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 Trust, the advisor, the distributor, the administrator, and the transfer agent (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.
Appears in 2 contracts
Samples: Chief Compliance Officer Services Agreement (Financial Investors Trust), Chief Compliance Officer Services Agreement (Elevation ETF 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 Trust, the advisor, the distributor, the administrator, Funds’ investment adviser and the transfer agent distributor (the “Service Providers”). In furtherance of this duty,
A. No later than the Effective Date, the The CCO shall obtain has obtained and review reviewed 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)
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 Trustits investment adviser and distributor (collectively, the advisor, the distributor, the administrator, and the transfer agent (the “Service Providers”). In furtherance of this duty,
A. No later than the Effective DateApril 1, 2010, 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’ Trust’s 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 (Transparent Value 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 Trust, the advisor, the distributor, the administrator, and the transfer agent (the “Service Providers”). In furtherance of this duty,
A. No later than the Effective Dateeffective date of 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 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 (Broadstone Real Estate Access Fund)
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 Trust, the advisor, the distributor, the administrator, and the transfer agent (the “Service Providers”). In furtherance of this duty,
A. No later than the Effective DateSeptember 30, 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 (Reality Shares ETF 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 Client and distributor (the Trust“Distributor”) (Client and Distributor, the advisorcollectively, the distributor, the administrator, and the transfer agent (the “Service Providers”). In furtherance of this duty,
A. No later than the Effective DateDecember 31, 2012, 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 (Centre 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 Trust, the advisor, the distributor, the administrator, and the transfer agent (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.
Appears in 1 contract
Samples: Chief Compliance Officer Services Agreement (Reality Shares ETF 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 Trust, the advisor, the distributor, the administrator, and the transfer agent (the “Service Providers”). In furtherance of this duty,
A. No later than the Effective DateNovember 29, 2013, 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 (Broadview Funds Trust)
Oversight of Service Providers. The CCO is responsible for overseeing, on behalf of the TrustFund, adherence to the written compliance policies and procedures of the TrustFund’s service providers, including the TrustFund, the advisor, the distributor, the administrator, and the transfer agent (the “Service Providers”). In furtherance of this duty,
A. No later than the Effective Dateeffective date of the Fund, 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 TrustsFunds’ 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 (Broadstone Real Estate Access Fund, Inc.)
Oversight of Service Providers. The CCO is responsible for overseeing, on behalf of the TrustFund, adherence to the written compliance policies and procedures of the TrustFund’s service providers, including the TrustFund, the advisoradviser, the distributor, the administrator, and the transfer agent (the “Service Providers”). In furtherance of this duty,
A. No later than the Effective Dateeffective date of the Fund, 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 TrustsFunds’ 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 (Broadstone Real Estate Access Fund)
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 distributor (the Trust“Distributor” and collectively, the advisor, the distributor, the administrator, and the transfer agent (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.
Appears in 1 contract
Samples: Chief Compliance Officer Services Agreement (Reaves Utility Income Fund)