IRON Representations. IRON represents that it is registered as an investment adviser with the Securities and Exchange Commission under the Investment Advisers Act of 1940 or with applicable state(s) securities authorities, and is qualified to serve as an investment manager as defined in Section 3(38). IRON agrees to notify the Sponsor and Nationwide in writing within ten (10) business days after IRON ceases to be registered as an investment adviser and/or investment manager. IRON represents that it is a “fiduciary” as that term is defined by ERISA with respect to investment management services described herein and also represents that it has received, read and will comply with all applicable provisions of ERISA and/or other applicable law including fee and compensation disclosure. IRON represents that it will not employ investment strategies which involve the investment of Plan assets in mutual funds that are affiliated with IRON Fiduciary, an offering by Creative Planning, LLC (“Affiliated Funds”) or strategies which would cause IRON to act as a fiduciary with respect to the oversight of an affiliated managed account service program or provider (“Affiliated Program”).
Appears in 2 contracts
Samples: Erisa Fiduciary 3(38) Investment Management Agreement, Erisa Fiduciary 3(38) Investment Management Agreement
IRON Representations. IRON represents that it is registered as an investment adviser with the Securities and Exchange Commission under the Investment Advisers Act of 1940 or with applicable state(s) securities authorities, and is qualified to serve serv e as an investment manager as defined in Section 3(38). IRON agrees to notify the Sponsor and Nationwide in writing within ten (10) business days after IRON ceases to be registered as an investment adviser and/or investment manager. IRON represents that it is a “fiduciary” as that term is defined by ERISA with respect to investment management services described herein and also represents that it has received, read and will comply with all applicable provisions of ERISA and/or other applicable law including fee and compensation disclosure. IRON represents that it will not employ investment strategies which involve the investment of Plan assets in mutual funds that are affiliated with IRON Fiduciary, an offering by Creative Planning, LLC (“Affiliated Funds”) or strategies which would cause IRON to act as a fiduciary with respect to the oversight of an affiliated managed account service program or provider (“Affiliated Program”).
Appears in 1 contract
Samples: Erisa Fiduciary 3(38) Investment Management Agreement
IRON Representations. IRON represents that it is registered as an investment adviser with the Securities and Exchange Commission under the Investment Advisers Act of 1940 or with applicable state(s) securities authorities, and is qualified to serve as an investment manager as defined in Section 3(38). IRON agrees to notify the Sponsor and Nationwide in writing within ten (10) business days after IRON ceases to be registered as an investment adviser and/or investment manager. IRON represents that it is a “fiduciary” as that term is defined by ERISA with respect to investment management services described herein and also represents that it has received, read and will comply with all applicable provisions of ERISA and/or other applicable law including fee and compensation disclosure. IRON represents that it will not employ investment strategies which involve the investment of Plan assets in mutual funds that are affiliated with IRON Fiduciary, an offering by Creative Planning, LLC Financial (“Affiliated Funds”) or strategies which would cause IRON to act as a fiduciary with respect to the oversight of an affiliated managed account accounts service program or provider (“Affiliated Program”).
Appears in 1 contract
Samples: Erisa Fiduciary 3(38) Investment Management Agreement