OFAC Policies, Procedures and Controls. Such Adviser currently maintains, will maintain and has maintained for the past five years, policies, procedures and controls reasonably designed to ensure that it does not, and will not, engage in any unauthorized dealings or transactions with any Adviser Person, or in any country or territory, that at the time of the dealing or transaction is or was the subject of U.S. sanctions administered by OFAC.
Appears in 2 contracts
Samples: Initial Offering Period Agreement (BNY Mellon Alcentra Global Multi-Strategy Credit Fund, Inc.), Distribution Agreement (BlackRock Multi-Sector Opportunities Trust)
OFAC Policies, Procedures and Controls. Such Adviser currently maintains, will maintain and has The Advisors have maintained for the past five years, currently maintains, and will maintain policies, procedures and controls reasonably designed to ensure that it does not, and will not, engage in any unauthorized dealings or transactions with any Adviser Advisor Person, or in any country or territory, that at the time of the dealing or transaction is or was the subject of U.S. sanctions administered by OFAC.
Appears in 1 contract
Samples: Underwriting Agreement (Guggenheim Active Allocation Fund)
OFAC Policies, Procedures and Controls. Such Adviser currently maintains, will maintain and Each of the Advisers has maintained for the past five years, currently maintains, and will maintain policies, procedures and controls reasonably designed to ensure that it does not, and will not, engage in any unauthorized dealings or transactions with any Adviser Person, or in any country or territory, that at the time of the dealing or transaction is or was the subject of U.S. sanctions administered by OFAC.
Appears in 1 contract
Samples: Distribution Agreement (Guggenheim Energy & Income Fund)
