Money Laundering Laws. The operations of the Investment Adviser and its subsidiaries are and have been conducted at all times in compliance with applicable Money Laundering Laws and no action, suit or proceeding by or before any court or governmental agency, authority or body or any arbitrator involving the Investment Adviser or any of its subsidiaries with respect to the Money Laundering Laws is pending or, to the best knowledge of the Investment Adviser, threatened.
Appears in 55 contracts
Samples: Underwriting Agreement (Nuveen Floating Rate Income Fund), Underwriting Agreement (Nuveen Floating Rate Income Opportunity Fund), Underwriting Agreement (Nuveen Senior Income Fund)
Money Laundering Laws. The operations of the Investment Adviser and its subsidiaries are and have been conducted at all times in compliance with applicable Money Laundering Laws and no action, suit or proceeding by or before any court or governmental agency, authority or body or any arbitrator involving the Investment Adviser or any of its subsidiaries with respect to the Money Laundering Laws is pending or, to the best knowledge of the Investment Adviser, threatened.
Appears in 29 contracts
Samples: Underwriting Agreement (RiverNorth/DoubleLine Strategic Opportunity Fund, Inc.), Sales Agreement (Miller/Howard High Income Equity Fund), Underwriting Agreement (Dreyfus Alcentra Global Credit Income 2024 Target Term Fund, Inc.)
Money Laundering Laws. The operations of the Investment Adviser and its subsidiaries are and have been conducted at all times in compliance with applicable financial recordkeeping and reporting requirements of the Money Laundering Laws Laws; and no action, suit or proceeding by or before any court arbitrator, court, governmental body, regulatory body, administrative agency or governmental agencyother authority, authority or body or any arbitrator involving agency having jurisdiction over the Investment Adviser or any of its subsidiaries properties, assets or operations involving the Adviser with respect to the Money Laundering Laws is pending or, to the best knowledge of the Investment Adviser, threatened.
Appears in 18 contracts
Samples: Underwriting Agreement (Goldman Sachs BDC, Inc.), Distribution Agreement (Goldman Sachs BDC, Inc.), Underwriting Agreement (Goldman Sachs BDC, Inc.)
Money Laundering Laws. The operations of the Investment Adviser and its subsidiaries are and have been conducted at all times in compliance in all material respects with applicable Money Laundering Laws and no action, suit or proceeding by or before any court or governmental agency, authority or body or any arbitrator involving the Investment Adviser or any of its subsidiaries with respect to the Money Laundering Laws is pending or, to the best knowledge of the Investment Adviser, threatened.
Appears in 13 contracts
Samples: Selling Agent Agreement (Priority Income Fund, Inc.), Selling Agent Agreement (Priority Income Fund, Inc.), Underwriting Agreement (Gabelli Dividend & Income Trust)
Money Laundering Laws. The operations of the Investment Adviser and its subsidiaries are and have been conducted at all times in compliance in all material respects with applicable Money Laundering Laws and no action, suit or proceeding by or before any court or governmental agency, authority or body or any arbitrator involving the Investment Adviser or any of its subsidiaries with respect to the Money Laundering Laws is pending or, to the best knowledge of the Investment Adviser, threatened.
Appears in 12 contracts
Samples: Underwriting Agreement (Priority Income Fund, Inc.), Underwriting Agreement (Priority Income Fund, Inc.), Underwriting Agreement (Priority Income Fund, Inc.)
Money Laundering Laws. The operations of the Investment Adviser and its subsidiaries are and have been conducted at all times in compliance with applicable Money Laundering Laws and no action, suit or proceeding by or before any court or governmental agency, authority or body or any arbitrator involving the Investment Adviser or any of its subsidiaries with respect to the Money Laundering Laws is pending or, to the best knowledge of the Investment Adviser, threatened.
Appears in 2 contracts
Samples: Underwriting Agreement (Eaton Vance Floating-Rate 2022 Target Term Trust), Underwriting Agreement (Eaton Vance High Income 2021 Target Term Trust)
Money Laundering Laws. The operations of the Investment Adviser and its subsidiaries are and have been conducted at all times in compliance with applicable Money Laundering Laws and no action, suit or proceeding by or before any court or governmental agency, authority or body or any arbitrator involving the Investment Adviser or any of its subsidiaries with respect to the Money Laundering Laws is pending or, to the best knowledge of the Investment Adviser, threatened.
Appears in 2 contracts
Samples: Underwriting Agreement (Rivernorth Opportunities Fund, Inc.), Underwriting Agreement (Brookfield Mortgage Opportunity Income Fund Inc.)
Money Laundering Laws. The operations of the Investment Adviser and its subsidiaries are and have been conducted at all times in compliance with applicable Money Laundering Laws Laws, and no action, suit or proceeding by or before any court or governmental agency, authority or body or any arbitrator involving the Investment Adviser or any of its subsidiaries with respect to the Money Laundering Laws is pending or, to the best knowledge of the Investment AdviserAdvisor and the Administrator, threatened.
Appears in 2 contracts
Samples: Underwriting Agreement (WhiteHorse Finance, Inc.), Underwriting Agreement (WhiteHorse Finance, LLC)
Money Laundering Laws. The operations of the Investment Adviser and its subsidiaries Advisor are and have been conducted at all times in compliance with applicable the Money Laundering Laws Laws; and no action, suit or proceeding by or before any court or governmental agency, authority or body or Governmental Entity involving any arbitrator involving the Investment Adviser or any of its subsidiaries Advisor with respect to the Money Laundering Laws is pending or, to the best knowledge of the Investment AdviserAdvisor, threatened.
Appears in 1 contract
Samples: Underwriting Agreement (Cohen & Steers Real Estate Opportunities & Income Fund)
Money Laundering Laws. The operations of the Investment such Adviser and its subsidiaries are and have been conducted at all times in compliance with applicable Money Laundering Laws and no action, suit or proceeding by or before any court or governmental agency, authority or body or any arbitrator involving the Investment such Adviser or any of its subsidiaries with respect to the Money Laundering Laws is pending or, to the best knowledge of the Investment such Adviser, threatened.
Appears in 1 contract
Samples: Underwriting Agreement (Guggenheim Equal Weight Enhanced Equity Income Fund)
