Regulation S-P. In accordance with Regulation S-P, if non-public personal information regarding customers/shareholders is disclosed to either party in connection with this Agreement, the party receiving such information will not disclose or use that information other than as necessary to carry out the purposes of this Agreement. Any privacy notice that Broker/Dealer delivers to customers/shareholders will comply with Title V of the Xxxxx-Xxxxx-Xxxxxx Act and Regulations S-P, as each may be amended, and will notify customers that non-public personal information may be provided to financial service providers such as security broker-dealers or investment companies and as permitted by law. This provision will survive the termination of this Agreement.
Appears in 39 contracts
Samples: Broker Dealer Selling Agreement, Broker Dealer Selling Agreement (1WS Credit Income Fund), Broker Dealer Selling Agreement
Regulation S-P. In accordance with Regulation S-P, if non-public personal information regarding customers/shareholders is disclosed to either party in connection with this Agreement, the party receiving such information will not disclose or use that information other than as necessary to carry out the purposes of this Agreement. Any privacy notice that Broker/Dealer Servicer delivers to customers/shareholders will comply with Title V of the Xxxxx-Xxxxx-Xxxxxx Act and Regulations S-P, as each may be amended, and will notify customers that non-public personal information may be provided to financial service providers such as security broker-dealers or investment companies and as permitted by law. This provision will survive the termination of this Agreement.
Appears in 25 contracts
Samples: Shareholder Servicer Selling Agreement (List Income Opportunities Fund), Shareholder Servicing Selling Agreement (Brandes Investment Trust), Shareholder Servicing Selling Agreement (Financial Investors Trust)
Regulation S-P. In accordance with Regulation S-P, if non-public personal information regarding customers/shareholders is disclosed to either party in connection with this Agreement, the party receiving such information will not disclose or use that information other than as necessary to carry out the purposes of this Agreement. Any privacy notice that Broker/Dealer delivers to customers/shareholders will comply with Title V of the XxxxxGxxxx-Xxxxx-Xxxxxx Act and Regulations S-P, as each may be amended, and will notify customers that non-public personal information may be provided to financial service providers such as security broker-dealers or investment companies and as permitted by law. This provision will survive the termination of this Agreement.
Appears in 18 contracts
Samples: Broker Dealer Selling Agreement (Heartland Group Inc), Broker Dealer Selling Agreement (Ares Private Markets Fund), Broker Dealer Selling Agreement (FS Multi-Alternative Income Fund)
Regulation S-P. In accordance with Regulation S-P, if non-public personal information regarding customers/shareholders is disclosed to either party in connection with this Agreement, the party receiving such information will not disclose or use that information other than as necessary to carry out the purposes of this Agreement. Any privacy notice that Broker/-Dealer delivers to customers/shareholders will comply with Title V of the Xxxxx-Xxxxx-Xxxxxx Act and Regulations S-P, as each may be amended, and will notify customers that non-public personal information may be provided to financial service providers such as security broker-dealers or investment companies and as permitted by law. This provision will survive the termination of this Agreement.
Appears in 7 contracts
Samples: Broker Dealer Selling Agreement (List Income Opportunities Fund), Broker Dealer Selling Agreement (Brandes Investment Trust), Broker Dealer Selling Agreement (Financial Investors Trust)
Regulation S-P. In accordance with Regulation S-P, if non-public personal information regarding customers/shareholders is disclosed to either party in connection with this Agreement, the party receiving such information will not disclose or use that information other than as necessary to carry out the purposes of this Agreement. Any privacy notice that Broker/Dealer Servicer delivers to customers/shareholders will comply with Title V of the XxxxxGxxxx-Xxxxx-Xxxxxx Act and Regulations S-P, as each may be amended, and will notify customers that non-public personal information may be provided to financial service providers such as security broker-dealers or investment companies and as permitted by law. This provision will survive the termination of this Agreement.
Appears in 5 contracts
Samples: Shareholder Servicing Agreement (Heartland Group Inc), Shareholder Servicing Selling Agreement (ALPS Series Trust), Shareholder Servicing Agreement (Clough Funds Trust)
Regulation S-P. In accordance with Regulation S-P, if non-public personal information regarding customers/shareholders is disclosed to either party Distributor or Broker/Dealer in connection with this Agreement, the party receiving such information will not disclose or use that information other than as necessary to carry out the purposes of this Agreement. Any privacy notice that Broker/Dealer delivers to customers/shareholders will comply with Title V of the XxxxxGxxxx-Xxxxx-Xxxxxx Act and Regulations S-P, as each may be amended, and will notify customers that non-public personal information may be provided to financial service providers such as security broker-dealers or investment companies and as permitted by law. This provision will survive the termination of this Agreement.
Appears in 5 contracts
Samples: Broker Dealer Selling Agreement (CC Real Estate Income Fund-T2), Broker Dealer Selling Agreement (NorthStar Real Estate Capital Income Fund-C), Broker Dealer Selling Agreement (NorthStar Real Estate Capital Income Fund-Adv)
Regulation S-P. In accordance with Regulation S-P, if non-public personal information regarding customers/shareholders partners is disclosed to either party in connection with this Agreement, the party receiving such information will not disclose or use that information other than as necessary to carry out the purposes of this Agreement. Any privacy notice that Broker/Dealer delivers to customers/shareholders partners will comply with Title V of the Xxxxx-Xxxxx-Xxxxxx Act and Regulations Regulation S-P, as each may be amended, and will notify customers that non-public personal information may be provided to financial service providers such as security broker-dealers or investment companies and as permitted by law. This provision will survive the termination of this Agreement.
Appears in 5 contracts
Samples: Sub Placement Agent Agreement (Endowment Institutional TEI Fund, L.P.), Sub Placement Agent Agreement (Endowment Institutional TEI Fund W, L.P.), Sub Placement Agent Agreement (Endowment Institutional Fund, L.P.)
Regulation S-P. In accordance with Regulation S-P, if non-public personal information regarding customers/shareholders is disclosed to either party in connection with this Agreement, the party receiving such information will not disclose or use that information other than as necessary to carry out the purposes of this Agreement. Any privacy notice that Broker/-Dealer delivers to customers/shareholders will comply with Title V of the XxxxxGxxxx-Xxxxx-Xxxxxx Act and Regulations S-P, as each may be amended, and will notify customers that non-public personal information may be provided to financial service providers such as security broker-dealers or investment companies and as permitted by law. This provision will survive the termination of this Agreement.
Appears in 3 contracts
Samples: Broker Dealer Selling Agreement (CION Grosvenor Infrastructure Fund), Broker Dealer Selling Agreement (ALPS Series Trust), Broker Dealer Selling Agreement (CION Ares Diversified Credit Fund)
Regulation S-P. In accordance with Regulation S-P, if non-public personal information regarding customers/shareholders is disclosed to either party in connection with this Agreement, the party receiving such information will not disclose or use that information other than as necessary to carry out the purposes of this Agreement. Any privacy notice that Broker/-Dealer delivers to customers/shareholders will comply with Title V of the Xxxxx-Xxxxx-Xxxxxx Act and Regulations Regulation S-P, as each may be amended, and will notify customers that non-public personal information may be provided to financial service providers such as security brokerBroker-dealers Dealers or investment companies and as permitted by law. This provision will survive the termination of this Agreement.
Appears in 3 contracts
Samples: Broker Dealer Selling Agreement (Opportunistic Credit Interval Fund), Broker Dealer Selling Agreement (Resource Credit Income Fund), Broker Dealer Selling Agreement (Resource Real Estate Diversified Income Fund)
Regulation S-P. In accordance with Regulation S-P, if non-public personal information regarding customers/shareholders partners is disclosed to either party in connection with this Agreement, the party receiving such information will not disclose or use that information other than as necessary to carry out the purposes of this Agreement. Any privacy notice that Broker/Dealer Sub-Placement Agent delivers to customers/shareholders partners will comply with Title V of the Xxxxx-Xxxxx-Xxxxxx Act and Regulations Regulation S-P, as each may be amended, and will notify customers that non-public personal information may be provided to financial service providers such as security broker-dealers or investment companies and as permitted by law. This provision will survive the termination of this Agreement.
Appears in 2 contracts
Samples: Sub Placement Agent and Distribution Services Agreement (Altegris KKR Private Equity Master Fund), Sub Placement Agent and Distribution Services Agreement (Altegris KKR Private Equity Fund)
Regulation S-P. In accordance with Regulation S-P, if non-public personal information regarding customers/shareholders is disclosed to either party in connection with this Agreement, the party receiving such information will not disclose or use that information other than as necessary to carry out the purposes of this Agreement. Any privacy notice that Broker/Dealer delivers to customers/shareholders will comply with Title V of the Xxxxx-Xxxxx-Xxxxxx Act and Regulations S-PSP, as each may be amended, and will notify customers that non-public personal information may be provided to financial service providers such as security broker-dealers or investment companies and as permitted by law. This provision will survive the termination of this Agreement.
Appears in 1 contract
Samples: Selling and Shareholder Support Services Agreement (Aul American Unit Trust)
Regulation S-P. In accordance with Regulation S-P, if non-public personal information regarding customers/shareholders is disclosed to either party in connection with this Agreement, the party receiving such information will not disclose or use that information other than as necessary to carry out the purposes of this Agreement. Any privacy notice that Broker/Dealer ING Financial, ING Life or ING Institutional delivers to customers/shareholders will comply with Title V of the Xxxxx-Xxxxx-Xxxxxx Act and Regulations S-P, as each may be amended, and will notify customers that non-public personal information may be provided to financial service providers such as security broker-dealers or investment companies and as permitted by law. This provision Section 13 will survive the termination of this Agreement.
Appears in 1 contract
Regulation S-P. In accordance with Regulation S-P, if non-public personal information regarding customers/shareholders Shareholders is disclosed to either party in connection with this Agreement, the party receiving such information will not disclose or use that information other than as necessary to carry out the purposes of this Agreement. Any privacy notice that Broker/Dealer delivers to customers/shareholders Shareholders will comply with Title V of the XxxxxGramm-XxxxxLeach-Xxxxxx Bliley Act and Regulations S-P, as each may be amendedamendex, and will notify xxx xxxx xxxxxx customers that non-public personal information may be provided to financial service providers such as security broker-dealers or investment companies and as permitted by law. This provision will survive the termination of this Agreement.
Appears in 1 contract
Samples: Broker Dealer Selling Agreement (Campbell Multi-Strategy Trust)
Regulation S-P. In accordance with Regulation S-P, if non-public personal information regarding customers/shareholders is disclosed to either party in connection with this Agreement, the party receiving such information will not disclose or use that information other than as necessary to carry out the purposes of this Agreement. Any privacy notice that Broker/-Dealer delivers to customers/shareholders will comply with Title V of the XxxxxGxxxx-Xxxxx-Xxxxxx Act and Regulations Regulation S-P, as each may be amended, and will notify customers that non-public personal information may be provided to financial service providers such as security brokerBroker-dealers Dealers or investment companies and as permitted by law. This provision will survive the termination of this Agreement.
Appears in 1 contract
Samples: Broker Dealer Selling Agreement (Alternative Credit Income Fund)
Regulation S-P. In accordance with Regulation S-P, if non-public personal information regarding customers/shareholders is disclosed to either party in connection with this Agreement, the party receiving such information will not disclose or use that information other than as necessary to carry out the purposes of this Agreement. Any privacy notice that Broker/Dealer delivers to customers/shareholders will comply with Title V of the XxxxxGramm-XxxxxLeach-Xxxxxx Bliley Act and Regulations S-P, as each may be amended, and will notify customers xxx xxxx xxxxxx xustomers that non-public personal information may be provided to financial service providers such as security broker-dealers or investment companies and as permitted by law. This provision will survive the termination of this Agreement.
Appears in 1 contract
Samples: Broker Dealer Selling Agreement (Campbell Multi-Strategy Trust)
Regulation S-P. In accordance with Regulation S-P, if non-public personal information regarding customers/shareholders is disclosed to either party in connection with this Agreement, the party receiving such information will not disclose or use that information other than as necessary to carry out the purposes of this Agreement. Any privacy notice that Broker/Dealer Servicer delivers to customers/shareholders will comply with Title V of the XxxxxGxxxx-Xxxxx-Xxxxxx Act and Regulations Regulation S-P, as each may be amended, and will notify customers that non-public personal information may be provided to financial service providers such as security broker-dealers or investment companies and as permitted by law. This provision will survive the termination of this Agreement.
Appears in 1 contract
Samples: Shareholder Servicer Selling Agreement (Opportunistic Credit Interval Fund)
Regulation S-P. In accordance with Regulation S-P, if non-public personal information regarding customers/shareholders is disclosed to either party in connection with this Agreement, the party receiving such information will not disclose or use that information other than as necessary to carry out the purposes of this Agreement. Any privacy notice that Broker/-Dealer delivers to customers/shareholders will comply with Title V of the XxxxxGxxxx-Xxxxx-Xxxxxx Act and Regulations S-P, as each may be amended, and will notify customers that non-public personal information may be provided to financial service providers such as security brokerBroker-dealers Dealers or investment companies and as permitted by law. This provision will survive the termination of this Agreement.
Appears in 1 contract
Samples: Broker Dealer Selling Agreement (FS Credit Income Fund)
Regulation S-P. In accordance with Regulation S-P, if non-public personal information regarding customers/shareholders is disclosed to either party the Distributor or Broker/Dealer in connection with this Agreement, the party receiving such information will not disclose or use that information other than as necessary to carry out the purposes of this Agreement. Any privacy notice that Broker/Dealer delivers to customers/shareholders will comply with Title V of the XxxxxGxxxx-Xxxxx-Xxxxxx Act and Regulations S-P, as each may be amended, and will notify customers that non-public personal information may be provided to financial service providers such as security broker-dealers or investment companies and as permitted by law. This provision will survive the termination of this Agreement.
Appears in 1 contract
Samples: Broker Dealer Agreement (NorthStar/Townsend Institutional Real Estate Fund Inc.)
Regulation S-P. In accordance with Regulation S-P, if non-public personal information regarding customers/shareholders is disclosed to either party in connection with this Agreement, the party receiving such information will not disclose or use that information other than as necessary to carry out the purposes of this Agreement. Any privacy notice that Broker/Dealer delivers to customers/shareholders will comply with Title V of the Xxxxx-Xxxxx-Xxxxxx Act and Regulations S-S- P, as each may be amended, and will notify customers that non-public personal information may be provided to financial service providers such as security broker-dealers or investment companies and as permitted by law. This provision will survive the termination of this Agreement.
Appears in 1 contract
Samples: Broker Dealer Selling Agreement (Resource Real Estate Diversified Income Fund)