Common use of Oversight of Service Providers Clause in Contracts

Oversight of Service Providers. The CCO is responsible for overseeing, on behalf of the Trust, adherence to the written compliance policies and procedures of the Trust’s Service Providers. In furtherance of this duty, A. No later than the Effective Date, the CCO shall obtain and review the written compliance policies and procedures of the Service Providers or summaries of such policies that have been drafted by someone familiar with them. B. The CCO shall monitor the Service Providers’ compliance with their own written compliance policies and procedures, Federal Securities Laws and the Trusts’ Indenture and Regulatory Relief. In so doing, the CCO shall interact with representatives of the Service Providers as appropriate.

Appears in 23 contracts

Samples: Chief Compliance Officer Services Agreement (ALPS Series Trust), Chief Compliance Officer Services Agreement (ALPS Series Trust), Chief Compliance Officer Services Agreement (ALPS Series Trust)

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Oversight of Service Providers. The CCO is responsible for overseeing, on behalf of the Trust, adherence to the written compliance policies and procedures of the Trust’s Service Providers. In furtherance of this duty,: A. No later than the Effective Date, the CCO shall obtain and review the written compliance policies and procedures of the Service Providers or summaries of such policies that have been drafted by someone familiar with them. B. The CCO shall monitor the Service Providers’ compliance with their own written compliance policies and procedures, Federal Securities Laws and the Trusts’ Indenture and Regulatory Relief. In so doing, the CCO shall interact with representatives of the Service Providers as appropriate.

Appears in 4 contracts

Samples: Chief Compliance Officer Services Agreement (Financial Investors Trust), Chief Compliance Officer Services Agreement (Financial Investors Trust), Chief Compliance Officer Services Agreement (Financial Investors Trust)

Oversight of Service Providers. The CCO is responsible for overseeing, on behalf of the Trust, adherence to the written compliance policies and procedures of the Trust’s service providers, including the Adviser and distributor (the “Distributor”) (the Adviser and the Distributor, collectively, the “Service Providers”). In furtherance of this duty, A. No later than the Effective Date, the CCO shall obtain and review the written compliance policies and procedures of the Service Providers or summaries of such policies that have been drafted by someone familiar with them. B. The CCO shall monitor the Service Providers’ compliance with their own written compliance policies and procedures, Federal Securities Laws and the Trusts’ Indenture and Regulatory Relief. In so doing, the CCO shall interact with representatives of the Service Providers as appropriate.and

Appears in 2 contracts

Samples: Chief Compliance Officer Services Agreement (Financial Investors Trust), Chief Compliance Officer Services Agreement (Financial Investors Trust)

Oversight of Service Providers. The CCO is responsible for overseeing, on behalf of the Trust, adherence to the written compliance policies and procedures of the Trust’s Service Providers. In furtherance of this duty, A. No later than the Effective Dateeffective date for the Trust, the CCO shall obtain and review the written compliance policies and procedures of the Service Providers or summaries of such policies that have been drafted by someone familiar with them. B. The CCO shall monitor the Service Providers’ compliance with their own written compliance policies and procedures, Federal Securities Laws and the Trusts’ Indenture and Trust’s Regulatory Relief. In so doing, the CCO shall interact with representatives of the Service Providers as appropriate.

Appears in 2 contracts

Samples: Chief Compliance Officer Services Agreement (Goehring & Rozencwajg Investment Funds), Chief Compliance Officer Services Agreement (Goehring & Rozencwajg Investment Funds)

Oversight of Service Providers. The CCO is responsible for overseeing, on behalf of the Trust, adherence to the written compliance policies and procedures of the Trust’s service providers, including the Fund’s investment adviser and sub-adviser (the “Advisers”) and distributor (the “Distributor”). The Advisers and the Distributor collectively, the “Service Providers. .” In furtherance of this duty, A. No later than the Effective Date, 2015, the CCO shall obtain and review the written compliance policies and procedures of the Service Providers or summaries of such policies that have been drafted by someone familiar with them. B. The CCO shall monitor the Service Providers’ compliance with their own written compliance policies and procedures, Federal Securities Laws and the Trusts’ Indenture and Regulatory Relief. In so doing, the CCO shall interact with representatives of the Service Providers as appropriate.

Appears in 1 contract

Samples: Chief Compliance Officer Services Agreement (ALPS ETF Trust)

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Oversight of Service Providers. The CCO is responsible for overseeing, on behalf of the Trust, adherence to the written compliance policies and procedures of the Trust’s Service Providers. In furtherance of this duty,: A. No later than the Effective DateDecember 30, 2009, the CCO shall obtain and review the written compliance policies and procedures of the Service Providers or summaries of such policies that have been drafted by someone familiar with them. B. The CCO shall monitor the Service Providers’ compliance with their own written compliance policies and procedures, Federal Securities Laws and the Trusts’ Indenture and Regulatory Relief. In so doing, the CCO shall interact with representatives of the Service Providers as appropriate. C. The CCO shall attempt to obtain the following representations from each Service Provider and, if it fails to obtain such representations, shall report this fact to Vulcan:

Appears in 1 contract

Samples: Chief Compliance Officer Services Agreement (Financial Investors Trust)

Oversight of Service Providers. The CCO is responsible for overseeing, on behalf of the Trust, adherence to the written compliance policies and procedures of the Trust’s Service Providers. In furtherance of this duty, A. No later than the Effective Date, the CCO shall obtain and review the written compliance policies and procedures of the Service Providers or summaries of such policies that have been drafted by someone familiar with them. B. The CCO shall monitor the Service Providers’ compliance with their own written compliance policies and procedures, Federal Securities Laws and the Trusts’ Indenture and Regulatory Relief. In so doing, the CCO shall interact with representatives of the Service Providers as appropriate.

Appears in 1 contract

Samples: Chief Compliance Officer Services Agreement (Financial Investors Trust)

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