Common use of Investment Adviser Matters Clause in Contracts

Investment Adviser Matters. (a) A copy of Part 1 and Part 2A of Form ADV of Investors Capital Corporation d/b/a Investors Capital Advisory Services (the “Investment Adviser Subsidiary”) on file with the SEC as of the date of this Agreement (the “Form ADVs”), have been made available to Parent. The Form ADVs comply in all material respects with the applicable requirements of the Investment Advisers Act.

Investment Adviser Matters. (a) A copy Copies of Part the Uniform Application for Investment Adviser Registration on Form ADV, including Parts 1 and Part 2A 2, of Form ADV of Investors Capital Corporation d/b/a Investors Capital Advisory Services Summit Financial Group, Inc. (the “Investment Adviser Subsidiary”) on file with the SEC and currently made available to Clients, reflecting all amendments thereof that are in effect as of the date of this Agreement (the “Form ADVsADV”), have been made available delivered to ParentParent prior to the date of this Agreement. The To the Company’s knowledge, the Form ADVs comply ADV is in all material respects compliance with the applicable requirements of the Investment Advisers ActLaw.