory Agreement and this Agreement;
(34) The Transamerica IDEX Fund's Registration Statement under the 1940 Act and the Securities Act of 1933, as amended, on Form N-1A, as filed with the Securities and Exchange Commission ("SEC") relating to the Fund Portfolio and its shares and all amendments thereto ("Registration Statement");
(5) The Notification of Registration of the Fund under the 1940 Act on Form N-8A as filed with the SEC and any amendments thereto:
(6) The Fund's Prospectus (as defined above) and any amendments effected from time to time; and
(47) A certified copy of any publicly available financial statement or report prepared for Transamerica IDEX the Fund by certified or independent public accountants, and copies of any financial statements or reports made by the Fund Portfolio to its shareholders or to any governmental body or securities exchange. .
(8) Written instructions and directions of the Board and such other limitations applicable from time to time, including those specified in Clause 2.A. The Investment Adviser shall furnish the Co-Sub-Adviser with any further documents, materials or information that the Co-Sub-Adviser may reasonably request to enable it to perform its duties pursuant to this Agreement.
C. During the term of this Agreement, the Investment Adviser shall furnish to the Co-Sub-Adviser at its principal office all prospectuses, proxy statements, reports to shareholders, sales documentationliterature, promotional, marketing, advertising and or other written, printed or electronic material or performance information or data prepared for distribution to shareholders of the Fund Portfolio or the public, which include the Xxxx or refer to the Fund, the Co-Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Co-Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Co-Sub-Adviser in any way, prior to a the use thereof which has not been previously approved by the Sub-Adviser. The Investment Adviser shall not use any such materials without the Sub-Adviser's prior written approvalthereof, which approval shall not be unreasonably withheld; and the Investment Adviser shall not use any such materials which do not include the Xxxx if the Co-Sub-Adviser reasonably objects in writing within ten (10) fifteen business days (or such other time as may be mutually agreed uponagreed) after the Sub-Adviser's receipt thereof.
Appears in 2 contracts
Samples: Sub Advisory Agreement (WRL Series Fund Inc), Sub Advisory Agreement (WRL Series Fund Inc)
Duties of the Investment Adviser. A. The Investment Adviser shall continue to have responsibility for all services to be provided to the Fund pursuant to the Advisory Agreement and shall oversee and review the Sub-Adviser's performance of its duties and services under this Agreement. Notwithstanding the Advisory Agreement, the Sub-Adviser has the authority to buy, sell, exchange, convert, lend, and otherwise trade in any stocks, bonds and other securities or assets on behalf of the Fund.
B. The Investment Adviser has furnished the Sub-Adviser with copies of each of the following documents and will furnish to the Sub-Adviser at its principal office all future amendments and supplements to such documents, if any, as soon as practicable after such documents become available:
(1) The Transamerica IDEX Restatement of Declaration of Trust and By-LawsTrust, as each is filed with the State of Massachusetts, as in effect on the date hereof and as amended from time to timetime ("Trust");
(2) The By-Laws of Transamerica IDEX as in effect on the date hereof and as amended from time to time ("By-Laws");
(3) Certified resolutions of the Board of Transamerica IDEX authorizing the appointment of the Investment Adviser and the Sub-Adviser and approving the form of the Advisory Agreement and this Agreement;
(34) The Transamerica IDEX Registration Statement under the 1940 Act and the Securities Act of 1933, as amended, on Form N-1A, as filed with the Securities and Exchange Commission ("SEC") relating to the Fund and its shares and all amendments thereto ("Registration Statement"); and;
(45) The Transamerica IDEX Prospectus (as defined above);
(6) A certified copy of any publicly available financial statement or report prepared for Transamerica IDEX by certified or independent public accountants, and copies of any financial statements or reports made by the Fund to its shareholders or to any governmental body or securities exchange. ; and The Investment Adviser shall furnish the Sub-Adviser with any further documents, materials or information that the Sub-Adviser may reasonably request to enable it to perform its duties pursuant to this Agreement.
C. During the term of this Agreement, the Investment Adviser shall furnish to the Sub-Adviser at its principal office all prospectuses, proxy statements, reports to shareholders, sales documentationliterature, promotional, marketing, advertising and or other written, printed or electronic material or performance information or data prepared for distribution to shareholders of the Fund or the public, which include the Xxxx or refer to the Fund, the Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser in any way, prior to a the use thereof which has not been previously approved by the Sub-Adviser. The Investment Adviser shall not use any such materials without the Sub-Adviser's prior written approvalthereof, which approval shall not be unreasonably withheld; and the Investment Adviser shall not use any such materials which do not include the Xxxx if the Sub-Adviser reasonably objects in writing within ten (10) fifteen business days (or such other time as may be mutually agreed uponagreed) after the Sub-Adviser's receipt thereof.
Appears in 2 contracts
Samples: Sub Advisory Agreement (Transamerica Idex Mutual Funds), Sub Advisory Agreement (Transamerica Idex Mutual Funds)
Duties of the Investment Adviser. A. The Investment Adviser shall continue to have responsibility for all services to be provided to the Fund Portfolio pursuant to the Advisory Agreement and shall oversee and review the Sub-Adviser's performance of its duties and services under this Agreement.
B. The Investment Adviser has furnished the Sub-Adviser with copies of each of the following documents and will furnish to the Sub-Adviser at its principal office all future amendments and supplements to such documents, if any, as soon as practicable after such documents become available:
(1) The Transamerica IDEX Declaration Articles of Trust and By-LawsIncorporation of the Fund, as each is filed with the State of Maryland, as in effect on the date hereof and as amended from time to timetime ("Articles"):
(2) The By-Laws of the Fund as in effect on the date hereof and as amended from time to time ("By-Laws");
(23) Certified resolutions of the Board of the Fund authorizing the appointment of the Investment Adviser and the Sub-Adviser and approving the form of the Advisory Agreement and this Agreement;
(34) The Transamerica IDEX Fund's Registration Statement under the 1940 Act and the Securities Act of 1933, as amended, on Form N-1A, as filed with the Securities and Exchange Commission ("SEC") relating to the Fund Portfolio and its shares and all amendments thereto ("Registration Statement");
(5) The Notification of Registration of the Fund under the 1940 Act on Form N-8A as filed with the SEC and any amendments thereto:
(6) The Fund's Prospectus and Statement of Additional Information (as defined above); and
(47) A certified copy of any publicly available financial statement or report prepared for Transamerica IDEX the Fund by certified or independent public accountants, and copies of any financial statements or reports made by the Fund Portfolio to its shareholders or to any governmental body or securities exchange. The Investment Adviser shall furnish the Sub-Adviser with any further documents, materials or information that the Sub-Adviser may reasonably request to enable it to perform its duties pursuant to this Agreement.
C. During the term of this Agreement, the Investment Adviser shall furnish to the Sub-Adviser at its principal office all prospectuses, proxy statements, reports to shareholders, sales documentationliterature, promotional, marketing, advertising and or other written, printed or electronic material or performance information or data prepared for distribution to shareholders of the Fund Portfolio or the public, which include the Xxxx or refer to the Fund, Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser in any way, prior to a the use thereof which has not been previously approved by the Sub-Adviser. The Investment Adviser shall not use any such materials without the Sub-Adviser's prior written approvalthereof, which approval shall not be unreasonably withheld; and the Investment Adviser shall not use any such materials which do not include the Xxxx if the Sub-Adviser reasonably objects in writing within ten (10) fifteen business days (or such other time as may be mutually agreed uponagreed) after the Sub-Adviser's receipt thereof.
Appears in 2 contracts
Samples: Sub Advisory Agreement (WRL Series Fund Inc), Sub Advisory Agreement (WRL Series Fund Inc)
Duties of the Investment Adviser. A. The Investment Adviser shall continue to have responsibility for all services to be provided to the Fund Portfolio pursuant to the Advisory Agreement and shall oversee and review the Sub-Adviser's performance of its duties and services under this Agreement. Notwithstanding the Advisory Agreement, the Sub-Adviser has the authority to buy, sell, exchange, convert, lend, and otherwise trade in any stocks, bonds and other securities or assets on behalf of the Portfolio.
B. The Investment Adviser has furnished the Sub-Adviser with copies of each of the following documents and will furnish to the Sub-Adviser at its principal office all future amendments and supplements to such documents, if any, as soon as practicable after such documents become available:
(1) The Transamerica IDEX Declaration of Trust and By-Laws, Fund's Prospectus (as each is in effect on the date hereof and as amended from time to time;
(2) Certified resolutions of the Board authorizing the appointment of the Investment Adviser and the Sub-Adviser and approving this Agreement;
(3) The Transamerica IDEX Registration Statement under the 1940 Act and the Securities Act of 1933, on Form N-1A, as filed with the Securities and Exchange Commission ("SEC") relating to the Fund and its shares and all amendments thereto ("Registration Statement"defined above); and
(42) A certified copy of any publicly available financial statement or report prepared for Transamerica IDEX by certified or independent public accountants, The Advisory and copies of any financial statements or reports made by the Fund to its shareholders or to any governmental body or securities exchangeSub Advisory Agreements. The Investment Adviser shall furnish the Sub-Adviser with any further documents, materials or information that the Sub-Adviser may reasonably request to enable it to perform its duties pursuant to this Agreement.
C. During the term of this Agreement, the Investment Adviser shall furnish to the Sub-Adviser at its principal office all prospectuses, proxy statements, reports to shareholders, sales documentationliterature, promotional, marketing, advertising and or other written, printed or electronic material or performance information or data prepared for distribution to shareholders of the Fund Portfolio or the public, which include the Xxxx or refer to the Fund, Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser in any way, prior to a the use thereof which has not been previously approved by the Sub-Adviser. The Investment Adviser shall not use any such materials without the Sub-Adviser's prior written approvalthereof, which approval shall not be unreasonably withheld; and the Investment Adviser shall not use any such materials which do not include the Xxxx if the Sub-Adviser reasonably objects in writing within ten (10) fifteen business days (or such other time as may be mutually agreed uponagreed) after the Sub-Adviser's receipt thereof.
Appears in 2 contracts
Samples: Sub Advisory Agreement (Aegon/Transamerica Series Fund Inc), Sub Advisory Agreement (Aegon/Transamerica Series Fund Inc)
Duties of the Investment Adviser. A. The Investment Adviser shall continue to have responsibility for all services to be provided to the Fund Portfolio pursuant to the Advisory Agreement and shall oversee and review the Sub-Adviser's performance of its duties and services under this Agreement. Notwithstanding the Advisory Agreement, the Sub-Adviser has the authority to buy, sell, exchange, convert, lend, and otherwise trade in any stocks, bonds and other securities or assets on behalf of the Portfolio.
B. The Investment Adviser has furnished the Sub-Adviser with copies of each of the following documents and will furnish to the Sub-Adviser at its principal office all future amendments and supplements to such documents, if any, as soon as practicable after such documents become available:
(1) The Transamerica IDEX Declaration of Trust and By-Laws, Fund's Prospectus (as each is in effect on the date hereof and as amended from time to time;
(2) Certified resolutions of the Board authorizing the appointment of the Investment Adviser and the Sub-Adviser and approving this Agreement;
(3) The Transamerica IDEX Registration Statement under the 1940 Act and the Securities Act of 1933, on Form N-1A, as filed with the Securities and Exchange Commission ("SEC") relating to the Fund and its shares and all amendments thereto ("Registration Statement"defined above); and
(42) A certified copy of any publicly available financial statement or report prepared for Transamerica IDEX by certified or independent public accountants, The Advisory and copies of any financial statements or reports made by the Fund to its shareholders or to any governmental body or securities exchangeSub Advisory agreements. The Investment Adviser shall furnish the Sub-Adviser with any further documents, materials or information that the Sub-Adviser may reasonably request to enable it to perform its duties pursuant to this Agreement.
C. During the term of this Agreement, the Investment Adviser shall furnish to the Sub-Adviser at its principal office all prospectuses, proxy statements, reports to shareholders, sales documentationliterature, promotional, marketing, advertising and or other written, printed or electronic material or performance information or data prepared for distribution to shareholders of the Fund Portfolio or the public, which include the Xxxx or refer to the Fund, Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser in any way, prior to a the use thereof which has not been previously approved by the Sub-Adviser. The Investment Adviser shall not use any such materials without the Sub-Adviser's prior written approvalthereof, which approval shall not be unreasonably withheld; and the Investment Adviser shall not use any such materials which do not include the Xxxx if the Sub-Adviser reasonably objects in writing within ten (10) fifteen business days (or such other time as may be mutually agreed uponagreed) after the Sub-Adviser's receipt thereof.
Appears in 2 contracts
Samples: Sub Advisory Agreement (Aegon/Transamerica Series Fund Inc), Sub Advisory Agreement (Aegon/Transamerica Series Fund Inc)
Duties of the Investment Adviser. A. The Investment Adviser shall continue to have responsibility for all services to be provided to the Fund Portfolios pursuant to the Advisory Agreement and shall oversee and review the Sub-Adviser's performance of its duties and services under this Agreement.
B. The Investment Adviser has furnished the Sub-Adviser with copies of each of the following documents and will furnish to the Sub-Adviser at its principal office all future amendments and supplements to such documents, if any, as soon as practicable after such documents become available:
(1) The Transamerica IDEX Declaration Articles of Trust and By-LawsIncorporation of the Fund, as each is filed with the State of Maryland, as in effect on the date hereof and as amended from time to timetime ("Articles"):
(2) The By-Laws of the Fund as in effect on the date hereof and as amended from time to time ("By-Laws");
(23) Certified resolutions of the Board of the Fund authorizing the appointment of the Investment Adviser and the Sub-Adviser and approving the form of the Advisory Agreement and this Agreement;
(34) The Transamerica IDEX Fund's Registration Statement under the 1940 Act and the Securities Act of 1933, as amended, on Form N-1A, as filed with the Securities and Exchange Commission ("SEC") relating to the Fund Portfolios and its shares and all amendments thereto ("Registration Statement");
(5) The Notification of Registration of the Fund under the 1940 Act on Form N-8A as filed with the SEC and any amendments thereto:
(6) The Portfolios' Prospectus (as defined above); and
(47) A certified copy of any publicly available financial statement or report prepared for Transamerica IDEX the Fund by certified or independent public accountants, and copies of any financial statements or reports made by the Fund Portfolios to its shareholders or to any governmental body or securities exchange. The Investment Adviser shall furnish the Sub-Adviser with any further documents, materials or information that the Sub-Adviser may reasonably request to enable it to perform its duties pursuant to this Agreement.
C. During the term of this Agreement, the Investment Adviser shall furnish to the Sub-Adviser at its principal office all prospectuses, proxy statements, reports to shareholders, sales documentationliterature, promotional, marketing, advertising and or other written, printed or electronic material or performance information or data prepared for distribution to shareholders of the Fund Portfolios or the public, which include the Xxxx or refer to the Fund, Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser in any way, prior to a the use thereof which has not been previously approved by the Sub-Adviser. The Investment Adviser shall not use any such materials without the Sub-Adviser's prior written approvalthereof, which approval shall not be unreasonably withheld; and the Investment Adviser shall not use any such materials which do not include the Xxxx if the Sub-Adviser reasonably objects in writing within ten (10) fifteen business days (or such other time as may be mutually agreed uponagreed) after the Sub-Adviser's receipt thereof.
Appears in 2 contracts
Samples: Sub Advisory Agreement (WRL Series Fund Inc), Sub Advisory Agreement (WRL Series Fund Inc)
Duties of the Investment Adviser. A. The Investment Adviser shall continue to have responsibility for all services to be provided to the Fund Portfolio pursuant to the Advisory Agreement and shall oversee and review the Co-Sub-Adviser's performance of its duties and services under this Agreement.
B. The Investment Adviser has furnished the Co-Sub-Adviser with copies of each of the following documents and will furnish to the Co-Sub-Adviser at its principal office all future amendments and supplements to such documents, if any, as soon as practicable after such documents become available:
(1) The Transamerica IDEX Declaration Articles of Trust and By-LawsIncorporation of the Fund, as each is filed with the State of Maryland, as in effect on the date hereof and as amended from time to timetime ("Articles");
(2) The By-Laws of the Fund as in effect on the date hereof and as amended from time to time ("By-Laws");
(3) Certified resolutions of the Board of the Fund authorizing the appointment of the Investment Adviser and the Co-Sub-Adviser and approving the form of the Advisory Agreement and this Agreement;
(34) The Transamerica IDEX Fund's Registration Statement under the 1940 Act and the Securities Act of 1933, as amended ("1933 Act"), on Form N-1A, as filed with the Securities and Exchange Commission ("SEC") relating to the Fund Portfolio and its shares and all amendments thereto ("Registration Statement");
(5) The Notification of Registration of the Fund under the 1940 Act on Form N-8A as filed with the SEC and any amendments thereto;
(6) The Fund's Prospectus and Statement of Additional Information (as defined above); and
(47) A certified copy of any publicly available financial statement or report prepared for Transamerica IDEX the Fund by certified or independent public accountants, and copies of any financial statements or reports made by the Fund Portfolio to its shareholders or to any governmental body or securities exchange. The Investment Adviser shall furnish the Co-Sub-Adviser with any further documents, materials or information that the Co-Sub-Adviser may reasonably request to enable it to perform its duties pursuant to this Agreement.
C. During the term of this Agreement, the Investment Adviser shall furnish to the Co-Sub-Adviser at its principal office all prospectuses, proxy statements, reports to shareholders, sales documentationliterature, promotional, marketing, advertising and or other written, printed or electronic material or performance information or data prepared for distribution to shareholders of the Fund Portfolio or the public, which include the Xxxx or refer to the Fund, the Co-Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Co-Sub-Adviser in any way, prior to a the use thereof which has not been previously approved by the Sub-Adviser. The Investment Adviser shall not use any such materials without the Sub-Adviser's prior written approvalthereof, which approval shall not be unreasonably withheld; and the Investment Adviser shall not use any such materials which do not include the Xxxx if the Co-Sub-Adviser reasonably objects in writing within ten (10) fifteen business days (or such other time as may be mutually agreed uponagreed) after the Sub-Adviser's receipt thereof.
Appears in 2 contracts
Samples: Sub Advisory Agreement (WRL Series Fund Inc), Sub Advisory Agreement (WRL Series Fund Inc)
Duties of the Investment Adviser. A. The Investment Adviser shall continue to have responsibility for all services to be provided to the Fund Portfolio pursuant to the Advisory Agreement and shall oversee and review the Sub-Adviser's performance of its duties and services under this Agreement.
B. The Investment Adviser has furnished the Sub-Adviser with copies of each of the following documents and will furnish to the Sub-Adviser at its principal office all future amendments and supplements to such documents, if any, as soon as practicable after such documents become available:
(1) The Transamerica IDEX Declaration Articles of Trust and By-LawsIncorporation of the Fund, as each is filed with the State of Maryland, as in effect on the date hereof and as amended from time to timetime ("Articles"):
(2) The By-Laws of the Fund as in effect on the date hereof and as amended from time to time ("By-Laws");
(23) Certified resolutions of the Board of the Fund authorizing the appointment of the Investment Adviser and the Sub-Adviser and approving the form of the Advisory Agreement and this Agreement;
(34) The Transamerica IDEX Fund's Registration Statement under the 1940 Act and the Securities Act of 1933, as amended, on Form N-1A, as filed with the Securities and Exchange Commission ("SEC") relating to the Fund Portfolio and its shares and all amendments thereto ("Registration Statement"); and;
(45) The Notification of Registration of the Fund under the 1940 Act on Form N-8A as filed with the SEC and any amendments thereto:
(6) The Fund's Prospectus (as defined above);
(7) A certified copy of any publicly available financial statement or report prepared for Transamerica IDEX the Fund by certified or independent public accountants, and copies of any financial statements or reports made by the Fund Portfolio to its shareholders or to any governmental body or securities exchange;
(8) A copy of the Advisory Agreement currently in effect, and all amendments; and
(9) Fund procedures adopted by the Board. The Investment Adviser shall furnish the Sub-Adviser with any further documents, materials or information that the Sub-Adviser may reasonably request to enable it to perform its duties pursuant to this Agreement.
C. During the term of this Agreement, the Investment Adviser shall furnish to the Sub-Adviser at its principal office all prospectuses, proxy statements, reports to shareholders, sales documentationliterature, promotional, marketing, advertising and or other written, printed or electronic material or performance information or data prepared for distribution to shareholders of the Fund Portfolio or the public, which include the Xxxx or refer to the Fund, Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser in any way, prior to a the use thereof which has not been previously approved by the Sub-Adviser. The Investment Adviser shall not use any such materials without the Sub-Adviser's prior written approvalthereof, which approval shall not be unreasonably withheld; and the Investment Adviser shall not use any such materials which do not include the Xxxx if the Sub-Adviser reasonably objects in writing within ten (10) fifteen business days (or such other time as may be mutually agreed uponagreed) after the Sub-Adviser's receipt thereof.
Appears in 2 contracts
Samples: Sub Advisory Agreement (WRL Series Fund Inc), Sub Advisory Agreement (WRL Series Fund Inc)
Duties of the Investment Adviser. A. The Investment Adviser shall continue to have responsibility for all services to be provided to the Fund each Portfolio pursuant to the Advisory Agreement and shall oversee and review the Sub-Adviser's ’s performance of its duties and services under this Agreement.
B. The Investment Adviser has furnished the Sub-Adviser with copies of each of the following documents and will furnish to the Sub-Adviser at its principal office all future amendments and supplements to such documents, if any, as soon as practicable after such documents become available:
(1) The Transamerica IDEX Series Trust Declaration of Trust and By-Laws, as each is in effect on the date hereof and as amended from time to time;
(2) Certified resolutions of the Board authorizing the appointment of the Investment Adviser and the Sub-Adviser and approving this Agreement;
(3) The Transamerica IDEX Series Trust Registration Statement under the 1940 Act and the Securities Act of 1933, on Form N-1A, as filed with the Securities and Exchange Commission ("“SEC"”) relating to the Fund Portfolio and its shares and all amendments thereto and prospectus and/or statement of additional information supplements ("“Registration Statement"”); and
(4) A certified copy of any publicly available financial statement or report prepared for Transamerica IDEX Series Trust by certified or independent public accountants, and copies of any financial statements or reports made by the Fund a Portfolio to its shareholders or to any governmental body or securities exchange. The Investment Adviser shall furnish the Sub-Adviser with any further documents, materials or information that the Sub-Adviser may reasonably request to enable it to perform its duties pursuant to this Agreement.
C. During the term of this Agreement, the Investment Adviser shall furnish to the Sub-Adviser at its principal office all prospectuses, proxy statements, reports to shareholders, sales documentation, promotional, marketing, advertising and other written, printed or electronic material or performance information or data prepared for distribution to shareholders of the Fund each Portfolio or the public, which include the Xxxx or refer to the FundPortfolio, the Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser in any way, prior to a use thereof which has not been previously approved by the Sub-Adviser. The Investment Adviser shall not use any such materials without the Sub-Adviser's ’s prior written approval, which approval shall not be unreasonably withheld; and the Investment Adviser shall not use any such materials which do not include the Xxxx if the Sub-Adviser reasonably objects in writing within ten (10) business days (or such other time as may be mutually agreed upon) after the Sub-Adviser's ’s receipt thereof.
Appears in 1 contract
Samples: Sub Advisory Agreement (Aegon/Transamerica Series Trust)
Duties of the Investment Adviser. A. The Investment Adviser shall continue to have responsibility for all services to be provided to the Fund pursuant to the Advisory Agreement and shall oversee and review the Sub-Adviser's performance of its duties and services under this Agreement. Notwithstanding the Advisory Agreement, the Sub-Adviser has the authority to buy, sell, exchange, convert, lend, and otherwise trade in any stocks, bonds and other securities or assets on behalf of the Fund.
B. The Investment Adviser has furnished the Sub-Adviser with copies of each of the following documents and will furnish to the Sub-Adviser at its principal office all future amendments and supplements to such documents, if any, as soon as practicable after such documents become available:
(1) The Transamerica IDEX Restatement of Declaration of Trust and By-LawsTrust, as each is filed with the State of Massachusetts, as in effect on the date hereof and as amended from time to timetime ("Trust");
(2) The By-Laws of Transamerica IDEX as in effect on the date hereof and as amended from time to time ("By-Laws");
(3) Certified resolutions of the Board of Transamerica IDEX authorizing the appointment of the Investment Adviser and the Sub-Adviser and approving the form of the Advisory Agreement and this Agreement;
(34) The Transamerica IDEX Registration Statement under the 1940 Act and the Securities Act of 1933, as amended, on Form N-1A, as filed with the Securities and Exchange Commission ("SEC") relating to the Fund and its shares and all amendments thereto ("Registration Statement"); and;
(45) The Notification of Registration of Transamerica IDEX under the 1940 Act on Form N-8A as filed with the SEC and any amendments thereto;
(6) The Transamerica IDEX Prospectus (as defined above);
(7) A certified copy of any publicly available financial statement or report prepared for Transamerica IDEX by certified or independent public accountants, and copies of any financial statements or reports made by the Fund to its shareholders or to any governmental body or securities exchange. ; and The Investment Adviser shall furnish the Sub-Adviser with any further documents, materials or information that the Sub-Adviser may reasonably request to enable it to perform its duties pursuant to this Agreement.
C. During the term of this Agreement, the Investment Adviser shall furnish to the Sub-Adviser at its principal office all prospectuses, proxy statements, reports to shareholders, sales documentationliterature, promotional, marketing, advertising and or other written, printed or electronic material or performance information or data prepared for distribution to shareholders of the Fund or the public, which include the Xxxx or refer to the either Fund, the Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser in any way, prior to a the use thereof which has not been previously approved by the Sub-Adviser. The Investment Adviser shall not use any such materials without the Sub-Adviser's prior written approvalthereof, which approval shall not be unreasonably withheld; and the Investment Adviser shall not use any such materials which do not include the Xxxx if the Sub-Adviser reasonably objects in writing within ten (10) fifteen business days (or such other time as may be mutually agreed uponagreed) after the Sub-Adviser's receipt thereof.
Appears in 1 contract
Samples: Sub Advisory Agreement (Transamerica Idex Mutual Funds)
Duties of the Investment Adviser. A. The Investment Adviser shall continue to have responsibility for all services to be provided to the Fund pursuant to the Advisory Agreement and shall oversee and review the Sub-Adviser's performance of its duties and services under this Agreement. Notwithstanding the Advisory Agreement, the Sub-Adviser has the authority to buy, sell, exchange, convert, lend, and otherwise trade in any stocks, bonds and other securities or assets on behalf of the Fund.
B. The Investment Adviser has furnished the Sub-Adviser with copies of each of the following documents and will furnish to the Sub-Adviser at its principal office all future amendments and supplements to such documents, if any, as soon as practicable after such documents become available:
(1) The Transamerica IDEX Declaration of Trust and By-LawsTrust, as each is in effect on the date hereof and as amended from time to timetime ("Trust");
(2) The By-Laws of Transamerica IDEX as in effect on the date hereof and as amended from time to time ("By-Laws");
(3) Certified resolutions of the Board of Transamerica IDEX authorizing the appointment of the Investment Adviser and the Sub-Adviser and approving the form of the Advisory Agreement and this Agreement;
(34) The Transamerica IDEX Registration Statement under the 1940 Act and the Securities Act of 1933, as amended, on Form N-1A, as filed with the Securities and Exchange Commission ("SEC") relating to the Fund and its shares and all amendments thereto ("Registration Statement"); and;
(45) The Transamerica IDEX Prospectus (as defined above);
(6) A certified copy of any publicly available financial statement or report prepared for Transamerica IDEX by certified or independent public accountants, and copies of any financial statements or reports made by the Fund to its shareholders or to any governmental body or securities exchange;
(7) The Investment Advisory Agreement. The Investment Adviser shall furnish the Sub-Adviser with any further documents, materials or information that the Sub-Adviser may reasonably request to enable it to perform its duties pursuant to this Agreement.
C. During the term of this Agreement, the Investment Adviser shall furnish to the Sub-Adviser at its principal office all prospectuses, proxy statements, reports to shareholders, sales documentationliterature, promotional, marketing, advertising and or other written, printed or electronic material or performance information or data prepared for distribution to shareholders of the Fund or the public, which include the Xxxx or refer to the Fund, the Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser in any way, at least 15 days prior to a the use thereof which has not been previously approved by the Sub-Adviser. The Investment Adviser shall not use any such materials without the Sub-Adviser's prior written approvalthereof, which approval shall not be unreasonably withheld; and the Investment Adviser shall not use any such materials which do not include the Xxxx if the Sub-Adviser reasonably objects in writing within ten (10) fifteen business days (or such other time as may be mutually agreed uponagreed) after the Sub-Adviser's receipt thereof. This Paragraph C shall survive the termination of this Agreement.
Appears in 1 contract
Samples: Sub Advisory Agreement (Transamerica Idex Mutual Funds)
Duties of the Investment Adviser. A. The Investment Adviser shall continue to have responsibility for all services to be provided to the Fund Portfolio pursuant to the Advisory Agreement and shall oversee and review the Sub-Adviser's performance of its duties and services under this Agreement. Notwithstanding the Advisory Agreement, the Sub-Adviser has the authority to buy, sell, exchange, convert, lend, and otherwise trade in any stocks, bonds and other securities or assets on behalf of the Portfolio.
B. The Investment Adviser has furnished the Sub-Adviser with copies of each of the following documents and will furnish to the Sub-Adviser at its principal office all future amendments and supplements to such documents, if any, as soon as practicable after such documents become available:
(1) The Transamerica IDEX ATST Declaration of Trust and By-LawsTrust, as each is in effect on the date hereof and as amended from time to timetime ("Trust");
(2) The By-Laws of ATST as in effect on the date hereof and as amended from time to time ("By-Laws");
(3) Certified resolutions of the Board of ATST authorizing the appointment of the Investment Adviser and the Sub-Adviser and approving the form of the Advisory Agreement and this Agreement;
(34) The Transamerica IDEX ATST Registration Statement under the 1940 Act and the Securities Act of 1933, as amended, on Form N-1A, as filed with the Securities and Exchange Commission ("SEC") relating to the Fund Portfolio and its shares and all amendments thereto ("Registration Statement"); and;
(45) The ATST Prospectus (as defined above);
(6) A certified copy of any publicly available financial statement or report prepared for Transamerica IDEX ATST by certified or independent public accountants, and copies of any financial statements or reports made by the Fund Portfolio to its shareholders or to any governmental body or securities exchange;
(7) An executed copy of the Investment Advisory Agreement; and
(8) A list of each affiliated person (and any affiliated person of such an affiliated person) of the Investment Adviser. The Investment Adviser shall furnish the Sub-Adviser with any further documents, materials materials, procedures adopted by the Board applicable to the Sub-Adviser ("Board Procedures"), or information that the Sub-Adviser may reasonably request to enable it to perform its duties pursuant to this Agreement. Until Investment Adviser delivers any such amendment or supplement to the documents listed in this section 4.B., to the Fund Policies or to the Board Procedures, the Sub-Adviser shall be fully protected in relying on the most recent versions of such documents or policies previously furnished to the Sub-Adviser.
C. During the term of this Agreement, the Investment Adviser shall furnish to the Sub-Adviser at its principal office all prospectuses, proxy statements, reports to shareholders, sales documentationand marketing literature, promotional, marketing, advertising and or other written, printed or electronic material or performance information or data prepared for distribution to shareholders of the Fund Portfolio or the public, which include the Xxxx or refer to the FundPortfolio, the Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser in any way, prior to a the use thereof which has not been previously approved by thereof, and the Sub-Adviser. The Investment Adviser shall not use any such materials without the prior written consent of the Sub-Adviser's prior written approval, which approval shall not be unreasonably withheld; and . The Sub-Adviser agrees to respond to the Investment Adviser shall not use any such materials which do not include the Xxxx if the Sub-Adviser reasonably objects in writing within ten (10) fifteen business days (or such other time as may be mutually agreed uponagreed) after the Sub-Adviser's receipt thereofthereof to signify its consent or rejection.
Appears in 1 contract
Samples: Sub Advisory Agreement (Aegon/Transamerica Series Trust)
Duties of the Investment Adviser. A. The Investment Adviser shall continue to have responsibility for all services to be provided to the Fund pursuant to the Advisory Agreement and shall oversee and review the Sub-Adviser's performance of its duties and services under this Agreement.
B. The Investment Adviser has furnished the Sub-Adviser with copies of each of the following documents and will furnish to the Sub-Adviser at its principal office all future amendments and supplements to such documents, if any, as soon as practicable after such documents become available:
(1) The Transamerica IDEX Declaration of Trust and By-Laws, as each is in effect on the date hereof and as amended from time to time;
(2) Certified resolutions of the Board authorizing the appointment of the Investment Adviser and the Sub-Adviser and approving this Agreement;
(3) The Transamerica IDEX Registration Statement under the 1940 Act and the Securities Act of 1933, on Form N-1A, as filed with the Securities and Exchange Commission ("SEC") relating to the Fund and its shares and all amendments thereto ("Registration Statement"); and
(4) A certified copy of any publicly available financial statement or report prepared for Transamerica IDEX by certified or independent public accountants, and copies of any financial statements or reports made by the Fund to its shareholders or to any governmental body or securities exchange. The Investment Adviser shall furnish the Sub-Adviser with any further documents, materials or information that the Sub-Adviser may reasonably request to enable it to perform its duties pursuant to this Agreement.
C. During the term of this Agreement, the Investment Adviser shall furnish to the Sub-Adviser for its prior approval, at its principal office office, all prospectuses, proxy statements, reports to shareholders, sales documentation, promotional, marketing, advertising and other written, printed or electronic material or performance information or data prepared for distribution to shareholders of the Fund or the public, which include the Xxxx Mark or refer to the Fund, the Sub-Adviser or investment companies or companiex xx other advisory accounts advised or sponsored by the Sub-Adviser in any way, prior to a use thereof which has not been previously approved by the Sub-Adviser. The Investment Adviser shall not use any such materials without the Sub-Adviser's prior written approval, which approval shall not be unreasonably withheld; and the Investment Adviser shall not use any such materials which do not include the Xxxx Mark if the Sub-Adviser reasonably objects in writing within ten xxx (10) business days (or such other time as may be mutually agreed upon) after the Sub-Adviser's receipt thereof.
Appears in 1 contract
Samples: Sub Advisory Agreement (Transamerica Idex Mutual Funds)
Duties of the Investment Adviser. A. The Investment Adviser shall continue to have responsibility for all services to be provided to the Fund Trust pursuant to the Advisory Agreement and shall oversee and review the Sub-Adviser's performance of its duties and services under this Agreement. Notwithstanding the Advisory Agreement, the Sub-Adviser has the authority to buy, sell, exchange, convert, lend, and otherwise trade in any stocks, bonds and other securities or assets on behalf of the Trust.
B. The Investment Adviser has furnished the Sub-Adviser with copies of each of the following documents and will furnish to the Sub-Adviser at its principal office all future amendments and supplements to such documents, if any, as soon as practicable after such documents become available:
(1) The Transamerica IDEX Declaration of Trust and By-LawsTrust, as each is filed with the Commonwealth of Massachusetts, as in effect on the date hereof and as amended from time to timetime ("Trust");
(2) The By-Laws of Transamerica IDEX as in effect on the date hereof and as amended from time to time ("By-Laws");
(3) Certified resolutions of the Board of Transamerica IDEX authorizing the appointment of the Investment Adviser and the Sub-Adviser and approving the form of the Advisory Agreement and this Agreement;
(34) The Transamerica IDEX Registration Statement under the 1940 Act and the Securities Act of 1933, as amended, on Form N-1A, as filed with the Securities and Exchange Commission ("SEC") relating to the Fund Trust and its shares and all amendments thereto ("Registration Statement");
(5) The Transamerica IDEX Prospectus (as defined above); and
(46) A certified copy of any publicly available financial statement or report prepared for Transamerica IDEX by certified or independent public accountants, and copies of any financial statements or reports made by the Fund Trust to its shareholders or to any governmental body or securities exchange. The Investment Adviser shall furnish the Sub-Adviser with any further documents, materials or information that the Sub-Adviser may reasonably request to enable it to perform its duties pursuant to this Agreement. Notwithstanding the above, the Sub-Adviser shall not be responsible for performing in accordance with any of the above-mentioned documents and notices unless Sub-Adviser has received such document or notice.
C. The Sub-Adviser hereby gives the Trust, for the term of this Agreement, a royalty free, nonexclusive, nontransferable right to use the name "Xxxxxxxxx" (hereinafter referred to as the "Xxxx") in the United States as part of the name of the Trust, provided such name is approved by Sub-Adviser in writing. Such right does not include the right to allow third parties to use the Xxxx except as specifically provided in this Agreement. Neither the Trust nor the Investment Adviser shall retain any right to use of the Xxxx after the termination of this Agreement. Upon termination of this Agreement, the Trust will immediately terminate all use of the Xxxx and destroy any remaining unused sales documentation, promotional, marketing, advertising or other written printed or electronic material or performance information that contains the Xxxx. The Trust agrees to use its best efforts to ensure that the nature and quality of the services rendered in connection with the Xxxx shall conform to the terms of this Agreement and any amendments thereto.
D. During the term of this Agreement, the Investment Adviser shall furnish to the Sub-Adviser at its principal office all prospectuses, proxy statements, reports to shareholders, sales documentation, promotional, marketing, advertising and other written, printed or electronic material or performance information or data prepared for distribution to shareholders of the Fund Trust or the public, which include the Xxxx or refer to the FundTrust, the Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser in any way, prior to a the use thereof which has not been previously approved by the Sub-Adviserthereof. The Investment Adviser shall not use any such materials which include the Xxxx without the Sub-Adviser's prior written approval, which approval shall not be unreasonably withheld; and the Investment Adviser shall not use any such materials which do not include the Xxxx if the Sub-Adviser reasonably objects in writing within ten fifteen (1015) business days (or such other time as may be mutually agreed upon) after the Sub-Adviser's receipt thereof.
Appears in 1 contract
Samples: Sub Advisory Agreement (Transamerica Idex Mutual Funds)
Duties of the Investment Adviser. A. The Investment Adviser shall continue to have responsibility for all services to be provided to the Fund pursuant to the Advisory Agreement and shall oversee and review the Sub-Adviser's performance of its duties and services under this Agreement. Notwithstanding the Advisory Agreement, the Sub-Adviser has the authority to buy, sell, exchange, convert, lend, and otherwise trade in any stocks, bonds and other securities or assets on behalf of the Fund.
B. The Investment Adviser has furnished the Sub-Adviser with copies of each of the following documents and will furnish to the Sub-Adviser at its principal office all future amendments and supplements to such documents, if any, as soon as practicable after such documents become available:
(1) The Transamerica IDEX Restatement of Declaration of Trust and By-LawsTrust, as each is filed with the State of Massachusetts, as in effect on the date hereof and as amended from time to timetime ("Trust");
(2) The By-Laws of IDEX as in effect on the date hereof and as amended from time to time ("By-Laws");
(3) Certified resolutions of the Board of IDEX authorizing the appointment of the Investment Adviser and the Sub-Adviser and approving the form of the Advisory Agreement and this Agreement;
(34) The Transamerica IDEX Registration Statement under the 1940 Act and the Securities Act of 1933, as amended, on Form N-1A, as filed with the Securities and Exchange Commission ("SEC") relating to the Fund and its shares and all amendments thereto ("Registration Statement");
(5) The IDEX Prospectus (as defined above); and
(46) A certified copy of any publicly available financial statement or report prepared for Transamerica IDEX by certified or independent public accountants, and copies of any financial statements or reports made by the Fund to its shareholders or to any governmental body or securities exchange. The Investment Adviser shall furnish the Sub-Adviser with any further documents, materials or information that the Sub-Adviser may reasonably request to enable it to perform its duties pursuant to this Agreement. Notwithstanding the above, the Sub-Adviser shall not be responsible for performing in accordance with any of the above-mentioned documents and notices unless Sub-Adviser has received such document or notice.
C. The Sub-Adviser hereby gives the Fund, for the term of this Agreement, a royalty free, nonexclusive, nontransferable right to use the name "Templeton" (hereinafter referred to as the "Xxxx") in the United States as part of the name of the Fund, provided such name is approved by Sub-Adviser in writing. Such right does not include the right to allow third parties to use the Xxxx except as specifically provided in this Agreement. Neither the Fund nor the Investment Adviser shall retain any right to use of the Xxxx after the termination of this Agreement. Upon termination of this Agreement, the Fund will immediately terminate all use of the Xxxx and destroy any remaining unused sales documentation, promotional, marketing, advertising or other written printed or electronic material or performance information that contains the Xxxx. The Fund agrees to use its best efforts to ensure that the nature and quality of the services rendered in connection with the Xxxx shall conform to the terms of this Agreement and any amendments thereto.
D. During the term of this Agreement, the Investment Adviser shall furnish to the Sub-Adviser at its principal office all prospectuses, proxy statements, reports to shareholders, sales documentation, promotional, marketing, advertising and other written, printed or electronic material or performance information or data prepared for distribution to shareholders of the Fund or the public, which include the Xxxx or refer to the Fund, the Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser in any way, prior to a the use thereof which has not been previously approved by the Sub-Adviserthereof. The Investment Adviser shall not use any such materials which include the Xxxx without the Sub-Adviser's Advisers prior written approval, which approval shall not be unreasonably withheld; and the Investment Adviser shall not use any such materials which do not include the Xxxx if the Sub-Adviser reasonably objects in writing within ten fifteen (1015) business days (or such other time as may be mutually agreed upon) after the Sub-Adviser's receipt thereof.
Appears in 1 contract
Duties of the Investment Adviser. A. The Investment Adviser shall continue to have responsibility for all services to be provided to the Fund Funds pursuant to the Advisory Agreement and shall oversee and review the Sub-Adviser's performance of its duties and services under this Agreement.
B. The Investment Adviser has furnished the Sub-Adviser with copies of each of the following documents and will furnish to the Sub-Adviser at its principal office all future amendments and supplements to such documents, if any, as soon as practicable after such documents become available:
(1) The Transamerica IDEX Restatement of Declaration of Trust and By-LawsTrust, as each is filed with the State of Massachusetts, as in effect on the date hereof and as amended from time to timetime ("Trust");
(2) The By-Laws of IDEX as in effect on the date hereof and as amended from time to time ("By-Laws");
(3) Certified resolutions of the Board of IDEX authorizing the appointment of the Investment Adviser and the Sub-Adviser and approving the form of the Advisory Agreement and this Agreement;
(34) The Transamerica IDEX Registration Statement under the 1940 Act and the Securities Act of 1933, as amended, on Form N-1A, as filed with the Securities and Exchange Commission ("SEC") relating to the Fund and its shares and all amendments thereto ("Registration Statement");
(5) The Notification of Registration of IDEX under the 1940 Act on Form N-8A as filed with the SEC and any amendments thereto;
(6) The IDEX Prospectus (as defined above); and
(47) A certified copy of any publicly available financial statement or report prepared for Transamerica IDEX by certified or independent public accountants, and copies of any financial statements or reports made by the Fund to its shareholders or to any governmental body or securities exchange. The Investment Adviser shall furnish the Sub-Adviser with any further documents, materials or information that the Sub-Adviser may reasonably request to enable it to perform its duties pursuant to this Agreement.
C. During the term of this Agreement, the Investment Adviser shall furnish to the Sub-Adviser at its principal office all prospectuses, proxy statements, reports to shareholders, sales documentationliterature, promotional, marketing, advertising and or other written, printed or electronic material or performance information or data prepared for distribution to shareholders of the Fund or the public, which include the Xxxx or refer to the Fund, Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser in any way, prior to a the use thereof which has not been previously approved by the Sub-Adviser. The Investment Adviser shall not use any such materials without the Sub-Adviser's prior written approvalthereof, which approval shall not be unreasonably withheld; and the Investment Adviser shall not use any such materials which do not include the Xxxx if the Sub-Adviser reasonably objects in writing within ten (10) fifteen business days (or such other time as may be mutually agreed uponagreed) after the Sub-Adviser's receipt thereof.
Appears in 1 contract
Duties of the Investment Adviser. A. The Investment Adviser shall continue to have responsibility for all services to be provided to the Fund Portfolio pursuant to the Advisory Agreement and shall oversee and review the Sub-Adviser's performance of its duties and services under this Agreement. Notwithstanding the Investment Advisory Agreement, the Sub-Adviser has the authority to buy, sell, exchange, convert, lend, and otherwise trade in any stocks, bonds and other securities or assets on behalf of the Portfolio.
B. The Investment Adviser has furnished the Sub-Adviser with copies of each of the following documents and will furnish to the Sub-Adviser at its principal office all future amendments and supplements to such documents, if any, as soon as practicable after such documents become available:
(1) The Transamerica IDEX Declaration Articles of Trust and By-LawsIncorporation of the Fund, as each is filed with the State of Maryland, as in effect on the date hereof and as amended from time to timetime ("Articles"):
(2) The By-Laws of the Fund as in effect on the date hereof and as amended from time to time ("By-Laws");
(23) Certified resolutions of the Board of the Fund authorizing the appointment of the Investment Adviser and the Sub-Adviser and approving the form of the Advisory Agreement and this Agreement;
(34) The Transamerica IDEX Fund's Registration Statement under the 1940 Act and the Securities Act of 1933, as amended, on Form N-1A, as filed with the Securities and Exchange Commission ("SEC") relating to the Fund Portfolio and its shares and all amendments thereto ("Registration Statement");
(5) The Fund's Prospectus (as defined above); and
(46) A certified copy of any publicly available financial statement or report prepared for Transamerica IDEX the Fund by certified or independent public accountants, and copies of any financial statements or reports made by the Fund Portfolio to its shareholders or to any governmental body or securities exchange. The Investment Adviser shall furnish the Sub-Adviser with any further documents, materials or information that the Sub-Adviser may reasonably request to enable it to perform its duties pursuant to this Agreement.
C. During the term of this Agreement, the Investment Adviser shall furnish to the Sub-Adviser at its principal office all prospectuses, proxy statements, reports to shareholders, sales documentationliterature, promotional, marketing, advertising and or other written, printed or electronic material or performance information or data prepared for distribution to shareholders of the Fund Portfolio or to the public, which include the Xxxx or refer to the Fund, Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser in any way, prior to a the use thereof which has not been previously approved by thereof, and the Sub-Adviser. The Investment Adviser shall not use any such materials without the consent of the Sub-Adviser's prior written approval, which approval shall not be unreasonably withheld; and . The Subadviser agrees to respond to the Investment Adviser shall not use any such materials which do not include the Xxxx if the Sub-Adviser reasonably objects in writing within ten (10) fifteen business days (or such other time as may be mutually agreed uponagreed) after the Sub-Adviser's receipt thereofthereof to signify its consent or objection.
Appears in 1 contract
Samples: Sub Advisory Agreement (Aegon/Transamerica Series Fund Inc)
Duties of the Investment Adviser. A. The Investment Adviser shall continue to have responsibility for all services to be provided to the Fund Portfolio pursuant to the Advisory Agreement and shall oversee and review the Sub-Adviser's performance of its duties and services under this Agreement.
B. The Investment Adviser has furnished the Sub-Adviser with copies of each of the following documents and will furnish to the Sub-Adviser at its principal office all future amendments and supplements to such documents, if any, as soon as practicable after such documents become available:
(1) The Transamerica IDEX Declaration Articles of Trust and By-LawsIncorporation of the Fund, as each is filed with the State of Maryland, as in effect on the date hereof and as amended from time to time;time ("Articles"):
(2) Certified resolutions The By-Laws of the Board authorizing Fund as in effect on the appointment of the Investment Adviser date hereof and the Subas amended from time to time ("By-Adviser and approving this AgreementLaws");
(3) The Transamerica IDEX Fund's Registration Statement under the 1940 Act and the Securities Act of 1933, as amended, on Form N-1A, as filed with the Securities and Exchange Commission ("SEC") relating to the Fund Portfolio and each of its shares and all amendments thereto ("Registration Statement"); and;
(4) The Fund's Prospectus (as defined above);
(5) A certified copy of any publicly available financial statement or report prepared for Transamerica IDEX the Fund by certified or independent public accountants, and copies of any financial statements or reports made by the Fund Portfolio to its shareholders or to any governmental body or securities exchange; and
(6) A copy of the Advisory Agreement, as amended. The Investment Adviser shall furnish the Sub-Adviser with any further documents, materials or information that the Sub-Adviser may reasonably request to enable it to perform its duties pursuant to this Agreement.
C. During the term of this Agreement, the Investment Adviser shall furnish to the Sub-Adviser at its principal office all prospectuses, proxy statements, reports to shareholders, sales documentationliterature, promotional, marketing, advertising and or other written, printed or electronic material or performance information or data prepared for distribution to shareholders of the Fund Portfolio or the public, which include the Xxxx or refer to the Fund, Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser in any way, prior to a the use thereof which has not been previously approved by the Sub-Adviser. The Investment Adviser shall not use any such materials without the Sub-Adviser's prior written approvalthereof, which approval shall not be unreasonably withheld; and the Investment Adviser shall not use any such materials which do not include the Xxxx if the Sub-Adviser reasonably objects in writing within ten (10) fifteen business days (or such other time as may be mutually agreed uponagreed) after receipt thereof. If Sub-Adviser ceases to act as the Portfolio's Sub-Adviser, the Adviser agrees to remove Sub-Adviser's receipt thereofname from the name of the Portfolio as soon as possible.
Appears in 1 contract
Samples: Sub Advisory Agreement (Aegon/Transamerica Series Fund Inc)
Duties of the Investment Adviser. A. The Investment Adviser shall continue to have responsibility for all services to be provided to the Fund Portfolios pursuant to the Advisory Agreement and shall oversee and review the Sub-Adviser's performance of its duties and services under this Agreement. Notwithstanding the Investment Advisory Agreement, the Sub-Adviser has the authority to buy, sell, exchange, convert, lend, and otherwise trade in any stocks, bonds and other securities or assets on behalf of the Portfolios.
B. The Investment Adviser has furnished the Sub-Adviser with copies of each of the following documents and will furnish to the Sub-Adviser at its principal office all future amendments and supplements to such documents, if any, as soon as practicable after such documents become available:
(1) The Transamerica IDEX Declaration Articles of Trust and By-LawsIncorporation of the Fund, as each is filed with the State of Maryland, as in effect on the date hereof and as amended from time to timetime ("Articles"):
(2) The By-Laws of the Fund as in effect on the date hereof and as amended from time to time ("By-Laws");
(23) Certified resolutions of the Board of the Fund authorizing the appointment of the Investment Adviser and the Sub-Adviser and approving the form of the Advisory Agreement and this Agreement;
(34) The Transamerica IDEX Fund's Registration Statement under the 1940 Act and the Securities Act of 1933, as amended, on Form N-1A, as filed with the Securities and Exchange Commission ("SEC") relating to the Fund each Portfolio and its shares and all amendments thereto ("Registration Statement");
(5) The Notification of Registration of the Fund under the 1940 Act on Form N-8A as filed with the SEC and any amendments thereto;
(6) The Fund's Prospectus (as defined above); and
(47) A certified copy of any publicly available financial statement or report prepared for Transamerica IDEX the Fund by certified or independent public accountants, and copies of any financial statements or reports made by the Fund each Portfolio to its shareholders or to any governmental body or securities exchange. The Investment Adviser shall furnish the Sub-Adviser with any further documents, materials or information that the Sub-Adviser may reasonably request to enable it to perform its duties pursuant to this Agreement.
C. During the term of this Agreement, the Investment Adviser shall furnish to the Sub-Adviser at its principal office all prospectuses, proxy statements, reports to shareholders, sales documentationliterature, promotional, marketing, advertising and or other written, printed or electronic material or performance information or data prepared for distribution to shareholders of the Fund Portfolios or to the public, which include the Xxxx or refer to the Fund, Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser in any way, prior to a the use thereof which has not been previously approved by the Sub-Adviser. The Investment Adviser shall not use any such materials without the Sub-Adviser's prior written approvalthereof, which approval shall not be unreasonably withheld; and the Investment Adviser shall not use any such materials which do not include the Xxxx if the Sub-Adviser reasonably objects in writing within ten (10) fifteen business days (or such other time as may be mutually agreed uponagreed) after the Sub-Adviser's receipt thereof.
Appears in 1 contract
Samples: Sub Advisory Agreement (Aegon/Transamerica Series Fund Inc)
Duties of the Investment Adviser. A. The Investment Adviser shall continue to have responsibility for all services to be provided to the Fund pursuant to the Advisory Agreement and shall oversee and review the Sub-Adviser's performance of its duties and services under this Agreement.
B. The Investment Adviser has furnished the Sub-Adviser with copies of each of the following documents and will furnish to the Sub-Adviser at its principal office all future amendments and supplements to such documents, if any, as soon as practicable after such documents become available:
(1) The Transamerica IDEX Declaration of Trust and By-Lawsof IDEX, as each is filed with the State of Massachusetts, as in effect on the date hereof and as amended from time to timetime ("Declaration");
(2) The By-Laws of IDEX as in effect on the date hereof and as amended from time to time ("By-Laws");
(3) Certified resolutions of the Board of IDEX authorizing the appointment of the Investment Adviser and the Sub-Adviser and approving the form of the Advisory Agreement and this Agreement;
(34) The Transamerica IDEX Registration Statement under the 1940 Act and the Securities Act of 1933, as amended, on Form N-1A, as filed with the Securities and Exchange Commission ("SEC") relating to the Fund and its shares and all amendments thereto ("Registration Statement");
(5) The Notification of Registration of IDEX under the 1940 Act on Form N-8A as filed with the SEC and any amendments thereto;
(6) The IDEX Prospectus (as defined above); and
(47) A certified copy of any publicly available financial statement or report prepared for Transamerica IDEX by certified or independent public accountants, and copies of any financial statements or reports made by the Fund to its shareholders or to any governmental body or securities exchange. The Investment Adviser shall furnish the Sub-Adviser with any further documents, materials or information that the Sub-Adviser may reasonably request to enable it to perform its duties pursuant to this Agreement.
C. During the term of this Agreement, the Investment Adviser shall furnish to the Sub-Adviser at its principal office all prospectuses, proxy statements, reports to shareholders, sales documentationliterature, promotional, marketing, advertising and or other written, printed or electronic material or performance information or data prepared for distribution to shareholders of the Fund or the public, which include the Xxxx or refer to the Fund, Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser in any way, prior to a the use thereof which has not been previously approved by the Sub-Adviser. The Investment Adviser shall not use any such materials without the Sub-Adviser's prior written approvalthereof, which approval shall not be unreasonably withheld; and the Investment Adviser shall not use any such materials which do not include the Xxxx if the Sub-Adviser reasonably objects in writing within ten (10) fifteen business days (or such other time as may be mutually agreed upon) after the Sub-Adviser's receipt thereof.
Appears in 1 contract
Duties of the Investment Adviser. A. The Investment Adviser shall continue to have responsibility for all services to be provided to the Fund pursuant to the Advisory Agreement and shall oversee and review the Sub-Adviser's performance of its duties and services under this Agreement.
B. The Investment Adviser has furnished the Sub-Adviser with copies of each of the following documents and will furnish to the Sub-Adviser at its principal office all future amendments and supplements to such documents, if any, as soon as practicable after such documents become available:
(1) The Transamerica IDEX Declaration of Trust and By-Laws, as each is in effect on the date hereof and as amended from time to time;
(2) Certified resolutions of the Board authorizing the appointment of the Investment Adviser and the Sub-Adviser and approving this Agreement;
(3) The Transamerica IDEX Registration Statement under the 1940 Act and the Securities Act of 1933, on Form N-1A, as filed with the Securities and Exchange Commission ("SEC") relating to the Fund and its shares and all amendments thereto ("Registration Statement"); and
(4) A certified copy of any publicly available financial statement or report prepared for Transamerica IDEX by certified or independent public accountants, and copies of any financial statements or reports made by the Fund to its shareholders or to any governmental body or securities exchange. The Investment Adviser shall furnish the Sub-Adviser with any further documents, materials or information that the Sub-Adviser may reasonably request to enable it to perform its duties pursuant to this Agreement.
C. During the term of this Agreement, the Investment Adviser shall furnish to the Sub-Adviser at its principal office all prospectuses, proxy statements, reports to shareholders, sales documentation, promotional, marketing, advertising and other written, printed or electronic material or performance information or data prepared for distribution to shareholders of the Fund or the public, which include the Xxxx Mark or refer to the Fund, the Sub-Adviser or investment companies comxxxxes or other advisory accounts advised or sponsored by the Sub-Adviser in any way, prior to a use thereof which has not been previously approved by the Sub-Adviser. The Investment Adviser shall not use any such materials without the Sub-Adviser's prior written approval, which approval shall not be unreasonably withheld; and the Investment Adviser shall not use any such materials which do not include the Xxxx Mark if the Sub-Adviser reasonably objects in writing within ten (1000) business days (or such other time as may be mutually agreed upon) after the Sub-Adviser's receipt thereof.
D. The Investment Adviser will make best efforts ensure that all necessary country registrations will be opened promptly as requested and will be in place by the Funds' inception date so that the Sub-Adviser can invest the Funds' assets consistent with its investment strategy.
Appears in 1 contract
Samples: Sub Advisory Agreement (Transamerica Idex Mutual Funds)
Duties of the Investment Adviser. A. The Investment Adviser shall continue to have responsibility for all services to be provided to the Fund Portfolios pursuant to the Advisory Agreement and shall oversee and review the Sub-Adviser's performance of its duties and services under this Agreement.
B. The Investment Adviser has furnished the Sub-Adviser with copies of each of the following documents and will furnish to the Sub-Adviser at its principal office all future amendments and supplements to such documents, if any, as soon as practicable after such documents become available:
(1) The Transamerica IDEX Declaration Articles of Trust and By-LawsIncorporation of the Fund, as each is filed with the State of Maryland, as in effect on the date hereof and as amended from time to timetime ("Articles");
(2) The By-Laws of the Fund as in effect on the date hereof and as amended from time to time ("By-Laws");
(3) Certified resolutions of the Board of the Fund authorizing the appointment of the Investment Adviser and the Sub-Adviser and approving the form of the Advisory Agreement and this Agreement;
(34) The Transamerica IDEX Fund's Registration Statement under the 1940 Act and the Securities Act of 1933, as amended, on Form N-1A, as filed with the Securities and Exchange Commission ("SEC") relating to the Fund Portfolios and its shares and all amendments thereto ("Registration Statement");
(5) The Notification of Registration of the Fund under the 1940 Act on Form N-8A as filed with the SEC and any amendments thereto;
(6) The Portfolios' Prospectus (as defined above); and
(47) A certified copy of any publicly available financial statement or report prepared for Transamerica IDEX the Fund by certified or independent public accountants, and copies of any financial statements or reports made by the Fund Portfolios to its shareholders or to any governmental body or securities exchange. The Investment Adviser shall furnish the Sub-Adviser with any further documents, materials or information that the Sub-Adviser may reasonably request to enable it to perform its duties pursuant to this Agreement.
C. During the term of this Agreement, the Investment Adviser shall furnish to the Sub-Adviser at its principal office all prospectuses, proxy statements, reports to shareholders, sales documentationliterature, promotional, marketing, advertising and or other written, printed or electronic material or performance information or data prepared for distribution to shareholders of the Fund Portfolios or the public, which include the Xxxx or refer to the Fund, the Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser in any way, prior to a the use thereof which has not been previously approved by the Sub-Adviser. The Investment Adviser shall not use any such materials without the Sub-Adviser's prior written approvalthereof, which approval shall not be unreasonably withheld; and the Investment Adviser shall not use any such materials which do not include the Xxxx if the Sub-Adviser reasonably objects in writing within ten (10) fifteen business days (or such other time as may be mutually agreed uponagreed) after the Sub-Adviser's receipt thereof.
Appears in 1 contract
Duties of the Investment Adviser. A. The Investment Adviser shall continue to have responsibility for all services to be provided to the Fund Portfolio pursuant to the Advisory Agreement and shall oversee and review the Sub-Adviser's performance of its duties and services under this Agreement. Notwithstanding the Advisory Agreement, the Sub-Adviser has the authority to buy, sell, exchange, convert, lend, and otherwise trade in any stocks, bonds and other securities or assets on behalf of the Portfolio.
B. The Investment Adviser has furnished the Sub-Adviser with copies of each of the following documents and will furnish to the Sub-Adviser at its principal office all future amendments and supplements to such documents, if any, as soon as practicable after such documents become available:
(1) The Transamerica IDEX Declaration Articles of Trust and By-LawsIncorporation of the Fund, as each is filed with the State of Maryland, as in effect on the date hereof and as amended from time to timetime ("Articles"):
(2) The By-Laws of the Fund as in effect on the date hereof and as amended from time to time ("By-Laws");
(23) Certified resolutions of the Board of the Fund authorizing the appointment of the Investment Adviser and the Sub-Adviser and approving the form of the Advisory Agreement and this Agreement;
(34) The Transamerica IDEX Fund's Registration Statement under the 1940 Act and the Securities Act of 1933, as amended, on Form N-1A, as filed with the Securities and Exchange Commission ("SEC") relating to the Fund Portfolio and its shares and all amendments thereto ("Registration Statement"); and;
(45) The Notification of Registration of the Fund under the 1940 Act on Form N-8A as filed with the SEC and any amendments thereto;
(6) The Fund's Prospectus (as defined above);
(7) A certified copy of any publicly available financial statement or report prepared for Transamerica IDEX the Fund by certified or independent public accountants, and copies of any financial statements or reports made by the Fund Portfolio to its shareholders or to any governmental body or securities exchange; and
(8) The Investment Advisory Agreement. The Investment Adviser shall furnish the Sub-Adviser with any further documents, materials or information that the Sub-Adviser may reasonably request to enable it to perform its duties pursuant to this Agreement.
C. During the term of this Agreement, the Investment Adviser shall furnish to the Sub-Adviser at its principal office all prospectuses, proxy statements, reports to shareholders, sales documentationliterature, promotional, marketing, advertising and or other written, printed or electronic material or performance information or data prepared for distribution to shareholders of the Fund Portfolio or the public, which include the Xxxx or refer to the Fund, Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser in any way, at least 15 days prior to a the use thereof which has not been previously approved by the Sub-Adviser. The Investment Adviser shall not use any such materials without the Sub-Adviser's prior written approvalthereof, which approval shall not be unreasonably withheld; and the Investment Adviser shall not use any such materials which do not include the Xxxx if the Sub-Adviser reasonably objects in writing within ten (10) fifteen business days (or such other time as may be mutually agreed uponagreed) after the Sub-Adviser's receipt thereof. This Paragraph C shall survive the termination of this Agreement.
Appears in 1 contract
Duties of the Investment Adviser. A. The Investment Adviser shall continue to have responsibility for all services to be provided to the Fund pursuant to the Advisory Agreement and shall oversee and review the Sub-Adviser's performance of its duties and services under this Agreement.
B. The Investment Adviser has furnished the Sub-Adviser with copies of each of the following documents and will furnish to the Sub-Adviser at its principal office all future amendments and supplements to such documents, if any, as soon as practicable after such documents become available:
(1) The Transamerica IDEX Declaration of Trust and By-Laws, as each is in effect on the date hereof and as amended from time to time;
(2) Certified resolutions of the Board authorizing the appointment of the Investment Adviser and the Sub-Adviser and approving this Agreement;
(3) The Transamerica IDEX Registration Statement under the 1940 Act and the Securities Act of 1933, on Form N-1A, as filed with the Securities and Exchange Commission ("SEC") relating to the Fund and its shares and all amendments thereto ("Registration Statement"); and
(4) A certified copy of any publicly available financial statement or report prepared for Transamerica IDEX by certified or independent public accountants, and copies of any financial statements or reports made by the Fund to its shareholders or to any governmental body or securities exchange. The Investment Adviser shall furnish the Sub-Adviser with any further documents, materials or information that the Sub-Adviser may reasonably request to enable it to perform its duties pursuant to this Agreement.
C. During the term of this Agreement, the Investment Adviser shall furnish to the Sub-Adviser at its principal office all prospectuses, proxy statements, reports to shareholders, sales documentation, promotional, marketing, advertising and other written, printed or electronic material or performance information or data prepared for distribution to shareholders of the Fund or the public, which include the Xxxx Mark or refer to the Fund, the Sub-Adviser or investment companies comxxxxes or other advisory accounts advised or sponsored by the Sub-Adviser in any way, prior to a use thereof which has not been previously approved by the Sub-Adviser. The Investment Adviser shall not use any such materials without the Sub-Adviser's prior written approval, which approval shall not be unreasonably withheld; and the Investment Adviser shall not use any such materials which do not include the Xxxx Mark if the Sub-Adviser reasonably objects in writing within ten (1000) business days (or such other time as may be mutually agreed upon) after the Sub-Adviser's receipt thereof.
Appears in 1 contract
Samples: Sub Advisory Agreement (Transamerica Idex Mutual Funds)
Duties of the Investment Adviser. A. The Investment Adviser shall continue to have responsibility for all services to be provided to the Fund Portfolio pursuant to the Advisory Agreement and shall oversee and review the Sub-Adviser's performance of its duties and services under this Agreement.
B. The Investment Adviser has furnished the Sub-Adviser with copies of each of the following documents and will furnish to the Sub-Adviser at its principal office all future amendments and supplements to such documents, if any, as soon as practicable after such documents become available:
(1) The Transamerica IDEX Declaration Articles of Trust and By-LawsIncorporation of the Fund, as each is filed with the State of Maryland, as in effect on the date hereof and as amended from time to timetime ("Articles"):
(2) The By-Laws of the Fund as in effect on the date hereof and as amended from time to time ("By-Laws");
(23) Certified resolutions of the Board of the Fund authorizing the appointment of the Investment Adviser and the Sub-Adviser and approving the form of the Advisory Agreement and this Agreement;
(34) The Transamerica IDEX Fund's Registration Statement under the 1940 Act and the Securities Act of 1933, as amended, on Form N-1A, as filed with the Securities and Exchange Commission ("SEC") relating to the Fund Portfolio and its shares and all amendments thereto ("Registration Statement"); and;
(45) The Fund's Prospectus (as defined above);
(6) A certified copy of any publicly available financial statement or report prepared for Transamerica IDEX the Fund by certified or independent public accountants, and copies of any financial statements or reports made by the Fund Portfolio to its shareholders or to any governmental body or securities exchange;
(7) Notice of the Fund's custodian designated to hold assets in the Fund;
(8) A list of the countries approved by the Trustees in accordance with Rule 17f-5 in which Fund assets may be maintained and a list of those countries available immediately;
(9) Reports as to the composition of assets in the Fund, cash requirements and cash available for investment in the Fund;
(10) Copies of Investment Adviser's liquidity procedures, cross-trade procedures, repurchase agreement procedures, 10f-3, 17a-7 and 17e-1 procedures and other procedures that may affect the duties of Sub-Adviser;
(11) A list of "affiliates" of the Fund, as such term is used in the 1940 Act, including all broker-dealers affiliated with the Fund;
(12) Applicable Commodities Futures Trading Commission exemptions, notifications and/or related documentation;
(13) A list of established futures accounts; and
(14) An Internal Revenue Service Form W-9 completed by the Fund. The Investment Adviser shall furnish the Sub-Adviser with any further documents, materials or information that the Sub-Adviser may reasonably request to enable it to perform its duties pursuant to this Agreement.
C. During the term of this Agreement, the Investment Adviser shall furnish to the Sub-Adviser at its principal office all prospectuses, proxy statements, reports to shareholders, sales documentationliterature, promotional, marketing, advertising and or other written, printed or electronic material or performance information or data prepared for distribution to shareholders of the Fund Portfolio or the public, which include the Xxxx or refer to the Fund, the Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser in any way, prior to a the use thereof which has not been previously approved by the Sub-Adviser. The Investment Adviser shall not use any such materials without the Sub-Adviser's prior written approvalthereof, which approval shall not be unreasonably withheld; and the Investment Adviser shall not use any such materials which do not include the Xxxx if the Sub-Adviser reasonably objects in writing within ten (10) fifteen business days (or such other time as may be mutually agreed uponagreed) after the Sub-Adviser's receipt thereof.
D. Investment Adviser shall be responsible for providing such assistance in setting up and maintaining brokerage accounts and other accounts as Sub-Adviser reasonably requests to allow for the purchase or sale of various forms of securities pursuant to this Agreement.
Appears in 1 contract
Samples: Sub Advisory Agreement (Aegon/Transamerica Series Fund Inc)
Duties of the Investment Adviser. A. The Investment Adviser shall continue to have responsibility for all services to be provided to the Fund pursuant to the Advisory Agreement and shall oversee and review the Sub-Adviser's performance of its duties and services under this Agreement. Notwithstanding the Advisory Agreement, the Sub-Adviser has the authority to buy, sell, exchange, convert, lend, and otherwise trade in any stocks, bonds and other securities or assets on behalf of the Fund.
B. The Investment Adviser has furnished the Sub-Adviser with copies of each of the following documents and will furnish to the Sub-Adviser at its principal office all future amendments and supplements to such documents, if any, as soon as practicable after such documents become available:
(1) The Transamerica IDEX Restatement of Declaration of Trust and By-LawsTrust, as each is filed with the State of Massachusetts, as in effect on the date hereof and as amended from time to timetime ("Trust");
(2) The By-Laws of IDEX as in effect on the date hereof and as amended from time to time ("By-Laws");
(3) Certified resolutions of the Board of IDEX authorizing the appointment of the Investment Adviser and the Sub-Adviser and approving the form of the Advisory Agreement and this Agreement;
(34) The Transamerica IDEX Registration Statement under the 1940 Act and the Securities Act of 1933, as amended, on Form N-1A, as filed with the Securities and Exchange Commission ("SEC") relating to the Fund and its shares and all amendments thereto ("Registration Statement"); and;
(45) The IDEX Prospectus (as defined above);
(6) A certified copy of any publicly available financial statement or report prepared for Transamerica IDEX by certified or independent public accountants, and copies of any financial statements or reports made by the Fund to its shareholders or to any governmental body or securities exchange. ; and The Investment Adviser shall furnish the Sub-Adviser with any further documents, materials or information that the Sub-Adviser may reasonably request to enable it to perform its duties pursuant to this Agreement.
C. During the term of this Agreement, the Investment Adviser shall furnish to the Sub-Adviser at its principal office all prospectuses, proxy statements, reports to shareholders, sales documentationliterature, promotional, marketing, advertising and or other written, printed or electronic material or performance information or data prepared for distribution to shareholders of the Fund or the public, which include the Xxxx or refer to the Fund, the Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser in any way, prior to a the use thereof which has not been previously approved by the Sub-Adviser. The Investment Adviser shall not use any such materials without the Sub-Adviser's prior written approvalthereof, which approval shall not be unreasonably withheld; and the Investment Adviser shall not use any such materials which do not include the Xxxx if the Sub-Adviser reasonably objects in writing within ten (10) fifteen business days (or such other time as may be mutually agreed uponagreed) after the Sub-Adviser's receipt thereof.
Appears in 1 contract
Duties of the Investment Adviser. A. The Investment Adviser shall continue to have responsibility for all services to be provided to the Fund Portfolios pursuant to the Advisory Agreement and shall oversee and review the Co-Sub-Adviser's performance of its duties and services under this Agreement.
B. The Investment Adviser has furnished the Co-Sub-Adviser with copies of each of the following documents and will furnish to the Co-Sub-Adviser at its principal office all future amendments and supplements to such documents, if any, as soon as practicable after such documents become available:
(1) The Transamerica IDEX Declaration Articles of Trust and By-LawsIncorporation of the Fund, as each is filed with the State of Maryland, as in effect on the date hereof and as amended from time to timetime ("Articles"):
(2) The By-Laws of the Fund as in effect on the date hereof and as amended from time to time ("By-Laws");
(23) Certified resolutions of the Board of the Fund authorizing the appointment of the Investment Adviser and the Co-Sub-Adviser and approving the form of the Advisory Agreement and this Agreement;
(34) The Transamerica IDEX Fund's Registration Statement under the 1940 Act and the Securities Act of 1933, as amended, on Form N-1A, as filed with the Securities and Exchange Commission ("SEC") relating to the Fund Portfolios and its shares and all amendments thereto ("Registration Statement");
(5) The Notification of Registration of the Fund under the 1940 Act on Form N-8A as filed with the SEC and any amendments thereto:
(6) The Portfolios' Prospectus (as defined above); and
(47) A certified copy of any publicly available financial statement or report prepared for Transamerica IDEX the Fund by certified or independent public accountants, and copies of any financial statements or reports made by the Fund Portfolios to its shareholders or to any governmental body or securities exchange. The Investment Adviser shall furnish the Co-Sub-Adviser with any further documents, materials or information that the Co-Sub-Adviser may reasonably request to enable it to perform its duties pursuant to this Agreement.
C. During the term of this Agreement, the Investment Adviser shall furnish to the Co-Sub-Adviser at its principal office all prospectuses, proxy statements, reports to shareholders, sales documentationliterature, promotional, marketing, advertising and or other written, printed or electronic material or performance information or data prepared for distribution to shareholders of the Fund Portfolios or the public, which include the Xxxx or refer to the Fund, the Co-Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Co-Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Co-Sub-Adviser in any way, prior to a the use thereof which has not been previously approved by the Sub-Adviser. The Investment Adviser shall not use any such materials without the Sub-Adviser's prior written approvalthereof, which approval shall not be unreasonably withheld; and the Investment Adviser shall not use any such materials which do not include the Xxxx if the Co-Sub-Adviser reasonably objects in writing within ten (10) fifteen business days (or such other time as may be mutually agreed uponagreed) after the Sub-Adviser's receipt thereof.
Appears in 1 contract
Duties of the Investment Adviser. A. The Investment Adviser shall continue to have responsibility for all services to be provided to the Fund pursuant to the Advisory Agreement and shall oversee and review the Sub-Adviser's performance of its duties and services under this Agreement. For the avoidance of doubt, the Sub-Adviser shall not be responsible for providing the Fund with pricing information, including fair value pricing, for the Fund's investments. The Sub-Adviser will make available, upon the Adviser's reasonable request, a member of the Sub-adviser's investment team to provide commentary or information on specific investments, regions or markets that the Investment Adviser is reviewing for fair value pricing purposes.
B. The Investment Adviser has furnished the Sub-Adviser with copies of each of the following documents and will furnish to the Sub-Adviser at its principal office all future amendments and supplements to such documents, if any, as soon as practicable after such documents become available:
(1) The Transamerica IDEX Declaration of Trust and By-Laws, as each is in effect on the date hereof and as amended from time to time;
(2) Certified resolutions of the Board authorizing the appointment of the Investment Adviser and the Sub-Adviser and approving the Advisory Agreement and this Agreement;
(3) The Transamerica IDEX Registration Statement under the 1940 Act and the Securities Act of 1933, as amended, on Form N-1A, as filed with the Securities and Exchange Commission ("SEC") relating to the Fund and its shares and all amendments thereto ("Registration Statement"); and;
(4) A certified copy of any publicly available financial statement or report prepared for Transamerica IDEX by certified or independent public accountants, and copies of any financial statements or reports made by the Fund to its shareholders or to any governmental body or securities exchange; and
(5) The Investment Adviser's Form ADV; provided, however, that the Investment Adviser agrees to provide written notification to the Sub-Adviser of any amendments, modifications or supplements to any such above-mentioned documents that would have any material effect on the Sub-Adviser's duties and obligations under this Agreement, which notification shall be provided a reasonable time prior to the effectiveness of such amendments, modifications or supplements, to the extent practical. The Investment Adviser shall furnish the Sub-Adviser with any further documents, materials or information that the Sub-Adviser may reasonably request to enable it to perform its duties pursuant to this Agreement, including such documents, materials or information that the Sub-Adviser deems necessary in order to complete an annual due diligence of the Investment Adviser, Transamerica IDEX and the Fund.
C. During the term of this Agreement, the Investment Adviser shall furnish to the Sub-Adviser at its principal office all prospectuses, proxy statements, reports to shareholders, sales documentation, promotional, marketing, advertising and other written, printed or electronic material or performance information or data prepared for distribution to shareholders of the Fund or the public, which include the Xxxx Mark or refer to the Fund, the SubXxx-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser in any way, prior to a use thereof which has not been previously approved by the Sub-Adviser. The Investment Adviser shall not use any such materials without the Sub-Adviser's prior written approval, which approval shall not be unreasonably withheld; and the Investment Adviser shall not use any such materials which do not include the Xxxx Mark if the Sub-Adviser reasonably reasonaxxx objects in writing within ten (10) business days (or such other time as may be mutually agreed upon) after the Sub-Adviser's receipt thereof.
D. The Investment Adviser shall provide the Sub-Adviser with a list, in writing, of all affiliated persons (as such term is defined in the 1940 Act) and all affiliated pexxxxx xx such affiliated persons and shall provide the Sub-Adviser with prompt notice, in writing, of all changes to such list.
Appears in 1 contract
Samples: Investment Sub Advisory Agreement (Transamerica Idex Mutual Funds)
Duties of the Investment Adviser. A. The Investment Adviser shall continue to have responsibility for all services to be provided to the Fund Portfolios pursuant to the Advisory Agreement and shall oversee and review the Sub-Adviser's performance of its duties and services under this Agreement.
B. The Investment Adviser has furnished the Sub-Adviser with copies of each of the following documents and will furnish to the Sub-Adviser at its principal office all future amendments and supplements to such documents, if any, as soon as practicable after such documents become availableavailable and, when possible, before such amendments or supplements become effective:
(1) The Transamerica IDEX Declaration Articles of Trust and By-LawsIncorporation of the Fund, as each is filed with the State of Maryland, as in effect on the date hereof and as amended from time to timetime ("Articles"):
(2) The By-Laws of the Fund as in effect on the date hereof and as amended from time to time ("By-Laws");
(23) Certified resolutions of the Board of the Fund authorizing the appointment of the Investment Adviser and the Sub-Adviser and approving the form of the Advisory Agreement and this Agreement and any other resolutions of the Board applicable to the Sub-Adviser's duties under this Agreement;
(34) The Transamerica IDEX Fund's Registration Statement under the 1940 Act and the Securities Act of 1933, as amended, on Form N-1A, as filed with the Securities and Exchange Commission ("SEC") relating to the Fund Portfolios and its shares and all amendments thereto ("Registration Statement");
(5) The Notification of Registration of the Fund under the 1940 Act on Form N-8A as filed with the SEC and any amendments thereto:
(6) The Fund's Prospectus (as defined above) and Statement of Additional Information; and
(47) A certified copy of any publicly available financial statement or report prepared for Transamerica IDEX the Fund by certified or independent public accountants, and copies of any financial statements or reports made by the Fund Portfolios to its shareholders or to any governmental body or securities exchange. The Investment Adviser shall furnish the Sub-Adviser with any further documents, materials or information that the Sub-Adviser may reasonably request to enable it to perform its duties pursuant to this Agreement.
C. Under the direction of Sub-Adviser, Investment Adviser shall be responsible for setting up and maintaining brokerage accounts and other accounts Sub-Adviser deems advisable to allow for the purchase or sale of various forms of securities pursuant to this Agreement, or shall take such actions as Sub-Adviser deems necessary or advisable to enable Sub-Adviser to establish such accounts on behalf of the Fund.
D. During the term of this Agreement, the Investment Adviser shall furnish to the Sub-Adviser at its principal office all prospectuses, proxy statements, reports to shareholders, sales documentationliterature, promotional, marketing, advertising and or other written, printed or electronic material or performance information or data prepared by the Investment Adviser for distribution to shareholders of the Fund Portfolios or the public, which include the Xxxx or refer to the Fund, Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser in any way, prior to a the use thereof which has not been previously approved by the Sub-Adviser. The Investment Adviser shall not use any such materials without the Sub-Adviser's prior written approvalthereof, which approval shall not be unreasonably withheld; and the Investment Adviser shall not use any such materials which do not include the Xxxx if the Sub-Adviser reasonably objects in writing within ten (10) fifteen business days (or such other time as may be mutually agreed uponagreed) after the Sub-Adviser's receipt thereof.
Appears in 1 contract
Duties of the Investment Adviser. A. The Investment Adviser shall continue to have responsibility for all services to be provided to the Fund Portfolios pursuant to the Advisory Agreement and shall oversee and review the Co-Sub-Adviser's performance of its duties and services under this Agreement.
B. The Investment Adviser has furnished the Co-Sub-Adviser with copies of each of the following documents and will furnish to the Co-Sub-Adviser at its principal office all future amendments and supplements to such documents, if any, as soon as practicable after such documents become available:
(1) The Transamerica IDEX Declaration Articles of Trust and By-LawsIncorporation of the Fund, as each is filed with the State of Maryland, as in effect on the date hereof and as amended from time to timetime ("Articles");
(2) The By-Laws of the Fund as in effect on the date hereof and as amended from time to time ("By-Laws");
(3) Certified resolutions of the Board of the Fund authorizing the appointment of the Investment Adviser and the Co-Sub-Adviser and approving the form of the Advisory Agreement and this Agreement;
(34) The Transamerica IDEX Fund's Registration Statement under the 1940 Act and the Securities Act of 1933, as amended, on Form N-1A, as filed with the Securities and Exchange Commission ("SEC") relating to the Fund Portfolios and its shares and all amendments thereto ("Registration Statement");
(5) The Notification of Registration of the Fund under the 1940 Act on Form N-8A as filed with the SEC and any amendments thereto;
(6) The Portfolios' Prospectus (as defined above); and
(47) A certified copy of any publicly available financial statement or report prepared for Transamerica IDEX the Fund by certified or independent public accountants, and copies of any financial statements or reports made by the Fund Portfolios to its shareholders or to any governmental body or securities exchange. The Investment Adviser shall furnish the Co-Sub-Adviser with any further documents, materials or information that the Co-Sub-Adviser may reasonably request to enable it to perform its duties pursuant to this Agreement.
C. During the term of this Agreement, the Investment Adviser shall furnish to the Co-Sub-Adviser at its principal office all prospectuses, proxy statements, reports to shareholders, sales documentationliterature, promotional, marketing, advertising and or other written, printed or electronic material or performance information or data prepared for distribution to shareholders of the Fund Portfolios or the public, which include the Xxxx or refer to the Fund, the Co-Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Co-Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Co-Sub-Adviser in any way, prior to a the use thereof which has not been previously approved by the Sub-Adviser. The Investment Adviser shall not use any such materials without the Sub-Adviser's prior written approvalthereof, which approval shall not be unreasonably withheld; and the Investment Adviser shall not use any such materials which do not include the Xxxx if the Co-Sub-Adviser reasonably objects in writing within ten (10) fifteen business days (or such other time as may be mutually agreed uponagreed) after the Sub-Adviser's receipt thereof.
Appears in 1 contract
Duties of the Investment Adviser. A. The Investment Adviser shall continue to have responsibility for all services to be provided to the Fund Portfolios pursuant to the Advisory Agreement and shall oversee and review the Sub-Adviser's performance of its duties and services under this Agreement.
B. The Investment Adviser has furnished the Sub-Adviser with copies of each of the following documents and will furnish to the Sub-Adviser at its principal office all future amendments and supplements to such documents, if any, as soon as practicable after such documents become availableavailable and, when possible, before such amendments or supplements become effective:
(1) The Transamerica IDEX Declaration Articles of Trust and By-LawsIncorporation of the Fund, as each is filed with the State of Maryland, as in effect on the date hereof and as amended from time to timetime ("Articles"):
(2) The By-Laws of the Fund as in effect on the date hereof and as amended from time to time ("By-Laws");
(23) Certified resolutions of the Board of the Fund authorizing the appointment of the Investment Adviser and the Sub-Adviser and approving the form of the Advisory Agreement and this Agreement and any other resolutions of the Board applicable to the Sub-Adviser's duties under this Agreement;
(34) The Transamerica IDEX Fund's Registration Statement under the 1940 Act and the Securities Act of 1933, as amended, on Form N-1A, as filed with the Securities and Exchange Commission ("SEC") relating to the Fund Portfolios and its shares and all amendments thereto ("Registration Statement");
(5) The Notification of Registration of the Fund under the 1940 Act on Form N-8A as filed with the SEC and any amendments thereto:
(6) The Fund's Prospectus (as defined above) and Statement of Additional Information; and
(47) A certified copy of any publicly available financial statement or report prepared for Transamerica IDEX the Fund by certified or independent public accountants, and copies of any financial statements or reports made by the Fund Portfolios to its shareholders or to any governmental body or securities exchange. The Investment Adviser shall furnish the Sub-Adviser with any further documents, materials or information that the Sub-Adviser may reasonably request to enable it to perform its duties pursuant to this Agreement.
C. Under the direction of Sub-Adviser, Investment Adviser shall be responsible for setting up and maintaining brokerage accounts and other accounts Sub-Adviser deems advisable to allow for the purchase or sale of various forms of securities pursuant to this Agreement, or shall take such actions as Sub-Adviser deems necessary or advisable to enable Sub-Adviser to establish such accounts on behalf of the Fund.
D. During the term of this Agreement, the Investment Adviser shall furnish to the Sub-Adviser at its principal office all prospectuses, proxy statements, reports to shareholders, sales documentationliterature, promotionalor other material prepared by the Investment Adviser, marketingor on its behalf, advertising and other written, printed or electronic material or performance information or data prepared for distribution to shareholders of the Fund Portfolios or the public, which include the Xxxx or refer to the Fund, Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser in any way, prior to a the use thereof which has not been previously approved by the Sub-Adviser. The Investment Adviser shall not use any such materials without the Sub-Adviser's prior written approvalthereof, which approval shall not be unreasonably withheld; and the Investment Adviser shall not use any such materials which do not include the Xxxx if the Sub-Adviser reasonably objects in writing within ten (10) fifteen business days (or such other time as may be mutually agreed uponagreed) after the Sub-Adviser's receipt thereof.
Appears in 1 contract
Duties of the Investment Adviser. A. The Investment Adviser shall continue to have responsibility for all services to be provided to the Fund pursuant to the Advisory Agreement and shall oversee and review the Sub-Adviser's ’s performance of its duties and services under this Agreement.
B. The Investment Adviser has furnished the Sub-Adviser with copies of each of the following documents and will furnish to the Sub-Adviser at its principal office all future amendments and supplements to such documents, if any, as soon as practicable after such documents become available:
(1) The Transamerica IDEX Declaration of Trust and By-Lawsthe Trust, as each is filed with the Secretary of State, as in effect on the date hereof and as amended from time to time;
(2) Certified resolutions The By-Laws of the Board authorizing Trust as in effect on the appointment of the Investment Adviser date hereof and the Subas amended from time to time (“By-Adviser and approving this Agreement;Laws”); and
(3) The Transamerica IDEX Trust’s Registration Statement under the 1940 Act and the Securities Act of 1933, as amended, on Form N-1A, as filed with the Securities and Exchange Commission ("“SEC"”) relating to the Fund and its shares and all amendments thereto ("“Registration Statement"”); and
(4) A certified copy of any publicly available financial statement or report prepared for Transamerica IDEX by certified or independent public accountants, and copies of any financial statements or reports made by the Fund to its shareholders or to any governmental body or securities exchange. The Investment Adviser shall furnish the Sub-Adviser with any further documents, materials or information that the Sub-Adviser may reasonably request to enable it to perform its duties pursuant to this Agreement.
C. During the term of this Agreement, the Investment Adviser shall furnish to the Sub-Adviser at its principal office all prospectuses, proxy statements, reports to shareholders, sales documentationliterature, promotional, marketing, advertising and or other written, printed or electronic material or performance information or data prepared for distribution to shareholders of the Fund or the public, which include the Xxxx or refer to the Fund, the Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser its clients in any way, prior to a the use thereof which has not been previously approved by the Sub-Adviser. The Investment Adviser shall not use any such materials without the Sub-Adviser's prior written approvalthereof, which approval shall not be unreasonably withheld; and the Investment Adviser shall not use any such materials which do not include the Xxxx if the Sub-Adviser reasonably objects in writing within ten (10) five business days (or such other time as may be mutually agreed uponagreed) after receipt thereof. The Investment Adviser shall ensure that materials prepared by employees or agents of the Investment Adviser or its affiliates that refer to the Sub-Adviser's receipt thereofAdviser or its clients in any way are consistent with those materials previously approved by the Sub-Adviser as referenced in the preceding sentence.
Appears in 1 contract
Samples: Investment Sub Advisory Agreement (Guggenheim Funds Trust)
Duties of the Investment Adviser. A. The Investment Adviser shall continue to have responsibility for all services to be provided to the Fund pursuant to the Advisory Agreement and shall oversee and review the Sub-Adviser's performance of its duties and services under this Agreement.
B. The Investment Adviser has furnished the Sub-Adviser with copies of each of the following documents and will furnish to the Sub-Adviser at its principal office all future amendments and supplements to such documentsdocuments on an on-going basis, if any, as soon as practicable after such documents become available:
(1) The Transamerica IDEX Declaration of Trust and By-Laws, as each is in effect on the date hereof and as amended from time to time;
(2) Certified resolutions of the Board authorizing the appointment of the Investment Adviser and the Sub-Adviser and approving this Agreement;
(3) The Transamerica IDEX Registration Statement under the 1940 Act and the Securities Act of 1933, on Form N-1A, as filed with the Securities and Exchange Commission ("SEC") relating to the Fund and its shares and all amendments thereto ("Registration Statement"); and;
(4) A certified copy of any publicly available financial statement or report prepared for Transamerica IDEX by certified or independent public accountants, and copies of any financial statements or reports made by the Fund to its shareholders or to any governmental body or securities exchange;
(5) Copies of all policies and procedures adopted by the Investment Adviser and/or the Board applicable to the Sub-Adviser and its duties hereunder and any amendments thereto; and
(6) A list of all publicly traded affiliates of the Investment Adviser which may not be purchased by the Fund (such list shall include security name, cusip number, sedol and/or applicable ticker) and a list of all brokers and underwriters affiliated with the Investment Adviser for reporting transactions under applicable provisions of the 1940 Act. The Investment Adviser shall furnish the Sub-Adviser with any further documents, materials or information that the Sub-Adviser may reasonably request to enable it to perform its duties pursuant to this Agreement. All such information referenced in this Section 5 shall be conveyed to the Sub-Adviser in a timely manner so as to permit the Sub-Adviser to take such actions as may be required in an orderly fashion. Until the Investment Adviser, the Fund, or the Board delivers any document regarding the management of the Fund or the Sub-Adviser's duties hereunder, including, but not limited to, the Registration Statement, the Prospectus, Trust, By-Laws, or Fund policies and procedures, the Sub-Adviser shall not be liable and shall be fully protected in relying on any previously delivered document sent by the Investment Adviser, the Fund, or the Board to the Sub-Adviser.
C. During the term of this Agreement, the Investment Adviser shall furnish to the Sub-Adviser at its principal office all prospectuses, proxy statements, reports to shareholders, sales documentation, promotional, marketing, advertising and other written, printed or electronic material or performance information or data prepared for distribution to shareholders of the Fund or the public, which include the Xxxx or refer to the Fund, the Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser in any way, prior to a use thereof which has not been previously approved by the Sub-Adviserthereof. The Investment Adviser shall not use any such materials without the Sub-Adviser's prior written approval, which approval shall not be unreasonably withheld; and the Investment Adviser shall not use any such materials which do not include the Xxxx if the Sub-Adviser reasonably objects in writing within ten (10) business days (or such other time as may be mutually agreed upon) after the Sub-Adviser's receipt thereof.
Appears in 1 contract
Samples: Investment Sub Advisory Agreement (Transamerica Idex Mutual Funds)
Duties of the Investment Adviser. A. The Investment Adviser shall continue to have responsibility for all services to be provided to the Fund Portfolio pursuant to the Advisory Agreement and shall oversee and review the Sub-Adviser's performance of its duties and services under this Agreement.
B. The Investment Adviser has furnished the Sub-Adviser with copies of each of the following documents and will furnish to the Sub-Adviser at its principal office all future amendments and supplements to such documentsdocuments on an on-going basis, if any, as soon as practicable after such documents become available:
(1) The Transamerica IDEX ATST Declaration of Trust and By-Laws, as each is in effect on the date hereof and as amended from time to time;
(2) Certified resolutions of the Board authorizing the appointment of the Investment Adviser and the Sub-Adviser and approving this Agreement;
(3) The Transamerica IDEX ATST Registration Statement under the 1940 Act and the Securities Act of 1933, on Form N-1A, as filed with the Securities and Exchange Commission ("SEC") relating to the Fund Portfolio and its shares and all amendments thereto ("Registration Statement"); and;
(4) A certified copy of any publicly available financial statement or report prepared for Transamerica IDEX ATST by certified or independent public accountants, and copies of any financial statements or reports made by the Fund Portfolio to its shareholders or to any governmental body or securities exchange.
(5) Copies of all policies and procedures adopted by the Investment Adviser and/or the Board applicable to the Sub-Adviser and its duties hereunder and any amendments thereto; and
(6) A list of all publicly traded affiliates of the Investment Adviser which may not be purchased by the Portfolio (such list shall include security name, cusip number, sedol and/or applicable ticker) and a list of all brokers and underwriters affiliated with the Investment Adviser for reporting transactions under applicable provisions of the 1940 Act. The Investment Adviser shall furnish the Sub-Adviser with any further documents, materials or information that the Sub-Adviser may reasonably request to enable it to perform its duties pursuant to this Agreement. All such information referenced in this Section 5 shall be conveyed to the Sub-Adviser in a timely manner so as to permit the Sub-Adviser to take such actions as may be required in an orderly fashion. Until the Investment Adviser, the Portfolio, or the Board delivers any document regarding the management of the Portfolio or the Sub-Adviser's duties hereunder, including, but not limited to, the Registration Statement, the Prospectus, Trust, By-Laws, or Portfolio policies and procedures, the Sub-Adviser shall not be liable and shall be fully protected in relying on any previously delivered document sent by the Investment Adviser, the Portfolio, or the Board to the Sub-Adviser.
C. During the term of this Agreement, the Investment Adviser shall furnish to the Sub-Adviser at its principal office all prospectuses, proxy statements, reports to shareholders, sales documentation, promotional, marketing, advertising and other written, printed or electronic material or performance information or data prepared for distribution to shareholders of the Fund Portfolio or the public, which include the Xxxx or refer to the FundPortfolio, the Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser in any way, prior to a use thereof which has not been previously approved by the Sub-Adviserthereof. The Investment Adviser shall not use any such materials without the Sub-Adviser's prior written approval, which approval shall not be unreasonably withheld; and the Investment Adviser shall not use any such materials which do not include the Xxxx if the Sub-Adviser reasonably objects in writing within ten (10) business days (or such other time as may be mutually agreed upon) after the Sub-Adviser's receipt thereof.
Appears in 1 contract
Samples: Sub Advisory Agreement (Aegon/Transamerica Series Trust)
Duties of the Investment Adviser. A. The Investment Adviser shall continue to have responsibility for all services to be provided to the Fund Portfolio pursuant to the Advisory Agreement and shall oversee and review the Sub-Adviser's performance of its duties and services under this Agreement. Notwithstanding the Advisory Agreement, the Sub-Adviser has the authority to buy, sell, exchange, convert, lend, and otherwise trade in any stocks, bonds and other securities or assets on behalf of the Portfolio.
B. The Investment Adviser has furnished the Sub-Adviser with copies of each of the following documents and will furnish to the Sub-Adviser at its principal office all future amendments and supplements to such documents, if any, as soon as practicable after such documents become available:
(1) The Transamerica IDEX Declaration of Trust and By-Laws, Fund's Prospectus (as each is in effect on the date hereof and as amended from time to time;
(2) Certified resolutions of the Board authorizing the appointment of the Investment Adviser and the Sub-Adviser and approving this Agreement;
(3) The Transamerica IDEX Registration Statement under the 1940 Act and the Securities Act of 1933, on Form N-1A, as filed with the Securities and Exchange Commission ("SEC") relating to the Fund and its shares and all amendments thereto ("Registration Statement"defined above); and
(42) A certified copy of any publicly available financial statement or report prepared for Transamerica IDEX by certified or independent public accountants, Advisory and copies of any financial statements or reports made by the Fund to its shareholders or to any governmental body or securities exchangeSub-Advisory Agreements. The Investment Adviser shall furnish the Sub-Adviser with any further documents, materials or information that the Sub-Adviser may reasonably request to enable it to perform its duties pursuant to this Agreement.
C. During the term of this Agreement, the Investment Adviser shall furnish to the Sub-Adviser at its principal office all prospectuses, proxy statements, reports to shareholders, sales documentationliterature, promotional, marketing, advertising and or other written, printed or electronic material or performance information or data prepared for distribution to shareholders of the Fund Portfolio or the public, which include the Xxxx or refer to the Fund, Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser in any way, prior to a the use thereof which has not been previously approved by the Sub-Adviser. The Investment Adviser shall not use any such materials without the Sub-Adviser's prior written approvalthereof, which approval shall not be unreasonably withheld; and the Investment Adviser shall not use any such materials which do not include the Xxxx if the Sub-Adviser reasonably objects in writing within ten (10) fifteen business days (or such other time as may be mutually agreed uponagreed) after the Sub-Adviser's receipt thereof.
Appears in 1 contract
Samples: Sub Advisory Agreement (Aegon/Transamerica Series Fund Inc)
Duties of the Investment Adviser. A. The Investment Adviser shall continue to have responsibility for all services to be provided to the Fund portfolio pursuant to the Advisory Agreement and shall oversee and review the Sub-Adviser's performance of its duties and services under this Agreement. Notwithstanding the Investment Advisory Agreement, the Sub-Adviser has the authority to buy, sell, exchange, convert, lend, and otherwise trade in any stocks, bonds and other securities or assets on behalf of the portfolio.
B. The Investment Adviser has furnished the Sub-Adviser with copies of each of the following documents and will furnish to the Sub-Adviser at its principal office all future amendments and supplements to such documents, if any, as soon as practicable after such documents become available:
(1) The Transamerica IDEX Declaration Articles of Trust and By-LawsIncorporation of the Fund, as each is filed with the State of Maryland, as in effect on the date hereof and as amended from time to timetime ("Articles"):
(2) The By-Laws of the Fund as in effect on the date hereof and as amended from time to time ("By-Laws");
(23) Certified resolutions of the Board of the Fund authorizing the appointment of the Investment Adviser and the Sub-Adviser and approving the form of the Advisory Agreement and this Agreement;
(34) The Transamerica IDEX Fund's Registration Statement under the 1940 Act and the Securities Act of 1933, as amended, on Form N-1A, as filed with the Securities and Exchange Commission ("SEC") relating to the Fund portfolio and its shares and all amendments thereto ("Registration Statement");
(5) The Notification of Registration of the Fund under the 1940 Act on Form N-8A as filed with the SEC and any amendments thereto:
(6) The Fund's Prospectus (as defined above); and
(47) A certified copy of any publicly available financial statement or report prepared for Transamerica IDEX the Fund by certified or independent public accountants, and copies of any financial statements or reports made by the Fund portfolio to its shareholders or to any governmental body or securities exchange. The Investment Adviser shall furnish the Sub-Adviser with any further documents, materials or information that the Sub-Adviser may reasonably request to enable it to perform its duties pursuant to this Agreement.
C. During the term of this Agreement, the Investment Adviser shall furnish to the Sub-Adviser at its principal office all prospectuses, proxy statements, reports to shareholders, sales documentationliterature, promotional, marketing, advertising and or other written, printed or electronic material or performance information or data prepared for distribution to shareholders of the Fund portfolio or the public, which include the Xxxx or refer to the Fund, Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser in any way, prior to a the use thereof which has not been previously approved by the Sub-Adviser. The Investment Adviser shall not use any such materials without the Sub-Adviser's prior written approvalthereof, which approval shall not be unreasonably withheld; and the Investment Adviser shall not use any such materials which do not include the Xxxx if the Sub-Adviser reasonably objects in writing within ten (10) fifteen business days (or such other time as may be mutually agreed uponagreed) after the Sub-Adviser's receipt thereof.
Appears in 1 contract
Duties of the Investment Adviser. A. The Investment Adviser shall continue to have responsibility for all services to be provided to the Fund pursuant to the Advisory Agreement and shall oversee and review the Sub-Adviser's ’s performance of its duties and services under this Agreement.
B. The Investment Adviser has furnished the Sub-Adviser with copies of each of the following documents and will furnish to the Sub-Adviser at its principal office all future amendments and supplements to such documents, if any, as soon as practicable after such documents become available:
(1) The Transamerica IDEX Restatement of Declaration of Trust and By-LawsTrust, as each is filed with the State of Massachusetts, as in effect on the date hereof and as amended from time to timetime (“Trust”);
(2) The By-Laws of IDEX as in effect on the date hereof and as amended from time to time (“By-Laws”);
(3) Certified resolutions of the Board of IDEX authorizing the appointment of the Investment Adviser and the Sub-Adviser and approving the form of the Advisory Agreement and this Agreement;
(34) The Transamerica IDEX Registration Statement under the 1940 Act and the Securities Act of 1933, as amended, on Form N-1A, as filed with the Securities and Exchange Commission ("“SEC"”) relating to the Fund and its shares and all amendments thereto ("“Registration Statement"”);
(5) The Notification of Registration of IDEX under the 1940 Act on Form N-8A as filed with the SEC and any amendments thereto;
(6) The IDEX Prospectus (as defined above); and
(47) A certified copy of any publicly available financial statement or report prepared for Transamerica IDEX by certified or independent public accountants, and copies of any financial statements or reports made by the Fund to its shareholders or to any governmental body or securities exchange. The Investment Adviser shall furnish the Sub-Adviser with any further documents, materials or information that the Sub-Adviser may reasonably request to enable it to perform its duties pursuant to this Agreement.
C. During the term of this Agreement, the Investment Adviser shall furnish to the Sub-Adviser at its principal office all prospectuses, proxy statements, reports to shareholders, sales documentationliterature, promotional, marketing, advertising and or other written, printed or electronic material or performance information or data prepared for distribution to shareholders of the Fund or the public, which include the Xxxx or refer to the Fund, Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser in any way, prior to a the use thereof which has not been previously approved by the Sub-Adviser. The Investment Adviser shall not use any such materials without the Sub-Adviser's prior written approvalthereof, which approval shall not be unreasonably withheld; and the Investment Adviser shall not use any such materials which do not include the Xxxx if the Sub-Adviser reasonably objects in writing within ten (10) fifteen business days (or such other time as may be mutually agreed uponagreed) after the Sub-Adviser's receipt thereof.
Appears in 1 contract
Duties of the Investment Adviser. A. The Investment Adviser shall continue to have responsibility for all services to be provided to the Fund Portfolio pursuant to the Advisory Agreement and shall oversee and review the Sub-Adviser's ’s performance of its duties and services under this Agreement. The Investment Adviser shall be responsible for ensuring the Portfolio qualifies at all times for the exemption set out in Section 12(d)(1)(F) of the 1940 Act.
B. The Investment Adviser has furnished the Sub-Adviser with copies of each of the following documents and will furnish to the Sub-Adviser at its principal office all future amendments and supplements to such documents, if any, as soon as practicable after such documents become available:
(1) The Transamerica IDEX TST Declaration of Trust and By-Laws, as each is in effect on the date hereof and as amended from time to time;
(2) Certified resolutions of the Board authorizing the appointment of the Investment Adviser and the Sub-Adviser and approving this Agreement;
(3) The Transamerica IDEX TST Registration Statement under the 1940 Act and the Securities Act of 1933, on Form N-1A, as filed with the Securities and Exchange Commission ("“SEC"”) relating to the Fund Portfolio and its shares and all amendments thereto and prospectus and/or statement of additional information supplements ("“Registration Statement"”); and
(4) A certified copy of any publicly available financial statement or report prepared for Transamerica IDEX TST by certified or independent public accountants, and copies of any financial statements or reports made by the Fund a Portfolio to its shareholders or to any governmental body or securities exchange. The Investment Adviser shall furnish the Sub-Adviser with any further documents, materials or information that the Sub-Adviser may reasonably request to enable it to perform its duties pursuant to this Agreement.
C. During the term of this Agreement, the Investment Adviser shall furnish to the Sub-Adviser at its principal office all prospectuses, proxy statements, reports to shareholders, sales documentation, promotional, marketing, advertising and other written, printed or electronic material or performance information or data prepared for distribution to shareholders of the Fund Portfolio or the public, which include the Xxxx or refer to the FundPortfolio, the Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser in any way, prior to a use thereof which has not been previously approved by the Sub-Adviser. The Investment Adviser shall not use any such materials without the Sub-Adviser's ’s prior written approval, which approval shall not be unreasonably withheld; and the Investment Adviser shall not use any such materials which do not include the Xxxx if the Sub-Adviser reasonably objects in writing within ten (10) business days (or such other time as may be mutually agreed upon) after the Sub-Adviser's ’s receipt thereof.
Appears in 1 contract
Duties of the Investment Adviser. A. The Investment Adviser shall continue to have responsibility for all services to be provided to the Fund Portfolio pursuant to the Advisory Agreement and shall oversee and review the Sub-Adviser's performance of its duties and services under this Agreement. Notwithstanding the Advisory Agreement, the Sub-Adviser has the authority to buy, sell, exchange, convert, lend, and otherwise trade in any stocks, bonds and other securities or assets on behalf of the Portfolio.
B. The Investment Adviser has furnished the Sub-Adviser with copies of each of the following documents and will furnish to the Sub-Adviser at its principal office all future amendments and supplements to such documents, if any, as soon as practicable after such documents become available:
(1) The Transamerica IDEX Declaration Articles of Trust and By-LawsIncorporation of the Fund, as each is filed with the State of Maryland, as in effect on the date hereof and as amended from time to timetime ("Articles"):
(2) The By-Laws of the Fund as in effect on the date hereof and as amended from time to time ("By-Laws");
(23) Certified resolutions of the Board of the Fund authorizing the appointment of the Investment Adviser and the Sub-Adviser and approving the form of the Advisory Agreement and this Agreement;
(34) The Transamerica IDEX Fund's Registration Statement under the 1940 Act and the Securities Act of 1933, as amended, on Form N-1A, as filed with the Securities and Exchange Commission ("SEC") relating to the Fund Portfolio and its shares and all amendments thereto ("Registration Statement");
(5) The Notification of Registration of the Fund under the 1940 Act on Form N-8A as filed with the SEC and any amendments thereto:
(6) The Fund's Prospectus (as defined above); and
(47) A certified copy of any publicly available financial statement or report prepared for Transamerica IDEX the Fund by certified or independent public accountants, and copies of any financial statements or reports made by the Fund Portfolio to its shareholders or to any governmental body or securities exchange. The Investment Adviser shall furnish the Sub-Adviser with any further documents, materials or information that the Sub-Adviser may reasonably request to enable it to perform its duties pursuant to this Agreement.
C. During the term of this Agreement, the Investment Adviser shall furnish to the Sub-Adviser at its principal office all prospectuses, proxy statements, reports to shareholders, sales documentationliterature, promotional, marketing, advertising and or other written, printed or electronic material or performance information or data prepared for distribution to shareholders of the Fund Portfolio or the public, which include the Xxxx or refer to the Fund, Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser in any way, prior to a the use thereof which has not been previously approved by the Sub-Adviser. The Investment Adviser shall not use any such materials without the Sub-Adviser's prior written approvalthereof, which approval shall not be unreasonably withheld; and the Investment Adviser shall not use any such materials which do not include the Xxxx if the Sub-Adviser reasonably objects in writing within ten (10) fifteen business days (or such other time as may be mutually agreed uponagreed) after the Sub-Adviser's receipt thereof.
Appears in 1 contract
Samples: Sub Advisory Agreement (Aegon/Transamerica Series Fund Inc)
Duties of the Investment Adviser. A. The Investment Adviser shall continue to have responsibility for all services to be provided to the Fund Portfolio pursuant to the Advisory Agreement and shall oversee and review the Sub-Adviser's performance of its duties and services under this Agreement. Notwithstanding the Advisory Agreement, the Sub-Adviser has the authority to buy, sell, exchange, convert, lend, and otherwise trade in any stocks, bonds and other securities or assets on behalf of the Portfolio.
B. The Investment Adviser has furnished the Sub-Adviser with copies of each of the following documents and will furnish to the Sub-Adviser at its principal office all future amendments and supplements to such documents, if any, as soon as practicable after such documents become available:
(1) The Transamerica IDEX Declaration ATSF Articles of Trust and By-LawsIncorporation, as each is filed with the State of Maryland, as in effect on the date hereof and as amended from time to timetime ("Articles");
(2) The By-Laws of ATSF as in effect on the date hereof and as amended from time to time ("By-Laws");
(3) Certified resolutions of the Board of ATSF authorizing the appointment of the Investment Adviser and the Sub-Adviser and approving the form of the Advisory Agreement and this Agreement;
(34) The Transamerica IDEX ATSF Registration Statement under the 1940 Act and the Securities Act of 1933, as amended, on Form N-1A, as filed with the Securities and Exchange Commission ("SEC") relating to the Fund Portfolio and its shares and all amendments thereto ("Registration Statement");
(5) The ATSF Prospectus (as defined above); and
(46) A certified copy of any publicly available financial statement or report prepared for Transamerica IDEX ATSF by certified or independent public accountants, and copies of any financial statements or reports made by the Fund Portfolio to its shareholders or to any governmental body or securities exchange. The Investment Adviser shall furnish the Sub-Adviser with any further documents, materials or information that the Sub-Adviser may reasonably request to enable it to perform its duties pursuant to this Agreement. Notwithstanding the above, the Sub-Adviser shall not be responsible for performing in accordance with any of the above-mentioned documents and notices unless Sub-Adviser has received such document or notice.
C. The Sub-Adviser hereby gives the Portfolio, for the term of this Agreement, a royalty free, nonexclusive, nontransferable right to use the name "Xxxxxxxxx" (hereinafter referred to as the "Xxxx") in the United States as part of the name of the Portfolio, provided such name is approved by Sub-Adviser in writing. Such right does not include the right to allow third parties to use the Xxxx except as specifically provided in this Agreement. Neither the Portfolio nor the Investment Adviser shall retain any right to use of the Xxxx after the termination of this Agreement. Upon termination of this Agreement, the Portfolio will immediately terminate all use of the Xxxx and destroy any remaining unused sales documentation, promotional, marketing, advertising or other written printed or electronic material or performance information that contains the Xxxx. The Portfolio agrees to use its best efforts to ensure that the nature and quality of the services rendered in connection with the Xxxx shall conform to the terms of this Agreement and any amendments thereto.
D. During the term of this Agreement, the Investment Adviser shall furnish to the Sub-Adviser at its principal office all prospectuses, proxy statements, reports to shareholders, sales documentation, promotional, marketing, advertising and other written, printed or electronic material or performance information or data prepared for distribution to shareholders of the Fund Portfolio or the public, which include the Xxxx or refer to the FundPortfolio, the Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser in any way, prior to a the use thereof which has not been previously approved by the Sub-Adviserthereof. The Investment Adviser shall not use any such materials which include the Xxxx without the Sub-Adviser's prior written approval, which approval shall not be unreasonably withheld; and the Investment Adviser shall not use any such materials which do not include the Xxxx if the Sub-Adviser reasonably objects in writing within ten fifteen (1015) business days (or such other time as may be mutually agreed upon) after the Sub-Adviser's receipt thereof.
Appears in 1 contract
Samples: Sub Advisory Agreement (Aegon/Transamerica Series Fund Inc)
Duties of the Investment Adviser. A. The Investment Adviser shall continue to have responsibility for all services to be provided to the Fund pursuant to the Advisory Agreement and shall oversee and review the Sub-Adviser's performance of its duties and services under this Agreement. Notwithstanding the Advisory Agreement, the Sub-Adviser has the authority to buy, sell, exchange, convert, lend, and otherwise trade in any stocks, bonds and other securities or assets on behalf of the Fund.
B. The Investment Adviser has furnished the Sub-Adviser with copies of each of the following documents and will furnish to the Sub-Adviser at its principal office all future amendments and supplements to such documents, if any, as soon as practicable after such documents become available:
(1) The Transamerica IDEX Declaration of Trust and By-LawsTrust, as each is in effect on the date hereof and as amended from time to timetime ("Trust");
(2) The By-Laws of Transamerica IDEX as in effect on the date hereof and as amended from time to time ("By-Laws");
(3) Certified resolutions of the Board of Transamerica IDEX authorizing the appointment of the Investment Adviser and the Sub-Adviser and approving the form of the Advisory Agreement and this Agreement;
(34) The Transamerica IDEX Registration Statement under the 1940 Act and the Securities Act of 1933, as amended, on Form N-1A, as filed with the Securities and Exchange Commission ("SEC") relating to the Fund and its shares and all amendments thereto ("Registration Statement"); and;
(45) The Transamerica IDEX Prospectus (as defined above);
(6) A certified copy of any publicly available financial statement or report prepared for Transamerica IDEX by certified or independent public accountants, and copies of any financial statements or reports made by the Fund to its shareholders or to any governmental body or securities exchange;
(7) An executed copy of the Investment Advisory Agreement; and
(8) A list of each affiliated person (and any affiliated person of such an affiliated person) of the Investment Adviser. The Investment Adviser shall furnish the Sub-Adviser with any further documents, materials materials, procedures adopted by the Board applicable to the Sub-Adviser ("Board Procedures"), or information that the Sub-Adviser may reasonably request to enable it to perform its duties pursuant to this Agreement. Until Investment Adviser delivers any such amendment or supplement to the documents listed in this section 4.B., to the Fund Policies or to the Board Procedures, the Sub-Adviser shall be fully protected in relying on the most recent versions of such documents or policies previously furnished to the Sub-Adviser.
C. During the term of this Agreement, the Investment Adviser shall furnish to the Sub-Adviser at its principal office all prospectuses, proxy statements, reports to shareholders, sales documentationand marketing literature, promotional, marketing, advertising and or other written, printed or electronic material or performance information or data prepared for distribution to shareholders of the Fund or the public, which include the Xxxx or refer to the Fund, the Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser in any way, prior to a the use thereof which has not been previously approved by thereof, and the Sub-Adviser. The Investment Adviser shall not use any such materials without the prior written consent of the Sub-Adviser's prior written approval, which approval shall not be unreasonably withheld; and . The Sub-Adviser agrees to respond to the Investment Adviser shall not use any such materials which do not include the Xxxx if the Sub-Adviser reasonably objects in writing within ten (10) fifteen business days (or such other time as may be mutually agreed uponagreed) after the Sub-Adviser's receipt thereofthereof to signify its consent or rejection.
Appears in 1 contract
Samples: Sub Advisory Agreement (Transamerica Idex Mutual Funds)
Duties of the Investment Adviser. A. The Investment Adviser shall continue to have responsibility for all services to be provided to the Fund pursuant to the Advisory Agreement and shall oversee and review the Sub-Adviser's performance of its duties and services under this Agreement. Notwithstanding the Advisory Agreement, the Sub-Adviser has the authority to buy, sell, exchange, convert, lend, and otherwise trade in any stocks, bonds and other securities or assets on behalf of the Fund.
B. The Investment Adviser has furnished the Sub-Adviser with copies of each of the following documents and will furnish to the Sub-Adviser at its principal office all future amendments and supplements to such documents, if any, as soon as practicable after such documents become available:
(1) The Transamerica IDEX Restatement of Declaration of Trust and By-LawsTrust, as each is filed with the State of Massachusetts, as in effect on the date hereof and as amended from time to timetime ("Trust");
(2) The By-Laws of Transamerica IDEX as in effect on the date hereof and as amended from time to time ("By-Laws");
(3) Certified resolutions of the Board of Transamerica IDEX authorizing the appointment of the Investment Adviser and the Sub-Adviser and approving the form of the Advisory Agreement and this Agreement;
(34) The Transamerica IDEX Registration Statement under the 1940 Act and the Securities Act of 1933, as amended, on Form N-1A, as filed with the Securities and Exchange Commission ("SEC") relating to the Fund and its shares and all amendments thereto ("Registration Statement"); and;
(45) The Transamerica IDEX Prospectus (as defined above);
(6) A certified copy of any publicly available financial statement or report prepared for Transamerica IDEX by certified or independent public accountants, and copies of any financial statements or reports made by the Fund to its shareholders or to any governmental body or securities exchange. The Investment Adviser shall furnish the Sub-Adviser with any further documents, materials or information that the Sub-Adviser may reasonably request to enable it to perform its duties pursuant to this Agreement.
C. During the term of this Agreement, the Investment Adviser shall furnish to the Sub-Adviser at its principal office all prospectuses, proxy statements, reports to shareholders, sales documentationliterature, promotional, marketing, advertising and or other written, printed or electronic material or performance information or data prepared for distribution to shareholders of the Fund or the public, which include the Xxxx or refer to the Fund, the Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser in any way, prior to a the use thereof which has not been previously approved by the Sub-Adviser. The Investment Adviser shall not use any such materials without the Sub-Adviser's prior written approvalthereof, which approval shall not be unreasonably withheld; and the Investment Adviser shall not use any such materials which do not include the Xxxx if the Sub-Adviser reasonably objects in writing within ten (10) fifteen business days (or such other time as may be mutually agreed uponagreed) after the Sub-Adviser's receipt thereof.
Appears in 1 contract
Samples: Sub Advisory Agreement (Transamerica Idex Mutual Funds)
Duties of the Investment Adviser. A. The Investment Adviser shall continue to have responsibility for all services to be provided to the Fund Portfolios pursuant to the Advisory Agreement and shall oversee and review the Sub-Adviser's performance of its duties and services under this Agreement.
B. The Investment Adviser has furnished the Sub-Adviser with copies of each of the following documents and will furnish to the Sub-Adviser at its principal office all future amendments and supplements to such documents, if any, as soon as practicable after such documents become available:
(1) The Transamerica IDEX Declaration Articles of Trust and By-LawsIncorporation of the Fund, as each is filed with the State of Maryland, as in effect on the date hereof and as amended from time to timetime ("Articles"):
(2) The By-Laws of the Fund as in effect on the date hereof and as amended from time to time ("By-Laws");
(23) Certified resolutions of the Board of the Fund authorizing the appointment of the Investment Adviser and the Sub-Adviser and approving the form of the Advisory Agreement and this Agreement;
(34) The Transamerica IDEX Fund's Registration Statement under the 1940 Act and the Securities Act of 1933, as amended, on Form N-1A, as filed with the Securities and Exchange Commission ("SEC") relating to the Fund Portfolios and its shares and all amendments thereto ("Registration Statement"); and;
(45) The Fund's Prospectus (as defined above);
(6) A certified copy of any publicly available financial statement or report prepared for Transamerica IDEX the Fund by certified or independent public accountants, and copies of any financial statements or reports made by the Fund Portfolios to its shareholders or to any governmental body or securities exchange;
(7) Notice of the Fund's custodian designated to hold assets in the Fund;
(8) A list of the countries approved by the Trustees in accordance with Rule 17f-5 in which Fund assets may be maintained and a list of those countries available immediately;
(9) Reports as to the composition of assets in the Fund, cash requirements and cash available for investment in the Fund;
(10) Copies of Investment Adviser's liquidity procedures, cross-trade procedures, repurchase agreement procedures, 10f-3, 17a-7 and 17e-1 procedures and other procedures that may affect the duties of Sub-Adviser;
(11) A list of "affiliates" of the Fund, as such term is used in the 1940 Act, including all broker-dealers affiliated with the Fund;
(12) Applicable Commodities Futures Trading Commission exemptions, notifications and/or related documentation;
(13) A list of established futures accounts; and
(14) An Internal Revenue Service Form W-9 completed by the Fund. The Investment Adviser shall furnish the Sub-Adviser with any further documents, materials or information that the Sub-Adviser may reasonably request to enable it to perform its duties pursuant to this Agreement.
C. During the term of this Agreement, the Investment Adviser shall furnish to the Sub-Adviser at its principal office all prospectuses, proxy statements, reports to shareholders, sales documentationliterature, promotional, marketing, advertising and or other written, printed or electronic material or performance information or data prepared for distribution to shareholders of the Fund Portfolios or the public, which include the Xxxx or refer to the Fund, the Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser in any way, prior to a the use thereof which has not been previously approved by the Sub-Adviser. The Investment Adviser shall not use any such materials without the Sub-Adviser's prior written approvalthereof, which approval shall not be unreasonably withheld; and the Investment Adviser shall not use any such materials which do not include the Xxxx if the Sub-Adviser reasonably objects in writing within ten (10) fifteen business days (or such other time as may be mutually agreed uponagreed) after the Sub-Adviser's receipt thereof.
D. Investment Adviser shall be responsible for providing such assistance in setting up and maintaining brokerage accounts and other accounts as Sub-Adviser reasonably requests to allow for the purchase or sale of various forms of securities pursuant to this Agreement.
Appears in 1 contract
Samples: Sub Advisory Agreement (Aegon/Transamerica Series Fund Inc)
Duties of the Investment Adviser. A. The Investment Adviser shall continue to have responsibility for all services to be provided to the Fund pursuant to the Advisory Agreement and shall oversee and review the Sub-Adviser's performance of its duties and services under this Agreement. Notwithstanding the Advisory Agreement, the Sub-Adviser has the authority to buy, sell, exchange, convert, lend, and otherwise trade in any stocks, bonds and other securities or assets on behalf of the Fund.
B. The Investment Adviser has furnished the Sub-Adviser with copies of each of the following documents and will furnish to the Sub-Adviser at its principal office all future amendments and supplements to such documents, if any, as soon as practicable after such documents become available:
(1) The Transamerica IDEX Restatement of Declaration of Trust and By-LawsTrust, as each is filed with the State of Massachusetts, as in effect on the date hereof and as amended from time to timetime ("Trust");
(2) The By-Laws of Transamerica IDEX as in effect on the date hereof and as amended from time to time ("By-Laws");
(3) Certified resolutions of the Board of Transamerica IDEX authorizing the appointment of the Investment Adviser and the Sub-Adviser and approving the form of the Advisory Agreement and this Agreement;
(34) The Transamerica IDEX Registration Statement under the 1940 Act and the Securities Act of 1933, as amended, on Form N-1A, as filed with the Securities and Exchange Commission ("SEC") relating to the Fund and its shares and all amendments thereto ("Registration Statement"); and;
(45) The Transamerica IDEX Prospectus (as defined above);
(6) A certified copy of any publicly available financial statement or report prepared for Transamerica IDEX by certified or independent public accountants, and copies of any financial statements or reports made by the Fund to its shareholders or to any governmental body or securities exchange. ; and The Investment Adviser shall furnish the Sub-Adviser with any further documents, materials or information that the Sub-Adviser may reasonably request to enable it to perform its duties pursuant to this Agreement.
C. During the term of this Agreement, the Investment Adviser shall furnish to the Sub-Adviser at its principal office all prospectuses, proxy statements, reports to shareholders, sales documentationliterature, promotional, marketing, advertising and or other written, printed or electronic material or performance information or data prepared for distribution to shareholders of the Fund or the public, which include the Xxxx or refer to the Fund, the Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser in any way, prior to a the use thereof which has not been previously approved by the Sub-Adviser. The Investment Adviser shall not use any such materials without the Sub-Adviser's prior written approvalthereof, which approval shall not be unreasonably withheld; and the Investment Adviser shall not use any such materials which do not include the Xxxx if the Sub-Adviser reasonably objects in writing within ten (10) fifteen business days (or such other time as may be mutually agreed uponagreed) after receipt thereof. If Sub-Adviser ceases to act as the Fund's Sub-Adviser, the Investment Adviser agrees to remove Sub-Adviser's receipt thereofname from the name of the Fund as soon as possible.
Appears in 1 contract
Samples: Sub Advisory Agreement (Transamerica Idex Mutual Funds)
Duties of the Investment Adviser. A. The Investment Adviser shall continue to have responsibility for all services to be provided to the Fund Portfolio pursuant to the Advisory Agreement and shall oversee and review the Sub-Adviser's performance of its duties and services under this Agreement. Notwithstanding the Advisory Agreement, the Sub-Adviser has the authority to buy, sell, exchange, convert, lend, and otherwise trade in any stocks, bonds and other securities or assets on behalf of the Portfolio.
B. The Investment Adviser has furnished the Sub-Adviser with copies of each of the following documents and will furnish to the Sub-Adviser at its principal office all future amendments and supplements to such documents, if any, as soon as practicable after such documents become available:
(1) The Transamerica IDEX Declaration Articles of Trust and By-LawsIncorporation of the Fund, as each is filed with the State of Maryland, as in effect on the date hereof and as amended from time to timetime ("Articles"):
(2) The By-Laws of the Fund as in effect on the date hereof and as amended from time to time ("By-Laws");
(23) Certified resolutions of the Board of the Fund authorizing the appointment of the Investment Adviser and the Sub-Adviser and approving the form of the Advisory Agreement and this Agreement;
(34) The Transamerica IDEX Fund's Registration Statement under the 1940 Act and the Securities Act of 1933, as amended, on Form N-1A, as filed with the Securities and Exchange Commission ("SEC") relating to the Fund Portfolio and its shares and all amendments thereto ("Registration Statement");
(5) The Fund's Prospectus (as defined above); and
(46) A certified copy of any publicly available financial statement or report prepared for Transamerica IDEX the Fund by certified or independent public accountants, and copies of any financial statements or reports made by the Fund Portfolio to its shareholders or to any governmental body or securities exchange. The Investment Adviser shall furnish the Sub-Adviser with any further documents, materials or information that the Sub-Adviser may reasonably request to enable it to perform its duties pursuant to this Agreement.
C. During the term of this Agreement, the Investment Adviser shall furnish to the Sub-Adviser at its principal office all prospectuses, proxy statements, reports to shareholders, sales documentationliterature, promotional, marketing, advertising and or other written, printed or electronic material or performance information or data prepared for distribution to shareholders of the Fund Portfolio or the public, which include the Xxxx or refer to the Fund, Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser in any way, prior to a the use thereof which has not been previously approved by the Sub-Adviser. The Investment Adviser shall not use any such materials without the Sub-Adviser's prior written approvalthereof, which approval shall not be unreasonably withheld; and the Investment Adviser shall not use any such materials which do not include the Xxxx if the Sub-Adviser reasonably objects in writing within ten (10) fifteen business days (or such other time as may be mutually agreed uponagreed) after the Sub-Adviser's receipt thereof.
Appears in 1 contract
Samples: Sub Advisory Agreement (Aegon/Transamerica Series Fund Inc)
Duties of the Investment Adviser. A. The Investment Adviser shall continue to have responsibility for all services to be provided to the Fund pursuant to the Advisory Agreement and shall oversee and review the Sub-Adviser's performance of its duties and services under this Agreement. Notwithstanding the Advisory Agreement, the Sub-Adviser has the authority to buy, sell, exchange, convert, lend, and otherwise trade in any stocks, bonds and other securities or assets on behalf of the Fund.
B. The Investment Adviser has furnished the Sub-Adviser with copies of each of the following documents and will furnish to the Sub-Adviser at its principal office all future amendments and supplements to such documents, if any, as soon as practicable after such documents become available:
(1) The Transamerica IDEX Restatement of Declaration of Trust and By-LawsTrust, as each is filed with the State of Massachusetts, as in effect on the date hereof and as amended from time to timetime ("Trust");
(2) The By-Laws of Transamerica IDEX as in effect on the date hereof and as amended from time to time ("By-Laws");
(3) Certified resolutions of the Board of Transamerica IDEX authorizing the appointment of the Investment Adviser and the Sub-Adviser and approving the form of the Advisory Agreement and this Agreement;
(34) The Transamerica IDEX Registration Statement under the 1940 Act and the Securities Act of 1933, as amended, on Form N-1A, as filed with the Securities and Exchange Commission ("SEC") relating to the Fund and its shares and all amendments thereto ("Registration Statement"); and;
(45) The Transamerica IDEX Prospectus (as defined above);
(6) A certified copy of any publicly available financial statement or report prepared for Transamerica IDEX by certified or independent public accountants, and copies of any financial statements or reports made by the Fund to its shareholders or to any governmental body or securities exchange. ; and The Investment Adviser shall furnish the Sub-Adviser with any further documents, materials or information that the Sub-Sub- Adviser may reasonably request to enable it to perform its duties pursuant to this AgreementAgreement or as otherwise required by law or regulator.
C. During the term of this Agreement, the Investment Adviser shall furnish to the Sub-Adviser at its principal office all prospectuses, proxy statements, reports to shareholders, sales documentationliterature, promotional, marketing, advertising and or other written, printed or electronic material or performance information or data prepared for distribution to shareholders of the Fund or the public, which include the Xxxx or refer to the Fund, the Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser in any way, prior to a the use thereof which has not been previously approved by the Sub-Adviser. The Investment Adviser shall not use any such materials without the Sub-Adviser's prior written approvalthereof, which approval shall not be unreasonably withheld; and the Investment Adviser shall not use any such materials which do not include the Xxxx if the Sub-Adviser reasonably objects in writing within ten (10) fifteen business days (or such other time as may be mutually agreed uponagreed) after the Sub-Adviser's receipt thereof.
Appears in 1 contract
Samples: Sub Advisory Agreement (Transamerica Idex Mutual Funds)
Duties of the Investment Adviser. A. The Investment Adviser shall continue to have responsibility for all services to be provided to the Fund pursuant to the Advisory Agreement and shall oversee and review the Sub-Adviser's performance of its duties and services under this Agreement.
B. The Investment Adviser has furnished the Sub-Adviser with copies of each of the following documents and will furnish to the Sub-Adviser at its principal office all future amendments and supplements to such documents, if any, as soon as practicable after such documents become available:
(1) The Transamerica IDEX Funds Declaration of Trust and By-Laws, as each is in effect on the date hereof and as amended from time to time;
(2) Certified resolutions of the Board authorizing the appointment of the Investment Adviser and the Sub-Adviser and approving this Agreement;
(3) The Transamerica IDEX Funds Registration Statement under the 1940 Act and the Securities Act of 1933, on Form N-1A, as filed with the Securities and Exchange Commission ("SEC") relating to the Fund and its shares and all amendments thereto ("Registration Statement"); and
(4) A certified copy of any publicly available financial statement or report prepared for Transamerica IDEX Funds by certified or independent public accountants, and copies of any financial statements or reports made by the Fund to its shareholders or to any governmental body or securities exchange. The Investment Adviser shall furnish the Sub-Adviser with any further documents, materials or information that the Sub-Adviser may reasonably request to enable it to perform its duties pursuant to this Agreement.
C. During the term of this Agreement, the Investment Adviser shall furnish to the Sub-Adviser at its principal office all prospectuses, proxy statements, reports to shareholders, sales documentation, promotional, marketing, advertising and other written, printed or electronic material or performance information or data prepared for distribution to shareholders of the Fund or the public, which include the Xxxx or refer to the Fund, the Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser in any way, prior to a use thereof which has not been previously approved by the Sub-Adviser. The Investment Adviser shall not use any such materials without the Sub-Adviser's prior written approval, which approval shall not be unreasonably withheld; and the Investment Adviser shall not use any such materials which do not include the Xxxx if the Sub-Adviser reasonably objects in writing within ten (10) business days (or such other time as may be mutually agreed upon) after the Sub-Adviser's receipt thereof.
Appears in 1 contract
Samples: Sub Advisory Agreement (Transamerica Idex Mutual Funds)
Duties of the Investment Adviser. A. The Investment Adviser shall continue to have responsibility for all services to be provided to the Fund Portfolios pursuant to the Advisory Agreement and shall oversee and review the Sub-Adviser's performance of its duties and services under this Agreement.
B. The Investment Adviser has furnished the Sub-Adviser with copies of each of the following documents and will furnish to the Sub-Adviser at its principal office all future amendments and supplements to such documents, if any, as soon as practicable after such documents become available:
(1) The Transamerica IDEX Declaration Articles of Trust and By-LawsIncorporation of the Fund, as each is filed with the State of Maryland, as in effect on the date hereof and as amended from time to timetime ("Articles"):
(2) The By-Laws of the Fund as in effect on the date hereof and as amended from time to time ("By-Laws");
(23) Certified resolutions of the Board of the Fund authorizing the appointment of the Investment Adviser and the Sub-Adviser and approving the form of the Advisory Agreement and this Agreement;
(34) The Transamerica IDEX Fund's Registration Statement under the 1940 Act and the Securities Act of 1933, as amended, on Form N-1A, as filed with the Securities and Exchange Commission ("SEC") relating to the Fund Portfolios and each of its shares and all amendments thereto ("Registration Statement");
(5) The Notification of Registration of the Fund under the 1940 Act on Form N-8A as filed with the SEC and any amendments thereto:
(6) The Fund's Prospectus (as defined above); and
(47) A certified copy of any publicly available financial statement or report prepared for Transamerica IDEX the Fund by certified or independent public accountants, and copies of any financial statements or reports made by the Fund Portfolios to its their shareholders or to any governmental body or securities exchange. The Investment Adviser shall furnish the Sub-Adviser with any further documents, materials or information that the Sub-Adviser may reasonably request to enable it to perform its duties pursuant to this Agreement.
C. During the term of this Agreement, the Investment Adviser shall furnish to the Sub-Adviser at its principal office all prospectuses, proxy statements, reports to shareholders, sales documentationliterature, promotional, marketing, advertising and or other written, printed or electronic material or performance information or data prepared for distribution to shareholders of the Fund Portfolios or the public, which include the Xxxx or refer to the Fund, Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser in any way, prior to a the use thereof which has not been previously approved by the Sub-Adviser. The Investment Adviser shall not use any such materials without the Sub-Adviser's prior written approvalthereof, which approval shall not be unreasonably withheld; and the Investment Adviser shall not use any such materials which do not include the Xxxx if the Sub-Adviser reasonably objects in writing within ten (10) fifteen business days (or such other time as may be mutually agreed uponagreed) after the Sub-Adviser's receipt thereof.
Appears in 1 contract
Duties of the Investment Adviser. A. The Investment Adviser shall continue to have responsibility for all services to be provided to the Fund pursuant to the Advisory Agreement Agreement, including the pricing of investment securities of the Fund, and shall oversee and review the Sub-Adviser's performance of its duties and services under this Agreement. Notwithstanding the Advisory Agreement, the Sub-Adviser has the authority to buy, sell, exchange, convert, lend, and otherwise trade in any stocks, bonds and other securities or assets on behalf of the Fund.
B. The Investment Adviser has furnished the Sub-Adviser with copies of each of the following documents and will furnish to the Sub-Adviser at its principal office all future amendments and supplements to such documents, if any, as soon as practicable after such documents become available:
(1) The Transamerica IDEX Restatement of Declaration of Trust and By-LawsTrust, as each is filed with the State of Massachusetts, as in effect on the date hereof and as amended from time to timetime ("Trust");
(2) The By-Laws of Transamerica IDEX as in effect on the date hereof and as amended from time to time ("By-Laws");
(3) Certified resolutions of the Board of Transamerica IDEX authorizing the appointment of the Investment Adviser and the Sub-Adviser and approving the form of the Advisory Agreement and this Agreement;
(34) The Transamerica IDEX Registration Statement under the 1940 Act and the Securities Act of 1933, as amended, on Form N-1A, as filed with the Securities and Exchange Commission ("SEC") relating to the Fund and its shares and all amendments thereto ("Registration Statement"); and;
(45) The Transamerica IDEX Prospectus (as defined above);
(6) A certified copy of any publicly available financial statement or report prepared for Transamerica IDEX by certified or independent public accountants, and copies of any financial statements or reports made by the Fund to its shareholders or to any governmental body or securities exchange. ; and The Investment Adviser shall furnish the Sub-Adviser with any further documents, materials or information that the Sub-Adviser may reasonably request to enable it to perform its duties pursuant to this Agreement, including such documents, materials or information that the Sub-Adviser deems necessary in order to complete an annual due diligence of the Investment Adviser, Transamerica IDEX and the Fund.
C. During the term of this Agreement, the Investment Adviser shall furnish to the Sub-Adviser at its principal office all prospectuses, proxy statements, reports to shareholders, sales documentationliterature, promotional, marketing, advertising and or other written, printed or electronic material or performance information or data prepared for distribution to shareholders of the Fund or the public, which include the Xxxx or refer to the Fund, the Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser in any way, prior to a the use thereof which has not been previously approved by the Sub-Adviser. The Investment Adviser shall not use any such materials without the Sub-Adviser's prior written approvalthereof, which approval shall not be unreasonably withheld; and the Investment Adviser shall not use any such materials which do not include the Xxxx if the Sub-Adviser reasonably objects in writing within ten (10) fifteen business days (or such other time as may be mutually agreed uponagreed) after the Sub-Adviser's receipt thereof.
Appears in 1 contract
Samples: Sub Advisory Agreement (Transamerica Idex Mutual Funds)
Duties of the Investment Adviser. A. The Investment Adviser shall continue to have responsibility for all services to be provided to the Fund pursuant to the Advisory Agreement and shall oversee and review the Sub-Adviser's performance of its duties and services under this Agreement.
B. The Investment Adviser has furnished the Sub-Adviser with copies of each of the following documents and will furnish to the Sub-Adviser at its principal office all future amendments and supplements to such documents, if any, as soon as practicable after such documents become available:
(1) The Transamerica IDEX Declaration of Trust and By-Laws, as each is in effect on the date hereof and as amended from time to time;
(2) Certified resolutions of the Board authorizing the appointment of the Investment Adviser and the Sub-Adviser and approving the Advisory Agreement and this Agreement;
(3) The Transamerica IDEX Registration Statement under the 1940 Act and the Securities Act of 1933, on Form N-1A, as filed with the Securities and Exchange Commission ("SEC") relating to the Fund and its shares and all amendments thereto ("Registration Statement"); and
(4) A certified copy of any publicly available financial statement or report prepared for Transamerica IDEX by certified or independent public accountants, and copies of any financial statements or reports made by the Fund to its shareholders or to any governmental body or securities exchange. The Investment Adviser shall furnish the Sub-Adviser with any further documents, materials or information that the Sub-Adviser may reasonably request to enable it to perform its duties pursuant to this Agreement. Notwithstanding any other provision of this Agreement, the Sub-Adviser shall not be responsible for performing in accordance with any of the above-mentioned documents (or any amendments or supplements thereto), or any other document to be provided to the Sub-Adviser hereunder, unless the Sub-Adviser has received such documents (or amendments or supplements thereto) or other documents to be provided to the Sub-Adviser hereunder.
C. During the term of this Agreement, the Investment Adviser shall furnish to the Sub-Adviser at its principal office all prospectuses, proxy statements, reports to shareholders, sales documentation, promotional, marketing, advertising and other written, printed or electronic material or performance information or data prepared for distribution to shareholders of the Fund or the public, which include the Xxxx Mark or refer to the Fund, the Sub-Adviser or investment companies comxxxxes or other advisory accounts advised or sponsored by the Sub-Adviser in any way, prior to a use thereof which has not been previously approved by the Sub-Adviser. The Investment Adviser shall not use any such materials without the Sub-Adviser's prior written approval, which approval shall not be unreasonably withheld; and the Investment Adviser shall not use any such materials which do not include the Xxxx Mark if the Sub-Adviser reasonably objects in writing within ten fiftxxx (1015) business days (or such other time as may be mutually agreed upon) after the Sub-Adviser's receipt thereof.
Appears in 1 contract
Samples: Sub Advisory Agreement (Transamerica Idex Mutual Funds)
Duties of the Investment Adviser. A. The Investment Adviser shall continue to have responsibility for all services to be provided to the Fund Portfolio pursuant to the Advisory Agreement and shall oversee and review the Sub-Adviser's performance of its duties and services under this Agreement. Notwithstanding the Advisory Agreement, the Sub-Adviser has the authority to buy, sell, exchange, convert, lend, and otherwise trade in any stocks, bonds and other securities or assets on behalf of the Portfolio.
B. The Investment Adviser has furnished the Sub-Adviser with copies of each of the following documents and will furnish to the Sub-Adviser at its principal office all future amendments and supplements to such documents, if any, as soon as practicable after such documents become available:
(1) The Transamerica IDEX Declaration Articles of Trust and By-LawsIncorporation of the Fund, as each is filed with the State of Maryland, as in effect on the date hereof and as amended from time to timetime ("Articles"):
(2) The By-Laws of the Fund as in effect on the date hereof and as amended from time to time ("By-Laws");
(23) Certified resolutions of the Board of the Fund authorizing the appointment of the Investment Adviser and the Sub-Adviser and approving the form of the Advisory Agreement and this Agreement;
(34) The Transamerica IDEX Fund's Registration Statement under the 1940 Act and the Securities Act of 1933, as amended, on Form N-1A, as filed with the Securities and Exchange Commission ("SEC") relating to the Fund Portfolio and its shares and all amendments thereto ("Registration Statement"); and;
(45) The Fund's Prospectus (as defined above);
(6) A certified copy of any publicly available financial statement or report prepared for Transamerica IDEX the Fund by certified or independent public accountants, and copies of any financial statements or reports made by the Fund Portfolio to its shareholders or to any governmental body or securities exchange; and
(7) The Investment Advisory Agreement. The Investment Adviser shall furnish the Sub-Adviser with any further documents, materials or information that the Sub-Adviser may reasonably request to enable it to perform its duties pursuant to this Agreement.
C. During the term of this Agreement, the Investment Adviser shall furnish to the Sub-Adviser at its principal office all prospectuses, proxy statements, reports to shareholders, sales documentationliterature, promotional, marketing, advertising and or other written, printed or electronic material or performance information or data prepared for distribution to shareholders of the Fund Portfolio or the public, which include the Xxxx or refer to the Fund, Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser in any way, at least 15 days prior to a the use thereof which has not been previously approved by the Sub-Adviser. The Investment Adviser shall not use any such materials without the Sub-Adviser's prior written approvalthereof, which approval shall not be unreasonably withheld; and the Investment Adviser shall not use any such materials which do not include the Xxxx if the Sub-Adviser reasonably objects in writing within ten (10) fifteen business days (or such other time as may be mutually agreed uponagreed) after the Sub-Adviser's receipt thereof. This Paragraph C shall survive the termination of this Agreement.
Appears in 1 contract
Samples: Sub Advisory Agreement (Aegon/Transamerica Series Fund Inc)
Duties of the Investment Adviser. A. The Investment Adviser shall continue to have responsibility for all services to be provided to the Fund pursuant to the Advisory Agreement and shall oversee and review the Sub-Adviser's ’s performance of its duties and services under this Agreement. Notwithstanding the Advisory Agreement, the Sub-Adviser has the authority to buy, sell, exchange, convert, lend, and otherwise trade in any stocks, bonds and other securities or assets on behalf of the Fund.
B. The Investment Adviser has furnished the Sub-Adviser with copies of each of the following documents and will furnish to the Sub-Adviser at its principal office all future amendments and supplements to such documents, if any, as soon as practicable after such documents become available:
(1) The Transamerica IDEX Declaration Fund’s Memorandum and Articles of Trust and By-LawsAssociation, as each is in effect on the date hereof and as amended from time to timetime (“Trust”);
(2) Certified resolutions of the Board of Transamerica Funds authorizing the appointment of the Investment Adviser and the Sub-Adviser and approving the form of the Advisory Agreement and this Agreement;
(3) The Transamerica IDEX Sole Shareholder’s Registration Statement under the 1940 Act and the Securities Act of 1933, as amended, on Form N-1A, as filed with the Securities and Exchange Commission ("“SEC"”) relating to the Fund Sole Shareholder and its shares and all amendments thereto ("“Registration Statement"”); and;
(4) The Sole Shareholder’s Prospectus (as defined above);
(5) A certified copy of any publicly available financial statement or report prepared for Transamerica IDEX by the Sole Shareholderby certified or independent public accountants, and copies of any financial statements or reports made by the Fund Sole Shareholder to its shareholders or to any governmental body or securities exchange;
(6) An executed copy of the Investment Advisory Agreement; and
(7) A list of each affiliated person (and any affiliated person of such an affiliated person) of the Investment Adviser. The Investment Adviser shall furnish the Sub-Adviser with any further documents, materials materials, procedures adopted by the Board applicable to the Sub-Adviser (“Board Procedures”), or information that the Sub-Adviser may reasonably request to enable it to perform its duties pursuant to this Agreement. Until Investment Adviser delivers any such amendment or supplement to the documents listed in this section 4.B., to the Fund Policies or to the Board Procedures, the Sub-Adviser shall be fully protected in relying on the most recent versions of such documents or policies previously furnished to the Sub-Adviser.
C. During the term of this Agreement, the Investment Adviser shall furnish to the Sub-Adviser at its principal office all prospectuses, proxy statements, reports to shareholders, sales documentationand marketing literature, promotional, marketing, advertising and or other written, printed or electronic material or performance information or data prepared for distribution to shareholders of the Fund Sole Shareholder or the public, which include the Xxxx or refer to the FundSole Shareholder, the Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser in any way, prior to a the use thereof which has not been previously approved by thereof, and the Sub-Adviser. The Investment Adviser shall not use any such materials without the prior written consent of the Sub-Adviser's prior written approval, which approval shall not be unreasonably withheld; and . The Sub-Adviser agrees to respond to the Investment Adviser shall not use any such materials which do not include the Xxxx if the Sub-Adviser reasonably objects in writing within ten (10) fifteen business days (or such other time as may be mutually agreed uponagreed) after the Sub-Adviser's receipt thereofthereof to signify its consent or rejection.
Appears in 1 contract
Duties of the Investment Adviser. A. The Investment Adviser shall continue to have responsibility for all services to be provided to the Fund Portfolios pursuant to the Advisory Agreement and shall oversee and review the Sub-Adviser's performance of its duties and services under this Agreement.
B. The Investment Adviser has furnished the Sub-Adviser with copies of each of the following documents and will furnish to the Sub-Adviser at its principal office all future amendments and supplements to such documents, if any, as soon as practicable after such documents become availableavailable and, when possible, before such amendments or supplements become effective:
(1) The Transamerica IDEX Declaration Articles of Trust and By-LawsIncorporation of the Fund, as each is filed with the State of Maryland, as in effect on the date hereof and as amended from time to timetime ("Articles"):
(2) The By-Laws of the Fund as in effect on the date hereof and as amended from time to time ("By-Laws");
(23) Certified resolutions of the Board of the Fund authorizing the appointment of the Investment Adviser and the Sub-Adviser and approving the form of the Advisory Agreement and this Agreement and any other resolutions of the Board applicable to the Sub-Adviser's duties under this Agreement;
(34) The Transamerica IDEX Fund's Registration Statement under the 1940 Act and the Securities Act of 1933, as amended, on Form N-1A, as filed with the Securities and Exchange Commission ("SEC") relating to the Fund Portfolios and its shares and all amendments thereto ("Registration Statement");
(5) The Notification of Registration of the Fund under the 1940 Act on Form N-8A as filed with the SEC and any amendments thereto:
(6) The Fund's Prospectus (as defined above); and
(47) A certified copy of any publicly available financial statement or report prepared for Transamerica IDEX the Fund by certified or independent public accountants, and copies of any financial statements or reports made by the Fund Portfolios to its shareholders or to any governmental body or securities exchange. The Investment Adviser shall furnish the Sub-Adviser with any further documents, materials or information that the Sub-Adviser may reasonably request to enable it to perform its duties pursuant to this Agreement.
C. During the term of this Agreement, the Investment Adviser shall furnish to the Sub-Adviser at its principal office all prospectuses, proxy statements, reports to shareholders, sales documentationliterature, promotional, marketing, advertising and or other written, printed or electronic material or performance information or data prepared for distribution to shareholders of the Fund Portfolios or the public, which include the Xxxx or refer to the Fund, Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser in any way, prior to a the use thereof which has not been previously approved by the Sub-Adviser. The Investment Adviser shall not use any such materials without the Sub-Adviser's prior written approvalthereof, which approval shall not be unreasonably withheld; and the Investment Adviser shall not use any such materials which do not include the Xxxx if the Sub-Adviser reasonably objects in writing within ten (10) fifteen business days (or such other time as may be mutually agreed uponagreed) after the Sub-Adviser's receipt thereof.
Appears in 1 contract
Duties of the Investment Adviser. A. The Investment Adviser shall continue to have responsibility for all services to be provided to the Fund each Portfolio pursuant to the Advisory Agreement and shall oversee and review the Sub-Adviser's performance of its duties and services under this Agreement.
B. The Investment Adviser has furnished the Sub-Adviser with copies of each of the following documents and will furnish to the Sub-Adviser at its principal office all future amendments and supplements to such documents, if any, as soon as practicable after such documents become available:
(1) The Transamerica IDEX Declaration Articles of Trust and By-LawsIncorporation of the Fund, as each is filed with the State of Maryland, as in effect on the date hereof and as amended from time to timetime ("Articles");
(2) The By-Laws of the Fund as in effect on the date hereof and as amended from time to time ("By-Laws");
(3) Certified resolutions of the Board of the Fund authorizing the appointment of the Investment Adviser and the Sub-Adviser and approving the form of the Advisory Agreement and this Agreement;
(34) The Transamerica IDEX Fund's Registration Statement under the 1940 Act and the Securities Act of 1933, as amended, on Form N-1A, as filed with the Securities and Exchange Commission ("SEC") relating to the Fund each Portfolio and its shares and all amendments thereto ("Registration Statement");
(5) The Notification of Registration of the Fund under the 1940 Act on Form N-8A as filed with the SEC and any amendments thereto;
(6) The Fund's Prospectus (as defined above); and
(47) A certified copy of any publicly available financial statement or report prepared for Transamerica IDEX the Fund by certified or independent public accountants, and copies of any financial statements or reports made by the Fund each Portfolio to its shareholders or to any governmental body or securities exchange. The Investment Adviser shall furnish the Sub-Adviser with any further documents, materials or information that the Sub-Adviser may reasonably request to enable it to perform its duties pursuant to this Agreement.
C. During the term of this Agreement, the Investment Adviser shall furnish to the Sub-Adviser at its principal office all prospectuses, proxy statements, reports to shareholders, sales documentationliterature, promotional, marketing, advertising and or other written, printed or electronic material or performance information or data prepared for distribution to shareholders of the Fund each Portfolio or the public, which include the Xxxx or refer to the Fund, Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser in any way, prior to a the use thereof which has not been previously approved by the Sub-Adviser. The Investment Adviser shall not use any such materials without the Sub-Adviser's prior written approvalthereof, which approval shall not be unreasonably withheld; and the Investment Adviser shall not use any such materials which do not include the Xxxx if the Sub-Adviser reasonably objects in writing within ten (10) fifteen business days (or such other time as may be mutually agreed uponagreed) after the Sub-Adviser's receipt thereof.
Appears in 1 contract
Duties of the Investment Adviser. A. The Investment Adviser shall continue to have responsibility for all services to be provided to the each Fund pursuant to the Advisory Agreement and shall oversee and review the Sub-Adviser's performance of its duties and services under this Agreement. Notwithstanding the Advisory Agreement, the Sub-Adviser has the authority to buy, sell, exchange, convert, lend, and otherwise trade in any stocks, bonds and other securities or assets on behalf of each the Fund.
B. The Investment Adviser has furnished the Sub-Adviser with copies of each of the following documents and will furnish to the Sub-Adviser at its principal office all future amendments and supplements to such documents, if any, as soon as practicable after such documents become available:
(1) The Transamerica IDEX Declaration of Trust and By-LawsTrust, as each is in effect on the date hereof and as amended from time to timetime ("Trust");
(2) The By-Laws of Transamerica IDEX as in effect on the date hereof and as amended from time to time ("By-Laws");
(3) Certified resolutions of the Board of Transamerica IDEX authorizing the appointment of the Investment Adviser and the Sub-Adviser and approving the form of the Advisory Agreement and this Agreement;
(34) The Transamerica IDEX Registration Statement under the 1940 Act and the Securities Act of 1933, as amended, on Form N-1A, as filed with the Securities and Exchange Commission ("SEC") relating to the each Fund and its shares and all amendments thereto ("Registration Statement"); and;
(45) The Transamerica IDEX Prospectus (as defined above);
(6) A certified copy of any publicly available financial statement or report prepared for Transamerica IDEX by certified or independent public accountants, and copies of any financial statements or reports made by the each Fund to its shareholders or to any governmental body or securities exchange;
(7) An executed copy of the Investment Advisory Agreement; and
(8) A list of each affiliated person (and any affiliated person of such an affiliated person) of the Investment Adviser. The Investment Adviser shall furnish the Sub-Adviser with any further documents, materials materials, procedures adopted by the Board applicable to the Sub-Adviser ("Board Procedures"), or information that the Sub-Adviser may reasonably request to enable it to perform its duties pursuant to this Agreement. Until Investment Adviser delivers any such amendment or supplement to the documents listed in this section 4.B., to the Fund Policies or to the Board Procedures, the Sub-Adviser shall be fully protected in relying on the most recent versions of such documents or policies previously furnished to the Sub-Adviser.
C. During the term of this Agreement, the Investment Adviser shall furnish to the Sub-Adviser at its principal office all prospectuses, proxy statements, reports to shareholders, sales documentationand marketing literature, promotional, marketing, advertising and or other written, printed or electronic material or performance information or data prepared for distribution to shareholders of the Fund Funds or the public, which include the Xxxx or refer to the FundFunds, the Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser in any way, prior to a the use thereof which has not been previously approved by thereof, and the Sub-Adviser. The Investment Adviser shall not use any such materials without the prior written consent of the Sub-Adviser's prior written approval, which approval shall not be unreasonably withheld; and . The Sub-Adviser agrees to respond to the Investment Adviser shall not use any such materials which do not include the Xxxx if the Sub-Adviser reasonably objects in writing within ten (10) fifteen business days (or such other time as may be mutually agreed uponagreed) after the Sub-Adviser's receipt thereofthereof to signify its consent or rejection.
Appears in 1 contract
Samples: Investment Sub Advisory Agreement (Transamerica Idex Mutual Funds)
Duties of the Investment Adviser. A. The Investment Adviser shall continue to have responsibility for all services to be provided to the Fund pursuant to the Advisory Agreement and shall oversee and review the Sub-Adviser's performance of its duties and services under this Agreement.
B. The Investment Adviser has furnished the Sub-Adviser with copies of each of the following documents and will furnish to the Sub-Adviser at its principal office all future amendments and supplements to such documents, if any, as soon as practicable after such documents become available:
(1) The Transamerica IDEX Declaration of Trust and By-Laws, as each is in effect on the date hereof and as amended from time to time;
(2) Certified resolutions of the Board authorizing the appointment of the Investment Adviser and the Sub-Adviser and approving this Agreement;
(3) The Transamerica IDEX Registration Statement under the 1940 Act and the Securities Act of 1933, on Form N-1A, as filed with the Securities and Exchange Commission ("SEC") relating to the Fund and its shares and all amendments thereto ("Registration Statement"); and
(4) A certified copy of any publicly available financial statement or report prepared for Transamerica IDEX by certified or independent public accountants, and copies of any financial statements or reports made by the Fund to its shareholders or to any governmental body or securities exchange. The Investment Adviser shall furnish the Sub-Adviser with any further documents, materials or information that the Sub-Adviser may reasonably request to enable it to perform its duties pursuant to this Agreement.
C. During the term of this Agreement, the Investment Adviser shall furnish to the Sub-Adviser at its principal office all prospectuses, proxy statements, reports to shareholders, sales documentation, promotional, marketing, advertising and other written, printed or electronic material or performance information or data prepared for distribution to shareholders of the Fund or the public, which include the Xxxx Mark or refer to the Fund, the Sub-Adviser or investment companies comxxxxes or other advisory accounts advised or sponsored by the Sub-Adviser in any way, prior to a use thereof which has not been previously approved by the Sub-Adviser. The Investment Adviser shall not use any such materials without the Sub-Adviser's prior written approval, which approval shall not be unreasonably withheld; and the Investment Adviser shall not use any such materials which do not include the Xxxx Mark if the Sub-Adviser reasonably objects in writing within ten xxx (10) business days (or such other time as may be mutually agreed upon) after the Sub-Adviser's receipt thereof.
Appears in 1 contract
Samples: Sub Advisory Agreement (Transamerica Idex Mutual Funds)
Duties of the Investment Adviser. A. The Investment Adviser shall continue to have responsibility for all services to be provided to the Fund Portfolio pursuant to the Advisory Agreement and shall oversee and review the Co-Sub-Adviser's performance of its duties and services under this Agreement. Notwithstanding the Investment Advisory Agreement, the Co-Sub-Adviser has the authority to buy, sell, exchange, convert, lend, and otherwise trade in any stocks, bonds and other securities or assets on behalf of the Portfolio.
B. The Investment Adviser has furnished the Co-Sub-Adviser with copies of each of the following documents and will furnish to the Co-Sub-Adviser at its principal office all future amendments and supplements to such documents, if any, as soon as practicable after such documents become available:
(1) The Transamerica IDEX Declaration Articles of Trust and By-LawsIncorporation of the Fund, as each is filed with the State of Maryland, as in effect on the date hereof and as amended from time to timetime ("Articles"):
(2) The By-Laws of the Fund as in effect on the date hereof and as amended from time to time ("By-Laws");
(23) Certified resolutions of the Board of the Fund authorizing the appointment of the Investment Adviser and the Co-Sub-Adviser and approving the form of the Advisory Agreement and this Agreement;
(34) The Transamerica IDEX Fund's Registration Statement under the 1940 Act and the Securities Act of 1933, as amended, on Form N-1A, as filed with the Securities and Exchange Commission ("SEC") relating to the Fund Portfolio and its shares and all amendments thereto ("Registration Statement");
(5) The Fund's Prospectus (as defined above); and
(46) A certified copy of any publicly available financial statement or report prepared for Transamerica IDEX the Fund by certified or independent public accountants, and copies of any financial statements or reports made by the Fund Portfolio to its shareholders or to any governmental body or securities exchange. The Investment Adviser shall furnish the Co-Sub-Adviser with any further documents, materials or information that the Co-Sub-Adviser may reasonably request to enable it to perform its duties pursuant to this Agreement.
C. During the term of this Agreement, the Investment Adviser shall furnish to the Co-Sub-Adviser at its principal office all prospectuses, proxy statements, reports to shareholders, sales documentationliterature, promotional, marketing, advertising and or other written, printed or electronic material or performance information or data prepared for distribution to shareholders of the Fund Portfolio or to the public, which include the Xxxx or refer to the Fund, the Co-Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Co-Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Co-Sub-Adviser in any way, prior to a the use thereof which has not been previously approved by the Sub-Adviser. The Investment Adviser shall not use any such materials without the Sub-Adviser's prior written approvalthereof, which approval shall not be unreasonably withheld; and the Investment Adviser shall not use any such materials which do not include the Xxxx if the Co-Sub-Adviser reasonably objects in writing within ten (10) fifteen business days (or such other time as may be mutually agreed uponagreed) after the Sub-Adviser's receipt thereof.
Appears in 1 contract
Samples: Sub Advisory Agreement (Aegon/Transamerica Series Fund Inc)
Duties of the Investment Adviser. A. The Investment Adviser shall continue to have responsibility for all services to be provided to the Fund pursuant to the Advisory Agreement and shall oversee and review the Sub-Adviser's performance of its duties and services under this Agreement. Notwithstanding the Advisory Agreement, the Sub-Adviser has the authority to buy, sell, exchange, convert, lend, and otherwise trade in any stocks, bonds and other securities or assets on behalf of the Fund.
B. The Investment Adviser has furnished the Sub-Adviser with copies of each of the following documents and will furnish to the Sub-Adviser at its principal office all future amendments and supplements to such documents, if any, as soon as practicable after such documents become available:
(1) The Transamerica IDEX Declaration of Trust and By-Laws, as each is in effect on the date hereof and as amended from time to time;Fund's Prospectus; and
(2) Certified resolutions of the Board authorizing the appointment of the Investment Adviser The Advisory and the Sub-Adviser and approving this Agreement;
(3) The Transamerica IDEX Registration Statement under the 1940 Act and the Securities Act of 1933, on Form N-1A, as filed with the Securities and Exchange Commission ("SEC") relating to the Fund and its shares and all amendments thereto ("Registration Statement"); and
(4) A certified copy of any publicly available financial statement or report prepared for Transamerica IDEX by certified or independent public accountants, and copies of any financial statements or reports made by the Fund to its shareholders or to any governmental body or securities exchange. Advisory Agreement The Investment Adviser shall furnish the Sub-Adviser with any further documents, materials or information that the Sub-Adviser may reasonably request to enable it to perform its duties pursuant to this Agreement.
C. During the term of this Agreement, the Investment Adviser shall furnish to the Sub-Adviser at its principal office all prospectuses, proxy statements, reports to shareholders, sales documentationliterature, promotional, marketing, advertising and or other written, printed or electronic material or performance information or data prepared for distribution to shareholders of the Fund or the public, which include the Xxxx or refer to the Fund, the Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser in any way, prior to a the use thereof which has not been previously approved by the Sub-Adviser. The Investment Adviser shall not use any such materials without the Sub-Adviser's prior written approvalthereof, which approval shall not be unreasonably withheld; and the Investment Adviser shall not use any such materials which do not include the Xxxx if the Sub-Adviser reasonably objects in writing within ten (10) fifteen business days (or such other time as may be mutually agreed uponagreed) after the Sub-Adviser's receipt thereof.
Appears in 1 contract
Samples: Sub Advisory Agreement (Aegon/Transamerica Series Fund Inc)
Duties of the Investment Adviser. A. The Investment Adviser shall continue to have responsibility for all services to be provided to the Fund pursuant to the Advisory Agreement and shall oversee and review the Sub-Adviser's performance of its duties and services under this Agreement. Notwithstanding the Advisory Agreement, the Sub-Adviser has the authority to buy, sell, exchange, convert, lend, and otherwise trade in any stocks, bonds and other securities or assets on behalf of the Fund.
B. The Investment Adviser has furnished the Sub-Adviser with copies of each of the following documents and will furnish to the Sub-Adviser at its principal office all future amendments and supplements to such documents, if any, as soon as practicable after such documents become available:
(1) The Transamerica IDEX Restatement of Declaration of Trust and By-LawsTrust, as each is filed with the State of Massachusetts, as in effect on the date hereof and as amended from time to timetime ("Trust");
(2) The By-Laws of Transamerica IDEX as in effect on the date hereof and as amended from time to time ("By-Laws");
(3) Certified resolutions of the Board of Transamerica IDEX and certified resolution of the shareholders authorizing the appointment of the Investment Adviser and the Sub-Adviser and approving the Sub-Adviser and approving the form of the Advisory Agreement and this Agreement;
(34) The Transamerica IDEX Registration Statement under the 1940 Act and the Securities Act of 1933, as amended, on Form N-1A, as filed with the Securities and Exchange Commission ("SEC") relating to the Fund and its shares and all amendments thereto ("Registration Statement"); and;
(45) The Transamerica IDEX Prospectus (as defined above);
(6) A certified copy of any publicly available financial statement or report prepared for Transamerica IDEX by certified or independent public accountants, and copies of any financial statements or reports made by the Fund to its shareholders or to any governmental body or securities exchange. ; and The Investment Adviser shall furnish the Sub-Adviser with any further documents, materials or information that the Sub-Adviser may reasonably request to enable it to perform its duties pursuant to this Agreement.
C. During the term of this Agreement, the Investment Adviser shall furnish to the Sub-Adviser at its principal office all prospectuses, proxy statements, reports to shareholders, sales documentationliterature, promotional, marketing, advertising and or other written, printed or electronic material or performance information or data prepared for distribution to shareholders of the Fund or the public, which include the Xxxx or refer to the Fund, the Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser or investment companies or other advisory accounts advised or sponsored by the Sub-Adviser in any way, prior to a the use thereof which has not been previously approved by the Sub-Adviser. The Investment Adviser shall not use any such materials without the Sub-Adviser's prior written approvalthereof, which approval shall not be unreasonably withheld; and the Investment Adviser shall not use any such materials which do not include the Xxxx if the Sub-Adviser reasonably objects in writing within ten (10) fifteen business days (or such other time as may be mutually agreed uponagreed) after receipt thereof.
D. Neither the Investment Adviser nor any affiliate or agent of it shall make reference to or use the name of the Sub-Adviser or any of its affiliates, or any of its client, except references concerning the identify of and services provided by the Sub-Adviser to the Fund, which references shall not differ in substance from those included in the Prospectus and this Agreement, in any advertising or promotional materials without the prior approval of Sub-Adviser's receipt thereof, which approval shall not be unreasonably withheld or delayed. The Investment Adviser hereby agrees to make all reasonable efforts to cause the Fund and any affiliate thereof to satisfy the foregoing obligation.
Appears in 1 contract
Samples: Sub Advisory Agreement (Transamerica Idex Mutual Funds)
