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 Portfolio 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.
Appears in 1 contract
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 each Portfolio 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.
Appears in 1 contract
Samples: Management Agreement (Old Mutual Insurance Series Fund)
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 each Portfolio 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:: DMEAST #8605877 v8 2
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.
Appears in 1 contract
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 each Portfolio 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 ’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.
Appears in 1 contract
Samples: Management Agreement (Old Mutual Insurance Series Fund)
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 Portfolio 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 '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
and b. evaluating, on behalf of the Fund, the effectiveness of the compliance programs of the Fund’s '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 's Board of Trustees or committees thereof;
; b. preparing, reviewing and/or filing regulatory reports, including without limitation, the Fund’s '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
and e. conducting an annual review of the Fund’s 's fidelity bond coverage and D&O/E&O insurance coverage for the trustees and officers of the Fund.
Appears in 1 contract
