Reports to the Adviser; Escalation. A. The CCO shall make regular reports to the Adviser regarding its administration and enforcement of the Compliance Program. These regular reports shall address compliance by the Trust and the Service Providers and such other matters as the Adviser may reasonably request. B. In addition, at least annually, the CCO shall submit a written report to the Trust and the Adviser addressing the following issues: 1. the operation of the Compliance Program, and the written compliance policies and procedures of the Service Providers; 2. any material changes made to the Compliance Program since the date of the such last report; 3. any material changes to the Compliance Program recommended as a result of the Annual Review; and
Appears in 3 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)
Reports to the Adviser; Escalation. A. The CCO shall make regular reports to the Adviser regarding its administration and enforcement of the Compliance Program. These regular reports shall address compliance by the Trust and the Service Providers and such other matters as the Adviser may reasonably request.
B. In addition, at least annually, the CCO shall submit a written report to the Trust and the Adviser addressing the following issues:
1. the operation of the Compliance Program, and the written compliance policies and procedures of the Service Providers;
2. any material changes made to the Compliance Program since the date of the such last report;
3. any material changes to the Compliance Program recommended as a result of the Annual Review; and
Appears in 2 contracts
Samples: Chief Compliance Officer Services Agreement (Financial Investors Trust), Chief Compliance Officer Services Agreement (Financial Investors Trust)
