Fund Compliance with Policies and Procedures. The Fund has adopted and implemented written policies and procedures reasonably designed to prevent violation of the Federal Securities Laws (as that term is defined in Rule 38a-1 under the Investment Company Act) by the Fund, including policies and procedures that provide oversight of compliance for each investment adviser, administrator and transfer agent of the Fund.
Appears in 40 contracts
Samples: Sales Agreement (Guggenheim Taxable Municipal Managed Duration Trust), Sales Agreement (Guggenheim Strategic Opportunities Fund), Sales Agreement (Calamos Global Total Return Fund)
Fund Compliance with Policies and Procedures. The Fund has adopted and implemented written policies and procedures reasonably designed to prevent violation of the Federal Securities Laws (as that term is defined in Rule 38a-1 under the Investment Company Act0000 Xxx) by the Fund, including policies and procedures that provide oversight of compliance for each investment adviser, administrator and transfer agent of the Fund.
Appears in 21 contracts
Samples: RiverNorth/DoubleLine Strategic Opportunity Fund, Inc., Underwriting Agreement (Principal Real Estate Income Fund), Underwriting Agreement (Calamos Dynamic Convertible & Income Fund)
Fund Compliance with Policies and Procedures. The Fund has adopted and implemented written policies and procedures reasonably designed to prevent violation of the Federal Securities Laws (as that term is defined in Rule 38a-1 under the Investment Company 1940 Act) by the Fund, including policies and procedures that provide oversight of compliance for each investment adviser, administrator and transfer agent of the Fund.
Appears in 11 contracts
Samples: Underwriting Agreement (Dreyfus Alcentra Global Credit Income 2024 Target Term Fund, Inc.), Underwriting Agreement (Eaton Vance Floating-Rate 2022 Target Term Trust), Underwriting Agreement (Eagle Growth & Income Opportunities Fund)
Fund Compliance with Policies and Procedures. The Fund has adopted and implemented written policies and procedures reasonably designed to prevent violation of the Federal Securities Laws (as that term is defined in Rule 38a-1 under the Investment Company Act1000 Xxx) by the Fund, including policies and procedures that provide oversight of compliance for each investment adviser, administrator and transfer agent of the Fund.
Appears in 5 contracts
Samples: Underwriting Agreement (Rivernorth Opportunities Fund, Inc.), Equity Distribution Agreement (DNP Select Income Fund Inc), Underwriting Agreement (RiverNorth/DoubleLine Strategic Opportunity Fund, Inc.)
Fund Compliance with Policies and Procedures. The Fund has adopted and implemented written policies and procedures reasonably designed to prevent violation of the Federal Securities Laws (as that term is defined in Rule 38a-1 under the Investment Company 1940 Act) by the Fund, including policies and procedures that provide oversight of compliance for each investment adviser, administrator adviser and transfer agent of the Fund.
Appears in 4 contracts
Samples: Underwriting Agreement (Nuveen Preferred & Income 2022 Term Fund), Underwriting Agreement (Nuveen Energy MLP Total Return Fund), Underwriting Agreement (Nuveen Energy MLP Total Return Fund)
Fund Compliance with Policies and Procedures. The Fund has adopted and implemented written policies and procedures reasonably designed to prevent violation of the Federal Securities Laws (as that term is defined in Rule 38a-1 under the Investment Company Act) by the Fund, including policies and procedures that provide oversight of compliance for each investment adviser, administrator and transfer agent of the Fund, and has appointed a Chief Compliance Officer in compliance with Rule 38a-1. The Fund will direct the proceeds of the offering of the Placement Shares in such a manner as to comply with the asset coverage requirements of the Investment Company Act.
Appears in 2 contracts
Samples: Sales Agreement (Miller/Howard High Income Equity Fund), Investment Advisory Agreement (Miller/Howard High Income Equity Fund)
Fund Compliance with Policies and Procedures. The Fund has adopted and implemented written policies and procedures reasonably designed to prevent violation of the Federal Securities Laws (as that term is defined in Rule 38a-1 38a‑1 under the Investment Company Act1000 Xxx) by the Fund, including policies and procedures that provide oversight of compliance for each investment adviser, administrator and transfer agent of the Fund.
Appears in 2 contracts
Samples: Underwriting Agreement (Rivernorth Opportunities Fund, Inc.), Underwriting Agreement (RiverNorth/DoubleLine Strategic Opportunity Fund, Inc.)
Fund Compliance with Policies and Procedures. The Fund has adopted and implemented written policies and procedures reasonably designed to prevent violation of the Federal Securities Laws (as that term is defined in Rule 38a-1 under the Investment Company Act) by the Fund, including policies Fund and procedures that provide oversight of approved a Chief Compliance Officer in compliance for each investment adviser, administrator and transfer agent of the Fundwith Rule 38a-1.
Appears in 1 contract
Samples: Sales Agreement (Rivernorth Opportunities Fund, Inc.)
Fund Compliance with Policies and Procedures. The Fund has adopted and implemented written policies and procedures reasonably designed to prevent violation of the Federal Securities Laws (as that term is defined in Rule 38a-1 under the Investment Company Act0000 Xxx) by the Fund, including policies and procedures that provide oversight of compliance for each investment adviser, administrator and transfer agent of the Fund. The Fund has appointed a Chief Compliance Officer in compliance with Rule 38a-1.
Appears in 1 contract
Samples: Underwriting Agreement (First Trust Dynamic Europe Equity Income Fund)
Fund Compliance with Policies and Procedures. The Fund has adopted and implemented written policies and procedures reasonably designed to prevent violation of the Federal Securities Laws (as that term is defined in Rule 38a-1 under the Investment Company Act0000 Xxx) by the Fund, including policies and procedures that provide oversight of compliance for each investment adviser, administrator and transfer agent of the Fund, and has appointed a Chief Compliance Officer in compliance with Rule 38a-1. The Fund will direct the proceeds of the offering of the Securities in such a manner as to comply with the asset coverage requirements of the 1940 Act.
Appears in 1 contract
Samples: Underwriting Agreement (Miller/Howard High Income Equity Fund)
Fund Compliance with Policies and Procedures. The Fund has adopted and implemented written policies and procedures reasonably designed to prevent violation of the Federal Securities Laws (as that term is defined in Rule 38a-1 38a 1 under the Investment Company Act1000 Xxx) by the Fund, including policies and procedures that provide oversight of compliance for each investment adviser, administrator and transfer agent of the Fund.
Appears in 1 contract
Samples: Underwriting Agreement (Calamos Strategic Total Return Fund)
Fund Compliance with Policies and Procedures. The Fund has adopted and implemented written policies and procedures reasonably designed to prevent violation of the Federal Securities Laws (as that term is defined in Rule 38a-1 38a 1 under the Investment Company Act0000 Xxx) by the Fund, including policies and procedures that provide oversight of compliance for each investment adviser, administrator and transfer agent of the Fund.
Appears in 1 contract
Samples: Underwriting Agreement (Calamos Global Dynamic Income Fund)
