Legal and compliance. The Investment Manager will:
Legal and compliance. The Adviser will:
Legal and compliance. (i) During the term of this Agreement and thereafter, for so long as Xxxxxxx remains subject to restrictions on the transferability of Company securities held by him, Company shall continue to advise and assist Xxxxxxx with such reports and filings as may be required by the federal securities laws and to provide Xxxxxxx with such notices concerning restrictions on sale and transferability as it provides to its officers, directors, and other holders of restricted stock. (ii) Company shall reimburse Xxxxxxx for the fees and expenses of legal and tax advice incurred by him in connection with this Agreement through the date of execution, up to but not exceeding $4,000 (four thousand dollars).
Legal and compliance. Child and vulnerable adult protection: SPC is committed to the well-being of children and vulnerable adults. All SPC contractors are required to commit to the principles of SPC’s Child and Vulnerable Adult Protection Policy (XI.G Manual of Staff Policies). Breach of this requirement can result in SPC terminating any contract with a successful bidder. Any allegations of potential misconduct in relation to this RFP involving children or vulnerable adults should sent to xxxxxxxxxx@xxx.xxx.
Legal and compliance. The Investment Manager will: (1) in performing its duties hereunder, comply with the 1940 Act and all rules and regulations thereunder, the Advisers Act, the Internal Revenue Code (the "Code"), and all other applicable federal and state laws and regulations, and with any applicable procedures adopted by the Trustees; (2) in performing its duties hereunder, use reasonable efforts to manage the Portfolios so that it will qualify, and continue to qualify, as a regulated investment company under Subchapter M of the Code and regulations issued thereunder; (3) provide to the Fund compliance services designed to ensure compliance with applicable federal and state securities laws, rules and regulations, including without limitation: a. administering the Fund's compliance program adopted pursuant to Rule 38a-1 under the Act, including portfolio valuation procedures, expense allocation procedures, personal trading procedures, and the Fund's Code of Ethics; and b. evaluating, on behalf of the Fund, the effectiveness of the compliance programs of the Fund's other service providers; (4) provide to the Fund legal services, including: a. developing and preparing agendas, proposals, presentations and materials for meetings of the Fund's Board of Trustees or committees thereof; b. preparing, reviewing and/or filing regulatory reports, including without limitation, the Fund's registration statement, prospectuses and statements of additional information and any supplements thereto, shareholder reports and other shareholder communications, proxy statements, and corporate reports required of the various states in which the Fund does business; c. drafting, reviewing and negotiating selling and/or servicing agreements; d. developing Fund polices and procedures for consideration by the Board of Trustees; and e. conducting an annual review of the Fund's fidelity bond coverage and D&O/E&O insurance coverage for the trustees and officers of the Fund. (e)
Legal and compliance. (a) Each Party shall comply with all applicable Legal Requirements and the terms of this Agreement.
Legal and compliance
