NONPUBLIC PERSONAL INFORMATION. Notwithstanding any provision herein to the contrary, the Advisor agrees on behalf of itself and its managers, members, officers, and employees (1) to treat confidentially and as proprietary information of the Trust (a) all records and other information relative to the Fund’s prior, present, or potential shareholders (and clients of said shareholders) and (b) any Nonpublic Personal Information, as defined under Section 248.3(t) of Regulation S-P (“Regulation S-P”), promulgated under the Gxxxx-Xxxxx-Xxxxxx Act (the “G-L-B Act”); and (2) except after prior notification to and approval in writing by the Trust, not to use such records and information for any purpose other than the performance of its responsibilities and duties hereunder, or as otherwise permitted by Regulation S-P or the G-L-B Act, and if in compliance therewith, the privacy policies adopted by the Trust and communicated in writing to the Advisor. Such written approval shall not be unreasonably withheld by the Trust and may not be withheld where the Advisor may be exposed to civil or criminal contempt or other proceedings for failure to comply after being requested to divulge such information by duly constituted authorities.
Appears in 42 contracts
Samples: Investment Advisory Agreement (World Funds Trust), Investment Advisory Agreement (World Funds Trust), Investment Advisory Agreement (Professionally Managed Portfolios)
NONPUBLIC PERSONAL INFORMATION. Notwithstanding any provision herein to the contrary, the Advisor agrees on behalf of itself and its managers, members, officers, and employees (1) to treat confidentially and as proprietary information of the Trust (a) all records and other information relative to the Fund’s prior, present, or potential shareholders (and clients of said shareholders) and (b) any Nonpublic Personal Information, as defined under Section 248.3(t) of Regulation S-P (“Regulation S-P”), promulgated under the GxxxxXxxxx-Xxxxx-Xxxxxx Act (the “G-L-B Act”); and (2) except after prior notification to and approval in writing by the Trust, not to use such records and information for any purpose other than the performance of its responsibilities and duties hereunder, or as otherwise permitted by Regulation S-P or the G-L-B Act, and if in compliance therewith, the privacy policies adopted by the Trust and communicated in writing to the Advisor. Such written approval shall not be unreasonably withheld by the Trust and may not be withheld where the Advisor may be exposed to civil or criminal contempt or other proceedings for failure to comply after being requested to divulge such information by duly constituted authorities.
Appears in 34 contracts
Samples: Investment Advisory Agreement (Professionally Managed Portfolios), Investment Advisory Agreement (Advisors Series Trust), Investment Advisory Agreement (Advisors Series Trust)
NONPUBLIC PERSONAL INFORMATION. Notwithstanding any provision herein to the contrary, the Advisor Adviser agrees on behalf of itself and its managers, members, officers, and employees (1) to treat confidentially and as proprietary information of the Trust (a) all records and other information relative to the each Fund’s prior, present, or potential shareholders (and clients of said shareholders) and (b) any Nonpublic Personal Information, as defined under Section 248.3(t) of Regulation S-P (“Regulation S-P”), promulgated under the GxxxxXxxxx-Xxxxx-Xxxxxx Act (the “G-L-B Act”); and (2) except after prior notification to and approval in writing by the Trust, not to use such records and information for any purpose other than the performance of its responsibilities and duties hereunder, or as otherwise permitted by Regulation S-P or the G-L-B Act, and if in compliance therewith, the privacy policies adopted by the Trust and communicated in writing to the AdvisorAdviser. Such written approval shall not be unreasonably withheld by the Trust and may not be withheld where the Advisor Adviser may be exposed to civil or criminal contempt or other proceedings for failure to comply after being requested to divulge such information by duly constituted authorities.
Appears in 28 contracts
Samples: Investment Advisory Agreement (Advisor Managed Portfolios), Investment Advisory Agreement (Advisor Managed Portfolios), Investment Advisory Agreement (Advisor Managed Portfolios)
NONPUBLIC PERSONAL INFORMATION. Notwithstanding any provision herein to the contrary, the Advisor Adviser agrees on behalf of itself and its managers, members, shareholders, officers, and employees (1) to treat confidentially and as proprietary information of the Trust (a) all records and other information relative to the each Fund’s prior, present, or potential shareholders (and clients of said shareholders) and (b) any Nonpublic Personal Information, as defined under Section 248.3(t) of Regulation S-P (“Regulation S-P”), promulgated under the GxxxxXxxxx-Xxxxx-Xxxxxx Act (the “G-L-B Act”); , and (2) except after prior notification to and approval in writing by the Trust, not to use such records and information for any purpose other than the performance of its responsibilities and duties hereunder, or as otherwise permitted by Regulation S-P or the G-L-B Act, and if in compliance therewith, the privacy policies adopted by the Trust and communicated in writing to the AdvisorAdviser. Such written approval shall not be unreasonably withheld by the Trust and may not be withheld where the Advisor Adviser may be exposed to civil or criminal contempt or other proceedings for failure to comply after being requested to divulge such information by duly constituted authorities.
Appears in 24 contracts
Samples: Investment Advisory Agreement (Impact Shares Trust I), Investment Advisory Agreement (Madison ETFs Trust), Investment Advisory Agreement (Tidal ETF Trust)
NONPUBLIC PERSONAL INFORMATION. Notwithstanding any provision herein to the contrary, the Advisor Adviser agrees on behalf of itself and its managers, members, officers, and employees (1) to treat confidentially and as proprietary information of the Trust (a) all records and other information relative to the Fund’s prior, present, or potential shareholders (and clients of said shareholders) and (b) any Nonpublic Personal Information, as defined under Section 248.3(t) of Regulation S-P (“Regulation S-P”), promulgated under the Gxxxx-Xxxxx-Xxxxxx Act (the “G-L-B Act”); and (2) except after prior notification to and approval in writing by the Trust, not to use such records and information for any purpose other than the performance of its responsibilities and duties hereunder, or as otherwise permitted by Regulation S-P or the G-L-B Act, and if in compliance therewith, the privacy policies adopted by the Trust and communicated in writing to the AdvisorAdviser. Such written approval shall not be unreasonably withheld by the Trust and may not be withheld where the Advisor Adviser may be exposed to civil or criminal contempt or other proceedings for failure to comply after being requested to divulge such information by duly constituted authorities.
Appears in 21 contracts
Samples: Investment Advisory Agreement (Professionally Managed Portfolios), Investment Advisory Agreement (Advisors Series Trust), Investment Advisory Agreement (Trust for Advised Portfolios)
NONPUBLIC PERSONAL INFORMATION. Notwithstanding any provision herein to the contrary, the Advisor Adviser agrees on behalf of itself and its managers, members, officers, and employees (1) to treat confidentially and as proprietary information of the Trust (a) all records and other information relative to the Fund’s prior, present, or potential shareholders (and clients of said shareholders) and (b) any Nonpublic Personal Information, as defined under Section 248.3(t) of Regulation S-P (“Regulation S-P”), promulgated under the GxxxxXxxxx-Xxxxx-Xxxxxx Act (the “G-L-B Act”); and (2) except after prior notification to and approval in writing by the Trust, not to use such records and information for any purpose other than the performance of its responsibilities and duties hereunder, or as otherwise permitted by Regulation S-P or the G-L-B Act, and if in compliance therewith, the privacy policies adopted by the Trust and communicated in writing to the AdvisorAdviser. Such written approval shall not be unreasonably withheld by the Trust and may not be withheld where the Advisor Adviser may be exposed to civil or criminal contempt or other proceedings for failure to comply after being requested to divulge such information by duly constituted authorities.
Appears in 12 contracts
Samples: Investment Advisory Agreement (Advisors Series Trust), Investment Advisory Agreement (Advisors Series Trust), Investment Advisory Agreement (Professionally Managed Portfolios)
NONPUBLIC PERSONAL INFORMATION. Notwithstanding any provision herein to the contrary, the Advisor agrees on behalf of itself and its managersdirectors, memberstrustees, shareholders, officers, and employees (1) to treat confidentially and as proprietary information of the Trust (a) all records and other information relative to the Fund’s prior, present, or potential shareholders (and clients of said shareholders) and (b) any Nonpublic Personal Information, as defined under Section 248.3(t) of Regulation S-P (“Regulation S-P”), promulgated under the Gxxxx-Xxxxx-Xxxxxx Act (the “G-L-B Act”); , and (2) except after prior notification to and approval in writing by the Trust, not to use such records and information for any purpose other than the performance of its responsibilities and duties hereunder, or as otherwise permitted by Regulation S-P or the G-L-B Act, and if in compliance therewith, the privacy policies adopted by the Trust and communicated in writing to the Advisor. Such written approval shall not be unreasonably withheld by the Trust and may not be withheld where the Advisor may be exposed to civil or criminal contempt or other proceedings for failure to comply after being requested to divulge such information by duly constituted authorities.
Appears in 10 contracts
Samples: Investment Advisory Agreement (Hotchkis & Wiley Funds /De/), Investment Advisory Agreement (Hotchkis & Wiley Funds /De/), Investment Advisory Agreement (Hotchkis & Wiley Funds /De/)
NONPUBLIC PERSONAL INFORMATION. Notwithstanding any provision herein to the contrary, the Advisor Adviser agrees on behalf of itself and its managers, members, officers, and employees (1) to treat confidentially and as proprietary information of the Trust (a) all records and other information relative to the each Fund’s prior, present, or potential shareholders (and clients of said shareholders) and (b) any Nonpublic Personal Information, as defined under Section 248.3(t) of Regulation S-P (“Regulation S-P”), promulgated under the Gxxxx-Xxxxx-Xxxxxx Act (the “G-L-B Act”); and (2) except after prior notification to and approval in writing by the Trust, not to use such records and information for any purpose other than the performance of its responsibilities and duties hereunder, or as otherwise permitted by Regulation S-P or the G-L-B Act, and if in compliance therewith, the privacy policies adopted by the Trust and communicated in writing to the AdvisorAdviser. Such written approval shall not be unreasonably withheld by the Trust and may not be withheld where the Advisor Adviser may be exposed to civil or criminal contempt or other proceedings for failure to comply after being requested to divulge such information by duly constituted authorities.
Appears in 8 contracts
Samples: Investment Advisory Agreement (Trust for Advised Portfolios), Investment Advisory Agreement (Trust for Advised Portfolios), Investment Advisory Agreement (Trust for Advised Portfolios)
NONPUBLIC PERSONAL INFORMATION. Notwithstanding any provision herein to the contrary, the Advisor agrees on behalf of itself and its managers, members, officers, and employees (1) to treat confidentially and as proprietary information of the Trust (a) all records and other information relative to the Fund’s Funds’ prior, present, or potential shareholders (and clients of said shareholders) and (b) any Nonpublic Personal Information, as defined under Section 248.3(t) of Regulation S-P (“Regulation S-P”), promulgated under the GxxxxXxxxx-Xxxxx-Xxxxxx Act (the “G-L-B Act”); and (2) except after prior notification to and approval in writing by the Trust, not to use such records and information for any purpose other than the performance of its responsibilities and duties hereunder, or as otherwise permitted by Regulation S-P or the G-L-B Act, and if in compliance therewith, the privacy policies adopted by the Trust and communicated in writing to the Advisor. Such written approval shall not be unreasonably withheld by the Trust and may not be withheld where the Advisor may be exposed to civil or criminal contempt or other proceedings for failure to comply after being requested to divulge such information by duly constituted authorities.
Appears in 8 contracts
Samples: Investment Advisory Agreement (FundX Investment Trust), Investment Advisory Agreement (FundX Investment Trust), Investment Advisory Agreement (FundX Investment Trust)
NONPUBLIC PERSONAL INFORMATION. Notwithstanding any provision herein to the contrary, the Advisor agrees on behalf of itself and its managersdirectors, memberstrustees, shareholders, officers, and employees (1) to treat confidentially and as proprietary information of the Trust (a) all records and other information relative to the Fund’s prior, present, or potential shareholders (and clients of said shareholders) and (b) any Nonpublic Personal Information, as defined under Section 248.3(t) of Regulation S-P (“Regulation S-P”), promulgated under the GxxxxXxxxx-Xxxxx-Xxxxxx Act (the “G-L-B Act”); , and (2) except after prior notification to and approval in writing by the Trust, not to use such records and information for any purpose other than the performance of its responsibilities and duties hereunder, or as otherwise permitted by Regulation S-P or the G-L-B Act, and if in compliance therewith, the privacy policies adopted by the Trust and communicated in writing to the Advisor. Such written approval shall not be unreasonably withheld by the Trust and may not be withheld where the Advisor may be exposed to civil or criminal contempt or other proceedings for failure to comply after being requested to divulge such information by duly constituted authorities.
Appears in 7 contracts
Samples: Investment Advisory Agreement (Hotchkis & Wiley Funds /De/), Investment Advisory Agreement (Hotchkis & Wiley Funds /De/), Investment Advisory Agreement (Hotchkis & Wiley Funds /De/)
NONPUBLIC PERSONAL INFORMATION. Notwithstanding any provision herein to the contrary, the Advisor Adviser agrees on behalf of itself and its managers, members, officers, and employees employees: (1) to treat confidentially and as proprietary information of the Trust Fund (a) all records and other information relative to the Fund’s prior, present, or potential shareholders (and clients of said shareholders) and (b) any Nonpublic Personal Information, as defined under Section 248.3(t) of Regulation S-P (“Regulation S-P”), promulgated under the GxxxxXxxxx-Xxxxx-Xxxxxx Act (the “G-L-B Act”); and (2) except after prior notification to and approval in writing by the TrustFund, not to use such records and information for any purpose other than the performance of its responsibilities and duties hereunder, or as otherwise permitted by Regulation S-P or the G-L-B Act, and if in compliance therewith, the privacy policies adopted by the Trust Fund and communicated in writing to the AdvisorAdviser. Such written approval shall not be unreasonably withheld by the Trust Fund and may not be withheld where the Advisor Adviser may be exposed to civil or criminal contempt or other proceedings for failure to comply after being requested to divulge such information by duly constituted authorities.
Appears in 7 contracts
Samples: Investment Advisory Agreement (Angel Oak Strategic Credit Fund), Investment Advisory Agreement (Angel Oak Dynamic Financial Strategies Income Term Trust), Interim Investment Advisory Agreement (Bluestone Community Development Fund)
NONPUBLIC PERSONAL INFORMATION. Notwithstanding any provision herein to the contrary, the Advisor Adviser agrees on behalf of itself and its managers, members, officers, and employees employees: (1) to treat confidentially and as proprietary information of the Trust (a) all records and other information relative to the Fund’s Funds’ prior, present, or potential shareholders (and clients of said shareholders) and (b) any Nonpublic Personal Information, as defined under Section 248.3(t) of Regulation S-P (“Regulation S-P”), promulgated under the GxxxxXxxxx-Xxxxx-Xxxxxx Act (the “G-L-B Act”); and (2) except after prior notification to and approval in writing by the Trust, not to use such records and information for any purpose other than the performance of its responsibilities and duties hereunder, or as otherwise permitted by Regulation S-P or the G-L-B Act, and if in compliance therewith, the privacy policies adopted by the Trust and communicated in writing to the AdvisorAdviser. Such written approval shall not be unreasonably withheld by the Trust and may not be withheld where the Advisor Adviser may be exposed to civil or criminal contempt or other proceedings for failure to comply after being requested to divulge such information by duly constituted authorities.
Appears in 4 contracts
Samples: Investment Advisory Agreement (Angel Oak Funds Trust), Investment Advisory Agreement (Angel Oak Funds Trust), Investment Advisory Agreement (Angel Oak Funds Trust)
NONPUBLIC PERSONAL INFORMATION. Notwithstanding any provision herein to the contrary, the Advisor agrees on behalf of itself and its managers, members, officers, and employees (1) to treat confidentially and as proprietary information of the Trust (a) all records and other information relative to the Fund’s Funds’ prior, present, or potential shareholders (and clients of said shareholders) and (b) any Nonpublic Personal Information, as defined under Section 248.3(t) of Regulation S-P (“Regulation S-P”), promulgated under the Gxxxx-Xxxxx-Xxxxxx Act (the “G-L-B Act”); and (2) except after prior notification to and approval in writing by the Trust, not to use such records and information for any purpose other than the performance of its responsibilities and duties hereunder, or as otherwise permitted by Regulation S-P or the G-L-B Act, and if in compliance therewith, the privacy policies adopted by the Trust and communicated in writing to the Advisor. Such written approval shall not be unreasonably withheld by the Trust and may not be withheld where the Advisor may be exposed to civil or criminal contempt or other proceedings for failure to comply after being requested to divulge such information by duly constituted authorities.
Appears in 3 contracts
Samples: Investment Advisory Agreement (FundX Investment Trust), Investment Advisory Agreement (FundX Investment Trust), Investment Advisory Agreement (Professionally Managed Portfolios)
NONPUBLIC PERSONAL INFORMATION. Notwithstanding any provision herein to the contrary, the Advisor agrees on behalf of itself and its managers, members, officers, and employees (1) to treat confidentially and as proprietary information of the Trust (a) all records and other information relative to the each Fund’s prior, present, or potential shareholders (and clients of said shareholders) and (b) any Nonpublic Personal Information, as defined under Section 248.3(t) of Regulation S-P (“Regulation S-P”), promulgated under the Gxxxx-Xxxxx-Xxxxxx Act (the “G-L-B Act”); and (2) except after prior notification to and approval in writing by the Trust, not to use such records and information for any purpose other than the performance of its responsibilities and duties hereunder, or as otherwise permitted by Regulation S-P or the G-L-B Act, and if in compliance therewith, the privacy policies adopted by the Trust and communicated in writing to the Advisor. Such written approval shall not be unreasonably withheld by the Trust and may not be withheld where the Advisor may be exposed to civil or criminal contempt or other proceedings for failure to comply after being requested to divulge such information by duly constituted authorities.
Appears in 3 contracts
Samples: Investment Advisory Agreement (Professionally Managed Portfolios), Investment Advisory Agreement (Professionally Managed Portfolios), Investment Advisory Agreement (Professionally Managed Portfolios)
NONPUBLIC PERSONAL INFORMATION. Notwithstanding any provision herein to the contrary, the Advisor Adviser agrees on behalf of itself and its managers, membersdirectors, officers, and employees (1) to treat confidentially and as proprietary information of the Trust Company (a) all records and other information relative to the Fund’s series of the Company and their prior, present, or potential shareholders (and clients of said shareholders) and (b) any Nonpublic Personal Information, as defined under Section 248.3(t) of Regulation S-P (“Regulation S-P”), promulgated under the GxxxxXxxxx-Xxxxx-Xxxxxx Act (the “G-L-B Act”); , and (2) except after prior notification to and approval in writing by the Trust, not to use such records and information for any purpose other than the performance of its responsibilities and duties hereunder, or as otherwise permitted by Regulation S-P or the privacy policies adopted by the Company, the G-L-B ActAct or Regulation S-P, except after prior notification to and if approval in compliance therewith, the privacy policies adopted writing by the Trust and communicated in writing to the AdvisorCompany. Such written approval shall not be unreasonably withheld by the Trust Company and may not be withheld where the Advisor Adviser may be exposed to civil or criminal contempt or other proceedings for failure to comply after being requested to divulge such information by duly constituted authorities, or when so requested by the Company.
Appears in 3 contracts
Samples: Investment Advisory Agreement (Van Wagoner Funds Inc), Investment Advisory Agreement (Van Wagoner Funds Inc), Investment Advisory Agreement (Van Wagoner Funds Inc)
NONPUBLIC PERSONAL INFORMATION. Notwithstanding any provision herein to the contrary, the Advisor Adviser agrees on behalf of itself and its managers, members, officers, and employees employees: (1) to treat confidentially and as proprietary information of the Trust Fund (a) all records and other information relative to the Fund’s prior, present, or potential shareholders (and clients of said shareholders) and (b) any Nonpublic Personal Information, as defined under Section 248.3(t) of Regulation S-P (“Regulation S-P”), promulgated under the Gxxxx-Xxxxx-Xxxxxx Act (the “G-L-B Act”); and (2) except after prior notification to and approval in writing by the TrustFund, not to use such records and information for any purpose other than the performance of its responsibilities and duties hereunder, or as otherwise permitted by Regulation S-P or the G-L-B Act, and if in compliance therewith, the privacy policies adopted by the Trust Fund and communicated in writing to the AdvisorAdviser. Such written approval shall not be unreasonably withheld by the Trust Fund and may not be withheld where the Advisor Adviser may be exposed to civil or criminal contempt or other proceedings for failure to comply after being requested to divulge such information by duly constituted authorities.
Appears in 3 contracts
Samples: Investment Advisory Agreement (Angel Oak Strategic Credit Fund), Investment Advisory Agreement (504 Fund), Investment Advisory Agreement (Pennant 504 Fund)
NONPUBLIC PERSONAL INFORMATION. Notwithstanding any provision herein to the contrary, the Advisor hereto agrees on behalf of itself and its managersdirectors, memberstrustees, shareholders, officers, and employees (1) to treat confidentially and as proprietary information of the Trust (a) all records and other information relative to the Fund’s Funds’ prior, present, or potential shareholders (and clients of said shareholders) and (b) any Nonpublic Personal Information, as defined under Section 248.3(t) of Regulation S-P (“Regulation S-P”), promulgated under the Gxxxx-Xxxxx-Xxxxxx Act (the “G-L-B Act”); , and (2) except after prior notification to and approval in writing by the Trust, not to use such records and information for any purpose other than the performance of its responsibilities and duties hereunder, or as otherwise permitted by Regulation S-P or the G-L-B Act, and if in compliance therewith, the privacy policies adopted by the Trust and communicated in writing to the Advisor. Such written approval shall not be unreasonably withheld by the Trust and may not be withheld where the Advisor may be exposed to civil or criminal contempt or other proceedings for failure to comply after being requested to divulge such information by duly constituted authorities.
Appears in 3 contracts
Samples: Investment Advisory Agreement (Trust for Professional Managers), Investment Advisory Agreement (Advisors Series Trust), Investment Advisory Agreement (Advisors Series Trust)
NONPUBLIC PERSONAL INFORMATION. Notwithstanding any provision herein to the contrary, the Advisor Adviser agrees on behalf of itself and its managers, members, officers, and employees (1) to treat confidentially and as proprietary information of the Trust (a) all records and other information relative to the each Fund’s 's prior, present, or potential shareholders (and clients of said shareholders) and (b) any Nonpublic Personal Information, as defined under Section 248.3(t) of Regulation S-P (“"Regulation S-P”"), promulgated under the Gxxxx-Xxxxx-Xxxxxx Act (the “"G-L-B Act”"); and (2) except after prior notification to and approval in writing by the Trust, not to use such records and information for any purpose other than the performance of its responsibilities and duties hereunder, or as otherwise permitted by Regulation S-P or the G-L-B Act, and if in compliance therewith, the privacy policies adopted by the Trust and communicated in writing to the AdvisorAdviser. Such written approval shall not be unreasonably withheld by the Trust and may not be withheld where the Advisor Adviser may be exposed to civil or criminal contempt or other proceedings for failure to comply after being requested to divulge such information by duly constituted authorities.
Appears in 2 contracts
Samples: Investment Advisory Agreement (Trust for Advised Portfolios), Investment Advisory Agreement (Trust for Advised Portfolios)
NONPUBLIC PERSONAL INFORMATION. Notwithstanding any provision herein to the contrary, the Advisor hereto agrees on behalf of itself and its managersdirectors, memberstrustees, shareholders, officers, and employees (1) to treat confidentially and as proprietary information of the Trust (a) all records and other information relative to the Fund’s prior, present, or potential shareholders (and clients of said shareholders) and (b) any Nonpublic Personal Information, as defined under Section 248.3(t) of Regulation S-P (“"Regulation S-P”"), promulgated under the Gxxxx-Xxxxx-Xxxxxx Act (the “"G-L-B Act”"); , and (2) except after prior notification to and approval in writing by the Trust, not to use such records and information for any purpose other than the performance of its responsibilities and duties hereunder, or as otherwise permitted by Regulation S-P or the G-L-B Act, and if in compliance therewith, the privacy policies adopted by the Trust and communicated in writing to the Advisor. Such written approval shall not be unreasonably withheld by the Trust and may not be withheld where the Advisor may be exposed to civil or criminal contempt or other proceedings for failure to comply after being requested to divulge such information by duly constituted authorities.
Appears in 2 contracts
Samples: Investment Advisory Agreement (Advisors Series Trust), Investment Advisory Agreement (Advisors Series Trust)
NONPUBLIC PERSONAL INFORMATION. Notwithstanding any provision herein to the contrary, the Advisor Adviser agrees on behalf of itself and its managers, members, officers, and employees (1) to treat confidentially and as proprietary information of the Trust (a) all records and other information relative to the Fund’s Funds’ prior, present, or potential shareholders (and clients of said shareholders) and (b) any Nonpublic Personal Information, as defined under Section 248.3(t) of Regulation S-P (“Regulation S-P”), promulgated under the Gxxxx-Xxxxx-Xxxxxx Act (the “G-L-B Act”); and (2) except after prior notification to and approval in writing by the Trust, not to use such records and information for any purpose other than the performance of its responsibilities and duties hereunder, or as otherwise permitted by Regulation S-P or the G-L-B Act, and if in compliance therewith, the privacy policies adopted by the Trust and communicated in writing to the AdvisorAdviser. Such written approval shall not be unreasonably withheld by the Trust and may not be withheld where the Advisor Adviser may be exposed to civil or criminal contempt or other proceedings for failure to comply after being requested to divulge such information by duly constituted authorities.
Appears in 2 contracts
Samples: Investment Advisory Agreement (Professionally Managed Portfolios), Investment Advisory Agreement (Professionally Managed Portfolios)
NONPUBLIC PERSONAL INFORMATION. Notwithstanding any provision herein to the contrary, the Advisor Adviser agrees on behalf of itself and its managers, members, officers, officers and employees employees: (1a) to treat confidentially and as proprietary information of the Trust Fund: (ai) all records and other information relative to the Fund’s prior, present, present or potential shareholders (and clients of said shareholders) ), and (bii) any Nonpublic Personal Information, as defined under Section 248.3(t) of Regulation S-P (“Regulation S-P”), promulgated under the GxxxxXxxxx-Xxxxx-Xxxxxx Act (the “G-L-B Act”); Act”); and (2b) except after prior notification to and approval in writing by the Fund or the Trust, not to use such records and information for any purpose other than the performance of its responsibilities and duties hereunder, or as otherwise permitted by Regulation S-P or the G-L-B Act, and if in compliance therewith, the privacy policies adopted by the Trust and communicated in writing to the AdvisorAdviser. Such written approval shall not be unreasonably withheld by the Fund or the Trust and may not be withheld where the Advisor Adviser may be exposed to civil or criminal contempt or other proceedings for failure to comply after being requested to divulge such information by duly constituted authorities.
Appears in 2 contracts
Samples: Investment Advisory Agreement (Connors Funds), Investment Advisory Agreement (Axonic Funds)
NONPUBLIC PERSONAL INFORMATION. Notwithstanding any provision herein to the contrary, the Advisor Adviser agrees on behalf of itself and its managersdirectors\trustees, membersshareholders, officers, and employees (1) to treat confidentially and as proprietary information of the Trust (a) all records and other information relative to the Fund’s prior, present, or potential shareholders (and clients of said shareholders) and (b) any Nonpublic Personal Information, as defined under Section 248.3(t) of Regulation S-P (“Regulation S-P”), promulgated under the GxxxxXxxxx-Xxxxx-Xxxxxx Act (the “G-L-B Act”); , and (2) except after prior notification to and approval in writing by the Trust, not to use such records and information for any purpose other than the performance of its responsibilities and duties hereunder, or as otherwise permitted by Regulation S-P or the G-L-B Act, and if in compliance therewith, the privacy policies adopted by the Trust and communicated in writing to the AdvisorAdviser. Such written approval shall not be unreasonably withheld by the Trust and may not be withheld where the Advisor Adviser may be exposed to civil or criminal contempt or other proceedings for failure to comply after being requested to divulge such information by duly constituted authorities.
Appears in 2 contracts
Samples: Investment Advisory Agreement (Smead Funds Trust), Investment Advisory Agreement (Smead Funds Trust)
NONPUBLIC PERSONAL INFORMATION. Notwithstanding any provision herein to the contrary, the Advisor Manager hereto agrees on behalf of itself and its managersdirectors, memberstrustees, shareholders, officers, and employees (1) to treat confidentially and as proprietary information of the Trust (a) all records and other information relative to the Fund’s prior, present, or potential shareholders (and clients of said shareholders) and (b) any Nonpublic Personal Information, as defined under Section 248.3(t) of Regulation S-P (“Regulation S-S- P”), promulgated under the GxxxxXxxxx-Xxxxx-Xxxxxx Act (the “G-L-B Act”); , and (2) except after prior notification to and approval in writing by the Trust, not to use such records and information for any purpose other than the performance of its responsibilities and duties hereunder, or as otherwise permitted by Regulation S-P or the G-L-B Act, and if in compliance therewith, the privacy policies adopted by the Trust and communicated in writing to the AdvisorManager. Such written approval shall not be unreasonably withheld by the Trust and may not be withheld where the Advisor Manager may be exposed to civil or criminal contempt or other proceedings for failure to comply after being requested to divulge such information by duly constituted authorities.
Appears in 2 contracts
Samples: Investment Management Agreement (James Alpha Funds Trust), Investment Management Agreement (James Alpha Funds Trust)
NONPUBLIC PERSONAL INFORMATION. Notwithstanding any provision herein to the contrary, the Advisor agrees on behalf of itself and its managers, members, officers, and employees (1) to treat confidentially and as proprietary information of the Trust (a) all records and other information relative to the Fund’s 's prior, present, or potential shareholders (and clients of said shareholders) and (b) any Nonpublic Personal Information, as defined under Section 248.3(t) of Regulation S-P (“"Regulation S-P”"), promulgated under the GxxxxXxxxx-Xxxxx-Xxxxxx Act (the “"G-L-B Act”"); and (2) except after prior notification to and approval in writing by the Trust, not to use such records and information for any purpose other than the performance of its responsibilities and duties hereunder, or as otherwise permitted by Regulation S-P or the G-L-B Act, and if in compliance therewith, the privacy policies adopted by the Trust and communicated in writing to the Advisor. Such written approval shall not be unreasonably withheld by the Trust and may not be withheld where the Advisor may be exposed to civil or criminal contempt or other proceedings for failure to comply after being requested to divulge such information by duly constituted authorities.
Appears in 2 contracts
Samples: Interim Investment Advisory Agreement (Professionally Managed Portfolios), Investment Advisory Agreement (Advisors Series Trust)
NONPUBLIC PERSONAL INFORMATION. Notwithstanding any provision herein to the contrary, the Advisor agrees on behalf of itself and its managers, members, officers, and employees (1) to treat confidentially and as proprietary information of the Trust (a) all records and other information relative to the Fund’s prior, present, or potential shareholders (and clients of said shareholders) and (b) any Nonpublic Personal Information, as defined under Section 248.3(t) of Regulation S-P (“Regulation S-P”), promulgated under the GxxxxGramm-Xxxxx-Xxxxxx Act Xxx (the “G-L-B Act”); and (2) except after prior notification to and approval in writing by the Trust, not to use such records and information for any purpose other than the performance of its responsibilities and duties hereunder, or as otherwise permitted by Regulation S-P or the G-L-B Act, and if in compliance therewith, the privacy policies adopted by the Trust and communicated in writing to the Advisor. Such written approval shall not be unreasonably withheld by the Trust and may not be withheld where the Advisor may be exposed to civil or criminal contempt or other proceedings for failure to comply after being requested to divulge such information by duly constituted authorities.
Appears in 2 contracts
Samples: Investment Advisory Agreement (World Funds Trust), Investment Advisory Agreement (World Funds Trust)
NONPUBLIC PERSONAL INFORMATION. Notwithstanding any provision herein to the contrary, the Advisor Adviser agrees on behalf of itself and its managers, members, officers, and employees employees: (1) to treat confidentially and as proprietary information of the Trust (a) all records and other information relative to the Fund’s Funds’ prior, present, or potential shareholders (and clients of said shareholders) and (b) any Nonpublic Personal Information, as defined under Section 248.3(t) of Regulation S-P (“Regulation S-P”), promulgated under the Gxxxx-Xxxxx-Xxxxxx Act (the “G-L-B Act”); and (2) except after prior notification to and approval in writing by the Trust, not to use such records and information for any purpose other than the performance of its responsibilities and duties hereunder, or as otherwise permitted by Regulation S-P or the G-L-B Act, and if in compliance therewith, the privacy policies adopted by the Trust and communicated in writing to the AdvisorAdviser. Such written approval shall not be unreasonably withheld by the Trust and may not be withheld where the Advisor Adviser may be exposed to civil or criminal contempt or other proceedings for failure to comply after being requested to divulge such information by duly constituted authorities.
Appears in 1 contract
Samples: Investment Advisory Agreement (Angel Oak Funds Trust)
NONPUBLIC PERSONAL INFORMATION. Notwithstanding any provision herein to the contrary, the Advisor agrees on behalf of itself and its managers, members, officers, and employees (1) to treat confidentially and as proprietary information of the Trust (a) all records and other information relative to the Fund’s prior, present, or potential shareholders (and clients of said shareholders) and (b) any Nonpublic Personal Information, as defined under Section 248.3(t) of Regulation S-P (“Regulation S-P”), promulgated under the GxxxxXxxxx-Xxxxx-Xxxxxx Act (the “G-L-B Act”); , and (2) except after prior notification to and approval in writing by the Trust, not to use such records and information for any purpose other than the performance of its responsibilities and duties hereunder, or as otherwise permitted by Regulation S-P or the G-L-B Act, and if in compliance therewith, the privacy policies adopted by the Trust and communicated in writing to the Advisor. Such written approval shall not be unreasonably withheld by the Trust and may not be withheld where the Advisor may be exposed to civil or criminal contempt or other proceedings for failure to comply after being requested to divulge such information by duly constituted authorities.
Appears in 1 contract
Samples: Investment Advisory Agreement (Professionally Managed Portfolios)
NONPUBLIC PERSONAL INFORMATION. Notwithstanding any provision herein to the contrary, the Advisor Adviser agrees on behalf of itself and its managers, members, officers, officers and employees employees: (1) to treat confidentially and as proprietary information of the Trust Fund (a) all records and other information relative to the Fund’s prior, present, present or potential shareholders (and clients of said shareholders) and (b) any Nonpublic Personal Information, as defined under Section 248.3(t) of Regulation S-P (“Regulation S-P”), promulgated under the GxxxxXxxxx-Xxxxx-Xxxxxx Act (the “G-L-B Act”); and (2) except after prior notification to and approval in writing by the TrustFund, not to use such records and information for any purpose other than the performance of its responsibilities and duties hereunder, or as otherwise permitted by Regulation S-P or the G-L-B Act, and if in compliance therewith, the privacy policies adopted by the Trust Fund and communicated in writing to the AdvisorAdviser. Such written approval shall not be unreasonably withheld by the Trust Fund and may not be withheld where the Advisor Adviser may be exposed to civil or criminal contempt or other proceedings for failure to comply after being requested to divulge such information by duly constituted authorities.
Appears in 1 contract
Samples: Investment Advisory Agreement (Axonic Alternative Income Fund)
NONPUBLIC PERSONAL INFORMATION. Notwithstanding any provision herein to the contrary, the Advisor agrees on behalf of itself and its managers, members, officers, and employees (1) to treat confidentially and as proprietary information of the Trust (a) all records and other information relative to the Fund’s 's prior, present, or potential shareholders (and clients of said shareholders) and (b) any Nonpublic Personal Information, as defined under Section 248.3(t) of Regulation S-P (“Regulation S-P”), promulgated under the GxxxxXxxxx-Xxxxx-Xxxxxx Act (the “G-L-B Act”); and (2) except after prior notification to and approval in writing by the Trust, not to use such records and information for any purpose other than the performance of its responsibilities and duties hereunder, or as otherwise permitted by Regulation S-P or the G-L-B Act, and if in compliance therewith, the privacy policies adopted by the Trust and communicated in writing to the Advisor. Such written approval shall not be unreasonably withheld by the Trust and may not be withheld where the Advisor may be exposed to civil or criminal contempt or other proceedings for failure to comply after being requested to divulge such information by duly constituted authorities.
Appears in 1 contract
Samples: Investment Advisory Agreement (Exchange Place Advisors Trust)
NONPUBLIC PERSONAL INFORMATION. Notwithstanding any provision herein to the contrary, the Advisor agrees on behalf of itself and its managers, members, officers, and employees (1) to treat confidentially and as proprietary information of the Trust (a) all records and other information relative to the Fund’s prior, present, or potential shareholders (and clients of said shareholders) and (b) any Nonpublic Personal Information, as defined under Section 248.3(t) of Regulation S-P (“Regulation S-S- P”), promulgated under the GxxxxXxxxx-Xxxxx-Xxxxxx Act (the “G-L-B Act”); and (2) except after prior notification to and approval in writing by the Trust, not to use such records and information for any purpose other than the performance of its responsibilities and duties hereunder, or as otherwise permitted by Regulation S-P or the G-L-B Act, and if in compliance therewith, the privacy policies adopted by the Trust and communicated in writing to the Advisor. Such written approval shall not be unreasonably withheld by the Trust and may not be withheld where the Advisor may be exposed to civil or criminal contempt or other proceedings for failure to comply after being requested to divulge such information by duly constituted authorities.
Appears in 1 contract
NONPUBLIC PERSONAL INFORMATION. Notwithstanding any provision herein to the contrary, the Advisor agrees on behalf of itself and its managersdirectors, memberstrustees, shareholders, officers, and employees (1) to treat confidentially and as proprietary information of the Trust (a) all records and other information relative to the Fund’s 's prior, present, or potential shareholders (and clients of said shareholders) and (b) any Nonpublic Personal Information, as defined under Section 248.3(t) of Regulation S-P (“"Regulation S-P”"), promulgated under the GxxxxXxxxx-Xxxxx-Xxxxxx Act (the “"G-L-B Act”"); , and (2) except after prior notification to and approval in writing by the Trust, not to use such records and information for any purpose other than the performance of its responsibilities and duties hereunder, or as otherwise permitted by Regulation S-P or the G-L-B Act, and if in compliance therewith, the privacy policies adopted by the Trust and communicated in writing to the Advisor. Such written approval shall not be unreasonably withheld by the Trust and may not be withheld where the Advisor may be exposed to civil or criminal contempt or other proceedings for failure to comply after being requested to divulge such information by duly constituted authorities.
Appears in 1 contract
Samples: Investment Advisory Agreement (Hotchkis & Wiley Funds /De/)
NONPUBLIC PERSONAL INFORMATION. Notwithstanding any provision herein to the contrary, the Advisor Adviser agrees on behalf of itself and its managers, members, officers, and employees (1) to treat confidentially and as proprietary information of the Trust (a) all records and other information relative to the Fund’s Funds’ prior, present, or potential shareholders (and clients of said shareholders) and (b) any Nonpublic Personal Information, as defined under Section 248.3(t) of Regulation S-P (“Regulation S-P”), promulgated under the GxxxxXxxxx-Xxxxx-Xxxxxx Act (the “G-L-B Act”); and (2) except after prior notification to and approval in writing by the Trust, not to use such records and information for any purpose other than the performance of its responsibilities and duties hereunder, or as otherwise permitted by Regulation S-P or the G-L-B Act, and if in compliance therewith, the privacy policies adopted by the Trust and communicated in writing to the AdvisorAdviser. Such written approval shall not be unreasonably withheld by the Trust and may not be withheld where the Advisor Adviser may be exposed to civil or criminal contempt or other proceedings for failure to comply after being requested to divulge such information by duly constituted authorities.
Appears in 1 contract
Samples: Investment Advisory Agreement (Professionally Managed Portfolios)
NONPUBLIC PERSONAL INFORMATION. Notwithstanding any provision herein to the contrary, the Advisor Adviser agrees on behalf of itself and its managers, members, officers, and employees '(1) to treat confidentially and as proprietary information of the Trust (a) all records and other information relative to the Fund’s 's prior, present, or potential shareholders (and clients of said shareholders) and (b6) any Nonpublic Personal Information, as defined under Section 248.3(t) of Regulation S-P (“''Regulation S-P”''), promulgated under the GxxxxXxxxx-Xxxxx-Xxxxxx Act (the “"G-L-B Act”''); and (2) except after prior notification to and approval in writing by the Trust, not to use such records and information for any purpose other than the performance of its responsibilities and duties hereunder, or as otherwise permitted by Regulation S-P or the G-L-B Act, and if in compliance therewith, the privacy policies adopted by the Trust and communicated in writing to the AdvisorAdviser. Such written approval shall not be unreasonably withheld by the Trust and may not be withheld where the Advisor Adviser may be exposed to civil or criminal contempt or other proceedings for failure to comply after being requested to divulge such information by duly constituted authorities.
Appears in 1 contract
Samples: Investment Advisory Agreement (Advisors Series Trust)
NONPUBLIC PERSONAL INFORMATION. Notwithstanding any provision herein to the contrary, the Advisor Manager agrees on behalf of itself and its their managers, members, officers, and employees (1) to treat confidentially and as proprietary information of the Trust (a) all records and other information relative to the Fund’s prior, present, or potential shareholders (and clients of said shareholders) and (b) any Nonpublic Personal Information, as defined under Section 248.3(t) of Regulation S-P (“Regulation S-P”), promulgated under the GxxxxXxxxx-Xxxxx-Xxxxxx Act (the “G-L-B Act”); , and (2) except after prior notification to and approval in writing by the Trust, not to use such records and information for any purpose other than the performance of its responsibilities and duties hereunder, or as otherwise permitted by Regulation S-P or the G-L-B Act, and if in compliance therewith, the privacy policies adopted by the Trust and communicated in writing to the AdvisorManager. Such written approval shall not be unreasonably withheld by the Trust and may not be withheld where the Advisor Manager may be exposed to civil or criminal contempt or other proceedings for failure to comply after being requested to divulge such information by duly constituted authorities.
Appears in 1 contract
Samples: Investment Management Agreement (Advisors Series Trust)
NONPUBLIC PERSONAL INFORMATION. Notwithstanding any provision herein to the contrary, the Advisor Sub-Adviser hereto agrees on behalf of itself and its managers, memberspartners, officers, and employees (1) to treat confidentially and as proprietary information of the Trust Fund (a) all records and other information relative to the Fund’s prior, present, or potential shareholders (and clients of said shareholders) and (b) any Nonpublic Personal Information, as defined under Section 248.3(t) of Regulation S-P (“Regulation S-P”), promulgated under the Gxxxx-Xxxxx-Xxxxxx Act (the “G-L-B Act”); , and (2) except after prior notification to and approval in writing by the Trust, not to use such records and information for any purpose other than the performance of its responsibilities and duties hereunder, or as otherwise permitted by Regulation S-P or the G-L-B Act, and if in compliance therewith, the privacy policies adopted by the Trust and communicated in writing to the AdvisorSub-Adviser. Such written approval shall not be unreasonably withheld by the Trust and may not be withheld where the Advisor Sub-Adviser may be exposed to civil or criminal contempt or other proceedings for failure to comply after being requested to divulge such information by duly constituted authorities.
Appears in 1 contract
Samples: Investment Sub Advisory Agreement (Advisors Series Trust)
NONPUBLIC PERSONAL INFORMATION. Notwithstanding any provision herein to the contrary, the Advisor agrees on behalf of itself and its managers, members, officers, and employees (1) to treat confidentially and as proprietary information of the Trust (a) all records and other information relative to the each Fund’s prior, present, or potential shareholders (and clients of said shareholders) and (b) any Nonpublic Personal Information, as defined under Section 248.3(t) of Regulation S-P (“Regulation S-P”), promulgated under the GxxxxXxxxx-Xxxxx-Xxxxxx Act (the “G-L-B Act”); and (2) except after prior notification to and approval in writing by the Trust, not to use such records and information for any purpose other than the performance of its responsibilities and duties hereunder, or as otherwise permitted by Regulation S-P or the G-L-B Act, and if in compliance therewith, the privacy policies adopted by the Trust and communicated in writing to the Advisor. Such written approval shall not be unreasonably withheld by the Trust and may not be withheld where the Advisor may be exposed to civil or criminal contempt or other proceedings for failure to comply after being requested to divulge such information by duly constituted authorities.
Appears in 1 contract
NONPUBLIC PERSONAL INFORMATION. Notwithstanding any provision herein to the contrary, the Advisor Adviser agrees on behalf of itself and its managers, members, officers, and employees employees: (1) to treat confidentially and as proprietary information of the Trust (a) all records and other information relative to the Fund’s prior, present, or potential shareholders (and clients of said shareholders) and (b) any Nonpublic Personal Information, as defined under Section 248.3(t) of Regulation S-P (“Regulation S-P”), promulgated under the GxxxxXxxxx-Xxxxx-Xxxxxx Act (the “G-L-B Act”); and (2) except after prior notification to and approval in writing by the Trust, not to use such records and information for any purpose other than the performance of its responsibilities and duties hereunder, or as otherwise permitted by Regulation S-P or the G-L-B Act, and if in compliance therewith, the privacy policies adopted by the Trust and communicated in writing to the AdvisorAdviser. Such written approval shall not be unreasonably withheld by the Trust and may not be withheld where the Advisor Adviser may be exposed to civil or criminal contempt or other proceedings for failure to comply after being requested to divulge such information by duly constituted authorities.
Appears in 1 contract
NONPUBLIC PERSONAL INFORMATION. Notwithstanding any provision herein to the contrary, the Advisor Adviser agrees on behalf of itself and its managers, members, officers, and employees (1) to treat confidentially and as proprietary information of the Trust (a) all records and other information relative to the Fund’s 's prior, present, or potential shareholders (and clients of said shareholders) and (b) any Nonpublic Personal Information, as defined under Section 248.3(t) of Regulation S-P (“"Regulation S-P”"), promulgated under the Gxxxx-Xxxxx-Xxxxxx Act (the “"G-L-B Act”"); and (2) except after prior notification to and approval in writing by the Trust, not to use such records and information for any purpose other than the performance of its responsibilities and duties hereunder, or as otherwise permitted by Regulation S-P or the G-L-B Act, and if in compliance therewith, the privacy policies adopted by the Trust and communicated in writing to the AdvisorAdviser. Such written approval shall not be unreasonably withheld by the Trust and may not be withheld where the Advisor Adviser may be exposed to civil or criminal contempt or other proceedings for failure to comply after being requested to divulge such information by duly constituted authorities.
Appears in 1 contract
Samples: Investment Advisory Agreement (Advisors Series Trust)
NONPUBLIC PERSONAL INFORMATION. Notwithstanding any provision herein to the contrary, the Advisor Adviser agrees on behalf of itself and its managers, members, officers, and employees (1) to treat confidentially and as proprietary information of the Trust (a) all records and other information relative to the Fund’s prior, present, or potential shareholders (and clients of said shareholders) and (b) any Nonpublic Personal Information, as defined under Section 248.3(t) of Regulation S-P (“Regulation S-P”), promulgated under the Gxxxx-Xxxxx-Xxxxxx Act (the “G-L-B Act”); and (2) except after prior notification to and approval in writing by the Trust, not to use such records and information for any purpose other than the performance of its responsibilities and duties hereunder, or as otherwise permitted by Regulation S-P or the G-L-B Act, and if in compliance therewith, the privacy policies adopted by the Trust and communicated in writing to the AdvisorAdviser. Such written approval shall not be unreasonably withheld by the Trust and may not be withheld where the Advisor Adviser may be exposed to civil or criminal contempt or other proceedings for failure to comply after being requested to divulge such information by duly constituted authorities.
Appears in 1 contract
Samples: Investment Advisory Agreement (Advisors Series Trust)