Rebates, Kickbacks and Reciprocal Arrangements. (i) The Adviser agrees that it shall not (A) receive or accept any rebate, give-up or similar arrangement that is prohibited under applicable federal or state securities laws, (B) participate in any reciprocal business arrangement that would circumvent provisions of applicable federal or state securities laws governing conflicts of interest or investment restrictions, or (C) enter into any agreement, arrangement or understanding that would circumvent the restrictions against dealing with affiliates or promoters under applicable federal or state securities laws.
Appears in 56 contracts
Samples: Investment Advisory Agreement (Prospect Flexible Income Fund, Inc.), Investment Advisory Agreement (Prospect Flexible Income Fund, Inc.), Investment Advisory And (Main Street Capital CORP)
Rebates, Kickbacks and Reciprocal Arrangements. (i) The Adviser Advisor agrees that it shall not (A) receive or accept any rebate, give-up or similar arrangement that is prohibited under applicable federal or state securities laws, (B) participate in any reciprocal business arrangement that would circumvent provisions of applicable federal or state securities laws governing conflicts of interest or investment restrictions, restrictions or (C) enter into any agreement, arrangement or understanding that would circumvent the restrictions against dealing with affiliates or promoters under applicable federal or state securities laws.
Appears in 6 contracts
Samples: Investment Advisory And (Terra Income Fund 6, Inc.), Investment Advisory And (Terra Income Fund 6, Inc.), Administrative Services Agreement (Terra Income Fund 6, Inc.)
Rebates, Kickbacks and Reciprocal Arrangements. (i) i. The Adviser agrees that it shall not (A) receive or accept any rebate, give-up or similar arrangement that is prohibited under applicable federal or state securities laws, (B) participate in any reciprocal business arrangement that would circumvent provisions of applicable federal or state securities laws governing conflicts of interest or investment restrictions, or (C) enter into any agreement, arrangement or understanding that would circumvent the restrictions against dealing with affiliates or promoters under applicable federal or state securities laws.
Appears in 5 contracts
Samples: Investment Advisory Agreement (TP Flexible Income Fund, Inc.), Investment Adviser Agreement (Triton Pacific Investment Corporation, Inc.), Investment Adviser Agreement (Triton Pacific Investment Corporation, Inc.)
Rebates, Kickbacks and Reciprocal Arrangements. (i) The Adviser agrees that it shall not (A) receive or accept any rebate, give-up or similar arrangement that is prohibited under applicable federal or state securities laws, (B) participate B)participate in any reciprocal business arrangement that would circumvent provisions of applicable federal or state securities laws governing conflicts of interest or investment restrictions, or (C) enter into any agreement, arrangement or understanding that would circumvent the restrictions against dealing with affiliates or promoters under applicable federal or state securities laws.
Appears in 1 contract
Samples: Investment Advisory Agreement (CION Investment Corp)
