Common use of Principal Transactions Clause in Contracts

Principal Transactions. In connection with purchases or sales of securities for the account of a Fund, neither the Adviser nor any of its directors, officers or employees will act as a principal or agent or receive any commission except as permitted by the 1940 Act.

Appears in 297 contracts

Samples: Investment Advisory Agreement (World Funds Trust), Investment Advisory Agreement (World Funds Trust), Investment Advisory Agreement (Listed Funds Trust)

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Principal Transactions. In connection with purchases or sales of securities for the account of a Fund, neither the Sub-Adviser nor any of its directors, officers or employees will act as a principal or agent or receive any commission except as permitted by the 1940 Act.

Appears in 126 contracts

Samples: Sub Advisory Agreement (Advisors' Inner Circle Fund), Sub Advisory Agreement (Advisors' Inner Circle Fund), Sub Advisory Agreement (Advisors' Inner Circle Fund)

Principal Transactions. In connection with purchases or sales of securities for the account of a the Fund, neither the Adviser nor any of its directors, officers or employees will act as a principal or agent or receive any commission except as permitted by the 1940 Act.

Appears in 60 contracts

Samples: Investment Advisory Agreement (Wilshire Private Assets Tender Fund), Interim Investment Advisory Agreement (ETF Series Solutions), Investment Advisory Agreement (Connetic Venture Capital Access Fund)

Principal Transactions. In connection with purchases or sales of securities for the account of a Fund, neither the Adviser nor any of its the Adviser’s directors, officers officers, or employees will shall act as a principal or agent or receive any commission except as permitted by the 1940 Act.

Appears in 42 contracts

Samples: Investment Advisory Agreement (Advisors' Inner Circle Fund III), Subadvisory Agreement (Advisors' Inner Circle Fund III), Investment Advisory Agreement (Advisors' Inner Circle Fund II)

Principal Transactions. In connection with purchases or sales of securities or other instruments for the account of a Fund, neither the Adviser nor any of its directors, officers or employees will act as a principal or agent or receive any commission except as permitted by the 1940 Act.

Appears in 11 contracts

Samples: Investment Advisory Agreement (Siren ETF Trust), Investment Advisory Agreement (Siren ETF Trust), Advisory Agreement (Reality Shares ETF Trust)

Principal Transactions. In connection with purchases or sales of securities for the account of a the Fund, neither the Adviser nor any of its the Adviser’s directors, officers officers, or employees will shall act as a principal or agent or receive any commission except as permitted by the 1940 Act.

Appears in 9 contracts

Samples: Assignment and Assumption Agreement (Advisors' Inner Circle Fund III), Investment Advisory Agreement (Advisors' Inner Circle Fund III), Investment Advisory Agreement (Advisors' Inner Circle Fund III)

Principal Transactions. In connection with purchases or sales of securities for the account of a Fundthe Company, neither the Adviser nor any of its the Adviser’s directors, officers officers, or employees will shall act as a principal or agent or receive any commission except as permitted by the 1940 Act.

Appears in 6 contracts

Samples: Investment Advisory Agreement (Advisors' Inner Circle Fund III), Investment Advisory Agreement (Advisors' Inner Circle Fund III), Investment Advisory Agreement (Advisors' Inner Circle Fund III)

Principal Transactions. In connection with purchases or sales of securities for the account of a Fund, neither the Adviser Advisor nor any of its directors, officers or employees will act as a principal or agent or receive any commission except as permitted by the 1940 Act.

Appears in 5 contracts

Samples: Investment Advisory Agreement (Brown Capital Management Mutual Funds), Investment Advisory Agreement (Brown Capital Management Mutual Funds), Investment Advisory Agreement (Brown Capital Management Mutual Funds)

Principal Transactions. In connection with purchases or sales of securities for the account of a the Fund, neither the Sub-Adviser nor any of its directors, officers or employees will act as a principal or agent or receive any commission except as permitted by the 1940 Act.

Appears in 5 contracts

Samples: Sub Advisory Agreement (Bishop Street Funds), Sub Advisory Agreement (Bishop Street Funds), Sub Advisory Agreement (Advisors Inner Circle Fund II)

Principal Transactions. In connection with purchases or sales of securities for the account of a Fundthe Funds, neither the Adviser nor any of its directors, officers or employees will act as a principal or agent or receive any commission except as permitted by the 1940 Act.

Appears in 5 contracts

Samples: Investment Advisory Agreement (Advisors Inner Circle Fund), Investment Advisory Agreement (Advisors Inner Circle Fund), Investment Advisory Agreement (Advisors Inner Circle Fund II)

Principal Transactions. In connection with purchases or sales of securities for the account of a Fund, neither the Adviser nor any of its directors, officers or employees will act as a principal or agent or receive any commission except as permitted by the 1940 Act.

Appears in 4 contracts

Samples: Investment Advisory Agreement (Meeder Funds), Investment Advisory Agreement (Meeder Funds), Investment Advisory Agreement (Meeder Funds)

Principal Transactions. In connection with purchases or sales of securities for the account of a the Fund, neither the Sub-Adviser nor any of its directors, officers employees or employees affiliated persons will act as a principal or agent or receive any commission except as permitted by the 1940 Act.

Appears in 4 contracts

Samples: Sub Advisory Agreement (Pioneer Series Trust Ii), Sub Advisory Agreement (Pioneer Series Trust Ii), Sub Advisory Agreement (Pioneer Series Trust Ii)

Principal Transactions. In connection with purchases or sales of securities investment instruments for the account of a Fundthe Funds, neither the Adviser nor any of its directors, officers or employees will act as a principal or agent or receive any commission except as permitted by the 1940 Act.

Appears in 3 contracts

Samples: Investment Advisory Agreement (Advisors' Inner Circle Fund III), Investment Advisory Agreement (Advisors' Inner Circle Fund III), Investment Advisory Agreement (Advisors' Inner Circle Fund III)

Principal Transactions. In connection with purchases or sales of securities for the account of a Fund, neither the Adviser nor any of its the Adviser's directors, officers officers, or employees will shall act as a principal or agent or receive any commission except as permitted by the 1940 Act.

Appears in 2 contracts

Samples: Investment Advisory Agreement (Oak Associates Funds), Investment Advisory Agreement (Advisors' Inner Circle Fund III)

Principal Transactions. In connection with purchases or sales of securities or other assets for the account of a FundCompany, neither the Adviser nor any of its directors, officers or employees will act as a principal or agent or receive any commission except as permitted by the 1940 Actapplicable law.

Appears in 2 contracts

Samples: Advisory Agreement (Virtus ETF Trust II), Advisory Agreement (Virtus ETF Trust II)

Principal Transactions. In connection with purchases or sales of securities or other investments for the account of a Fund, neither the Adviser nor any of its directors, officers or employees will act as a principal or agent or receive any commission except as permitted by the 1940 Act.

Appears in 2 contracts

Samples: Investment Advisory Agreement (Matrix Advisors Funds Trust), Investment Advisory Agreement (Loeb King Trust)

Principal Transactions. In connection with purchases or sales of securities for the account of a the Fund, neither the Adviser nor any of its directors, officers or employees will act as a principal or agent or receive any commission except as permitted by the 1940 ActAct or the rules and regulations thereunder.

Appears in 2 contracts

Samples: Investment Advisory Agreement (Advisors' Inner Circle Fund), Investment Advisory Agreement (Advisors Inner Circle Fund)

Principal Transactions. In connection with purchases or sales of securities for the account of a the Fund, neither the Adviser Advisor nor any of its directors, officers or employees will act as a principal or agent or receive any commission except as permitted by the 1940 Act.

Appears in 2 contracts

Samples: Investment Advisory Agreement (Thirdline Real Estate Income Fund), Investment Advisory Agreement (FNEX Ventures)

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Principal Transactions. In connection with purchases or sales of securities for the account of a the Fund, neither the Adviser nor any of its directors, officers or employees will act as a principal or agent or receive any commission except as permitted by the 1940 ActAct and the Fund's policies and procedures.

Appears in 2 contracts

Samples: Investment Advisory Agreement (Finance Co of Pennsylvania), Investment Advisory Agreement (Finance Co of Pennsylvania)

Principal Transactions. In connection with purchases or sales of securities or other instruments for the account of a the Fund, neither the Adviser nor any of its directors, officers or employees will act as a principal or agent or receive any commission except as permitted by the 1940 Act.

Appears in 2 contracts

Samples: Investment Advisory Agreement (Winton Diversified Opportunities Fund), Investment Advisory Agreement (Winton Diversified Opportunities Fund)

Principal Transactions. In connection with purchases or sales of securities investment instruments for the account of a the Fund, neither the Adviser nor any of its directors, officers or employees will act as a principal or agent or receive any commission except as permitted by the 1940 Act.

Appears in 2 contracts

Samples: Investment Advisory Agreement (Advisors' Inner Circle Fund III), Investment Advisory Agreement (Advisors' Inner Circle Fund III)

Principal Transactions. In connection with purchases or sales of securities for the account of a the Fund, neither the Adviser nor any of its the Adviser’s directors, officers officers, or employees will act as a principal or agent or receive any commission except as permitted by the 1940 Act.

Appears in 1 contract

Samples: Investment Advisory Agreement (Advisors' Inner Circle Fund III)

Principal Transactions. In connection with purchases or sales of securities or other investments for the account of a Fundthe Company, neither the Adviser nor any of its directors, officers or employees will act as a principal or agent or receive any commission except as permitted by the 1940 Act.

Appears in 1 contract

Samples: Investment Advisory Agreement (Listed Funds Trust)

Principal Transactions. In connection with purchases or sales of securities for the account accounts of a Fundthe Funds, neither the Sub-Adviser nor any of its directors, officers or employees will act as a principal or agent or receive any commission except as permitted by the 1940 Act.

Appears in 1 contract

Samples: Sub Advisory Agreement (Bishop Street Funds)

Principal Transactions. In connection with purchases or sales of securities for the account of a the Fund, neither the Adviser nor any of its directors, members, managers, officers or employees will act as a principal or agent or receive any commission except as permitted by the 1940 Act.

Appears in 1 contract

Samples: Investment Advisory Agreement (Advisors' Inner Circle Fund III)

Principal Transactions. In connection with purchases or sales of securities for the account of a any Fund, neither the Adviser nor any of its directors, officers or employees will act as a principal or agent or receive any commission except as permitted by the 1940 Act.

Appears in 1 contract

Samples: Investment Advisory Agreement (Advisors Inner Circle Fund II)

Principal Transactions. In connection with purchases or sales of securities for the account of a Fund, neither the Investment Adviser nor any of its the Investment Adviser’s directors, officers officers, or employees will shall act as a principal or agent or receive any commission except as permitted by the 1940 Act.

Appears in 1 contract

Samples: Investment Advisory Agreement (FundVantage Trust)

Principal Transactions. In connection with purchases or sales of securities for the account of a the Fund, neither the Adviser nor any of its directors, officers or employees will act as a principal or agent or receive any commission except as permitted by this Agreement or the 1940 Act.

Appears in 1 contract

Samples: Investment Advisory Agreement (Advisors Inner Circle Fund)

Principal Transactions. In connection with purchases or sales of securities for the account of a the Fund, neither the Adviser nor any of its directors, officers or employees will act as a principal or agent or receive any commission except as permitted by the 1940 ActAct or a Commission Order.

Appears in 1 contract

Samples: Investment Advisory Agreement (Gallery Trust)

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