Common use of Representations, Warranties and Covenants of Distributor Clause in Contracts

Representations, Warranties and Covenants of Distributor. Distributor hereby represents, warrants and covenants as follows: (a) it has full power, right and authority to execute and deliver this Agreement and to consummate the transactions contemplated hereby; the execution and delivery of this Agreement and the consummation of the transactions contemplated hereby have been duly and validly approved by all requisite actions on its part, and no other proceedings on its part are necessary to approve this Agreement or to consummate the transactions contemplated hereby; this Agreement has been duly executed and delivered by it; this Agreement constitutes a legal, valid and binding obligation, enforceable against it in accordance with its terms; (b) it is not a party to any, and there are no, pending or threatened Actions of any nature against it or its properties or assets which could, individually or in the aggregate, have a material effect upon its business or financial condition, and there is no injunction, order, judgment, decree, or regulatory restriction imposed specifically upon it or any of its properties or assets; (c) it is registered as a broker-dealer with the SEC under the 1934 Act and a member of FINRA; (d) it shall not give any information or to make any representations other than those contained in the current Prospectus of the Company filed with the SEC or contained in shareholder reports or other material that may be prepared by or on behalf of the Company for the Distributor’s use; and (e) it may prepare and distribute sales literature and other material as it may deem appropriate, provided that such literature and materials have been prepared in accordance with applicable rules and regulations.

Appears in 5 contracts

Samples: Distribution Agreement (Frost Family of Funds), Distribution Agreement (Frost Family of Funds), Distribution Agreement (SEI Catholic Values Trust)

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Representations, Warranties and Covenants of Distributor. The Distributor hereby represents, warrants and covenants as follows: (a) it has full power, right and authority to execute and deliver this Agreement and to consummate the transactions contemplated hereby; the execution and delivery of this Agreement and the consummation of the transactions contemplated hereby have been duly and validly approved by all requisite actions on its part, and no other proceedings on its part are necessary to approve this Agreement or to consummate the transactions contemplated hereby; this Agreement has been duly executed and delivered by it; this Agreement constitutes a legal, valid and binding obligation, enforceable against it in accordance with its terms; (b) it is not a party information about litigation to any, and there are no, pending or threatened Actions of any nature against it or its properties or assets which could, individually or in the aggregate, have a material effect upon its business or financial condition, and there is no injunction, order, judgment, decree, or regulatory restriction imposed specifically upon it Distributor or any of its properties or assetsaffiliates is a party will be set forth in SEI Investments Company’s periodic SEC filings in accordance with the rules of the SEC and will be publicly available in filings on Forms 10-Q, 10-K and 8-K from time to time; (c) it is registered as a broker-dealer with the SEC under the 1934 Act and a member of FINRA;; and (d) it shall not give distribute any information or to make any representations about the Company or the Funds other than those contained in the current Prospectus Registration Statement, Prospectuses of the Company Funds filed with the SEC or contained in SEC, shareholder reports or other material that may be prepared by or on behalf of the Company for the Distributor’s use; and (e) it may prepare Sales Literature and distribute sales literature and other material as it may deem appropriate, provided that such literature and materials have been prepared in accordance with applicable rules and regulationsAdvertisements.

Appears in 4 contracts

Samples: Distribution Agreement (SEI Exchange Traded Funds), Distribution Agreement (SEI Exchange Traded Funds), Distribution Agreement (Impact Shares Trust I)

Representations, Warranties and Covenants of Distributor. Distributor hereby represents, warrants and covenants as follows: (a) it has full power, right and authority to execute and deliver this Agreement and to consummate the transactions contemplated hereby; the execution and delivery of this Agreement and the consummation of the transactions contemplated hereby have been duly and validly approved by all requisite actions on its part, and no other proceedings on its part are necessary to approve this Agreement or to consummate the transactions contemplated hereby; this Agreement has been duly executed and delivered by it; this Agreement constitutes a legal, valid and binding obligation, enforceable against it in accordance with its terms; (b) it is not a party to any, and there are no, pending or threatened Actions of any nature against it or its properties or assets which could, individually or in the aggregate, have a material effect upon its business or financial condition, and there is no injunction, order, judgment, decree, or regulatory restriction imposed specifically upon it or any of its properties or assets; (c) it is registered as a broker-dealer with the SEC under the 1934 Act and a member of FINRA; (d) it shall not give any information or to make any representations other than those contained in the current Prospectus of the Company filed with the SEC or contained in shareholder reports or other material that may be prepared by or on behalf of the Company for the Distributor’s use; and (e) it may prepare and distribute sales literature and other material as it may deem appropriate, provided that such literature and materials have been prepared in accordance with applicable rules and regulations. SEI – 262212v3 THIS DOCUMENT CONSTITUTES CONFIDENTIAL INFORMATION OF SEI INVESTMENTS DISTRIBUTION CO.

Appears in 2 contracts

Samples: Distribution Agreement (Symmetry Panoramic Trust), Distribution Agreement (Symmetry Panoramic Trust)

Representations, Warranties and Covenants of Distributor. Distributor hereby represents, warrants and covenants as follows: (a) it has full power, right and authority to execute and deliver this Agreement and to consummate the transactions contemplated hereby; the execution and delivery of this Agreement and the consummation of the transactions contemplated hereby have been duly and validly approved by all requisite actions on its part, and no other proceedings on its part are necessary to approve this Agreement or to consummate the transactions contemplated hereby; this Agreement has been duly executed and delivered by it; this Agreement constitutes a legal, valid and binding obligation, enforceable against it in accordance with its terms; (b) it is not a party to any, and there are no, pending or threatened Actions of any nature against it or its properties or assets which could, individually or in the aggregate, have a material effect upon its business or financial condition, and there is no injunction, order, judgment, decree, or regulatory restriction imposed specifically upon it or any of its properties or assets; (c) it is registered as a broker-dealer with the SEC under the 1934 Act and a member of FINRA; (d) it shall not give any information or to make any representations other than those contained in the current Prospectus of the Company Trust filed with the SEC or contained in shareholder reports or other material that may be prepared by or on behalf of the Company Trust for the Distributor’s use; and (e) it may prepare and distribute sales literature and other material as it may deem appropriate, provided that such literature and materials have been prepared in accordance with applicable rules and regulations.

Appears in 2 contracts

Samples: Distribution Agreement (City National Rochdale Select Strategies Fund), Distribution Agreement (Huntington Strategy Shares)

Representations, Warranties and Covenants of Distributor. Distributor hereby represents, warrants and covenants as follows: (a) it has full power, right and authority to execute and deliver this Agreement and to consummate the transactions contemplated hereby; the execution and delivery of this Agreement and the consummation of the transactions contemplated hereby have been duly and validly approved by all requisite actions on its part, and no other proceedings on its part are necessary to approve this Agreement or to consummate the transactions contemplated hereby; this Agreement has been duly executed and delivered by it; this Agreement constitutes a legal, valid and binding obligation, enforceable against it in accordance with its terms; (b) it is not a party to any, and there are no, it is not aware of any pending or threatened Actions of any nature against it or its properties or assets which could, individually or in the aggregate, have a material effect upon its business or financial condition, and there is no injunction, order, judgment, decree, or regulatory restriction imposed specifically upon it or any of its properties or assets; (c) it is registered as a broker-dealer with the SEC under the 1934 Act and a member of FINRA; (d) it shall not give any information or to make any representations other than those contained in the current Prospectus of the Company filed with the SEC or contained in shareholder reports or other material that may be prepared by or on behalf of the Company for the Distributor’s use; and (e) it may prepare and distribute sales literature and other material as it may deem appropriate, provided that such literature and materials have been prepared in accordance with applicable rules and regulations.

Appears in 1 contract

Samples: Distribution Agreement (Schroder Global Series Trust)

Representations, Warranties and Covenants of Distributor. Distributor hereby represents, warrants and covenants as follows: (a) it has full power, right and authority to execute and deliver this Agreement and to consummate the transactions contemplated hereby; the execution and delivery of this Agreement and the consummation of the transactions contemplated hereby have been duly and validly approved by all requisite actions on its part, and no other proceedings on its part are necessary to approve this Agreement or to consummate the transactions contemplated hereby; this Agreement has been duly executed and delivered by it; this Agreement constitutes a legal, valid and binding obligation, enforceable against it in accordance with its terms; (b) it is not a party to any, and there are no, pending or threatened Actions of any nature against it or its properties or assets which could, individually or in the aggregate, have a material effect upon its business or financial condition, and there is no injunction, order, judgment, decree, or regulatory restriction imposed specifically upon it or any of its properties or assets; (c) it is registered as a broker-dealer with the SEC under the 1934 Act and a member of FINRA; (d) it shall not give any information or to make any representations other than those contained in the current Prospectus of the Company Trust filed with the SEC or contained in shareholder reports or other material that may be prepared by or on behalf of the Company Trust for the Distributor’s use; and (e) it may prepare and distribute sales literature and other material as it may deem appropriate, provided that such literature and materials have been prepared in accordance with applicable rules and regulations; and provided further, that such materials have been supplied to and approved by the Trust and the Investment Adviser prior to their use, which approval the Trust and the Investment Adviser may grant or withhold in their sole discretion. The Distributor agrees to furnish to the Trust any comments provided by regulators with respect to such materials.

Appears in 1 contract

Samples: Distribution Agreement (RiverPark Commercial Real Estate Fund)

Representations, Warranties and Covenants of Distributor. Distributor hereby represents, warrants and covenants as follows: (a) it has full power, right and authority to execute and deliver this Agreement and to consummate the transactions contemplated hereby; the execution and delivery of this Agreement and the consummation of the transactions contemplated hereby have been duly and validly approved by all requisite actions on its part, and no other proceedings on its part are necessary to approve this Agreement or to consummate the transactions contemplated hereby; this Agreement has been duly executed and delivered by it; this Agreement constitutes a legal, valid and binding obligation, enforceable against it in accordance with its terms; (b) it is not a party to any, and there are no, pending or threatened Actions of any nature against it or its properties or assets which could, individually or in the aggregate, have a material effect upon its business or financial condition, and there is no injunction, order, judgment, decree, or regulatory restriction imposed specifically upon it or any of its properties or assets; (c) it is registered as a broker-dealer with the SEC under the 1934 Act and a member of FINRA; (d) it shall not give any information or to make any representations other than those contained in the current Prospectus of the Company filed with the SEC or contained in shareholder reports or other material that may be prepared by or on behalf of the Company for the Distributor’s use; and (e) it may prepare and distribute sales literature and other material as it may deem appropriate, provided that such literature and materials have been prepared in accordance with applicable rules and regulations.. SEI 96634v2 (Rev. 6/2009)

Appears in 1 contract

Samples: Distribution Agreement (Riverpark Funds Trust)

Representations, Warranties and Covenants of Distributor. Distributor hereby represents, warrants and covenants as follows: (a) it has full power, right and authority to execute and deliver this Agreement and to consummate the transactions contemplated hereby; the execution and delivery of this Agreement and the consummation of the transactions contemplated hereby have been duly and validly approved by all requisite actions on its part, and no other proceedings on its part are necessary to approve this Agreement or to consummate the transactions contemplated hereby; this Agreement has been duly executed and delivered by it; this Agreement constitutes a legal, valid and binding obligation, enforceable against it in accordance with its terms; (b) it is not a party to any, and there are no, pending or threatened Actions of any nature against it or its properties or assets which could, individually or in the aggregate, have a material effect upon its business or financial condition, and there is no injunction, order, judgment, decree, or regulatory restriction imposed specifically upon it or any of its properties or assets; (c) it is registered as a broker-dealer with the SEC under the 1934 Act and a member of FINRA; (d) it shall not give any information or to make any representations other than those contained in the current Prospectus of the Company filed with the SEC or contained in shareholder reports or other material that may be prepared by or on behalf of the Company for the Distributor’s use; and (e) it may prepare and distribute sales literature and other material as it may deem appropriate, provided that such literature and materials have been (i) prepared in accordance with applicable rules and regulationsregulations and (ii) approved by the Trust.

Appears in 1 contract

Samples: Distribution Agreement (Catholic Responsible Investments Funds)

Representations, Warranties and Covenants of Distributor. Distributor hereby represents, warrants and covenants as follows: (a) it has full power, right and authority to execute and deliver this Agreement and to consummate the transactions contemplated hereby; the execution and delivery of this Agreement and the consummation of the transactions contemplated hereby have been duly and validly approved by all requisite actions on its part, and no other proceedings on its part are necessary to approve this Agreement or to consummate the transactions contemplated hereby; this Agreement has been duly executed and delivered by it; this Agreement constitutes a legal, valid and binding obligation, enforceable against it in accordance with its terms; (b) it is not a party to any, and there are no, pending or threatened Actions of any nature against it or its properties or assets which could, individually or in the aggregate, have a material effect upon its business or financial condition, and there is no injunction, order, judgment, decree, or regulatory restriction imposed specifically upon it or any of its properties or assets; (c) it is registered as a broker-dealer with the SEC under the 1934 Act and is a member of FINRA; (d) it shall not give any information or to make any representations other than those contained in the current Prospectus of the Company filed with the SEC or contained in shareholder reports or other material that may be prepared by or on behalf of the Company Trust for the Distributor’s use; and (e) it may prepare and distribute sales literature and other material as it may deem appropriate, provided that such literature and materials have been prepared in accordance with applicable rules and regulations.

Appears in 1 contract

Samples: Distribution Agreement (Edward Jones Money Market Fund)

Representations, Warranties and Covenants of Distributor. Distributor hereby represents, warrants and covenants as follows: (a) it has full power, right and authority to execute and deliver this Agreement and to consummate the transactions contemplated hereby; the execution and delivery of this Agreement and the consummation of the transactions contemplated hereby have been duly and validly approved by all requisite actions on its part, and no other proceedings on its part are necessary to approve this Agreement or to consummate the transactions contemplated hereby; this Agreement has been duly executed and delivered by it; this Agreement constitutes a legal, valid and binding obligation, enforceable against it in accordance with its terms; (b) it information about litigation to which SEI or its affiliates is not a party will be set forth in SEI Investments Company’s periodic SEC filings in accordance with the rules of the SEC and will be publicly available in filings on Forms 10-Q, 10-K and 8-K from time to any, and there are no, pending or threatened Actions of any nature against it or its properties or assets which could, individually or in the aggregate, have a material effect upon its business or financial condition, and there is no injunction, order, judgment, decree, or regulatory restriction imposed specifically upon it or any of its properties or assetstime; (c) it is registered as a broker-dealer with the SEC under the 1934 Act and a member of FINRA; (d) it shall not give any information or to make any representations other than those contained in the current Prospectus of the Company filed with the SEC or contained in shareholder reports or other material that may be prepared by or on behalf of the Company for the Distributor’s use; and (e) it may prepare and distribute sales literature and other material as it may deem appropriate, provided that such literature and materials have been prepared in accordance with applicable rules and regulations.. SEI – 147992v2

Appears in 1 contract

Samples: Distribution Agreement (Highland Funds I)

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Representations, Warranties and Covenants of Distributor. Distributor hereby represents, warrants and covenants as follows: (a) it has full power, right and authority to execute and deliver this Agreement and to consummate the transactions contemplated hereby; the execution and delivery of this Agreement and the consummation of the transactions contemplated hereby have been duly and validly approved by all requisite actions on its part, and no other proceedings on its part are necessary to approve this Agreement or to consummate the transactions contemplated hereby; this Agreement has been duly executed and delivered by it; this Agreement constitutes a legal, valid and binding obligation, enforceable against it in accordance with its terms; (b) it is not a party to any, and there are no, pending or threatened Actions of any nature against it or its properties or assets which could, individually or in the aggregate, have a material effect upon its business or financial condition, and there is no injunction, court order, judgment, decree, administrative order or other regulatory restriction imposed specifically upon it or any of its properties or assets; (c) it is registered as a broker-dealer with the SEC under the 1934 Act and a member of FINRA; (d) it shall not give any information or to make any representations to holders of the Shares other than those contained in the current Prospectus of the Company Trust filed with the SEC or contained in shareholder reports or other material that may be prepared by or on behalf of the Company Trust for the Distributor’s use; and (e) it may prepare and distribute sales literature and other material as approved by the Trust as it may deem appropriate, provided that such literature and materials have been prepared in accordance with applicable SEC and FINRA rules and regulations.

Appears in 1 contract

Samples: Distribution Agreement (Krane Shares Trust)

Representations, Warranties and Covenants of Distributor. Distributor hereby represents, warrants and covenants as follows: (a) it has full power, right and authority to execute and deliver this Agreement and to consummate the transactions contemplated hereby; the execution and delivery of this Agreement and the consummation of the transactions contemplated hereby have been duly and validly approved by all requisite actions on its part, and no other proceedings on its part are necessary to approve this Agreement or to consummate the transactions contemplated hereby; this Agreement has been duly executed and delivered by it; this Agreement constitutes a legal, valid and binding obligation, enforceable against it in accordance with its terms; (b) it is not a party to any, and there are no, pending or threatened Actions of any nature against it or its properties or assets which could, individually or in the aggregate, have a material effect upon its business or financial condition, and there is no injunction, order, judgment, decree, or regulatory restriction imposed specifically upon it or any of its properties or assets; (c) it is registered as a broker-dealer with the SEC under the 1934 Act and a member of FINRA; (d) it shall not give any information or to make any representations other than those contained in the current Prospectus of the Company filed with the SEC or contained in shareholder reports or other material that may be prepared by or on behalf of the Company for the Distributor’s 's use; and (e) it may prepare and distribute sales literature and other material as it may deem appropriate, provided that such literature and materials have been prepared in accordance with applicable rules and regulations.

Appears in 1 contract

Samples: Distribution Agreement (Advisors' Inner Circle Fund III)

Representations, Warranties and Covenants of Distributor. The Distributor hereby represents, warrants and covenants as follows: (a) it has full power, right and authority to execute and deliver this Agreement and to consummate the transactions contemplated hereby; the execution and delivery of this Agreement and the consummation of the transactions contemplated hereby have been duly and validly approved by all requisite actions on its part, and no other proceedings on its part are necessary to approve this Agreement or to consummate the transactions contemplated hereby; this Agreement has been duly executed and delivered by it; this Agreement constitutes a legal, valid and binding obligation, enforceable against it in accordance with its terms; (b) it is not a party information about litigation to any, and there are no, pending or threatened Actions of any nature against it or its properties or assets which could, individually or in the aggregate, have a material effect upon its business or financial condition, and there is no injunction, order, judgment, decree, or regulatory restriction imposed specifically upon it Distributor or any of its properties or assetsaffiliates is a party will be set forth in SEI Investments Company’s periodic SEC filings in accordance with the rules of the SEC and will be publicly available in filings on Forms 10-Q, 10-K and 8-K from time to time; (c) it is registered as a broker-dealer with the SEC under the 1934 Act and a member of FINRA;; and (d) it shall not give distribute any information or to make any representations about the Company or the Funds other than those contained in the current Prospectus Registration Statement, Prospectuses of the Company Funds filed with the SEC or contained in SEC, shareholder reports or other material that may be prepared by or on behalf of the Company for the Distributor’s use; and (e) it may prepare Sales Literature and distribute sales literature and other material as it may deem appropriate, provided that such literature and materials have been prepared in accordance with applicable rules and regulations.Advertisements. SEI 776521

Appears in 1 contract

Samples: Distribution Agreement (Quaker Investment Trust)

Representations, Warranties and Covenants of Distributor. Distributor hereby represents, warrants and covenants as follows: (a) it has full power, right and authority to execute and deliver this Agreement and to consummate the transactions contemplated hereby; the execution and delivery of this Agreement and the consummation of the transactions contemplated hereby have been duly and validly approved by all requisite actions on its part, and no other proceedings on its part are necessary to approve this Agreement or to consummate the transactions contemplated hereby; this Agreement has been duly executed and delivered by it; this Agreement constitutes a legal, valid and binding obligation, enforceable against it in accordance with its terms; (b) it information about litigation to which SEI or its affiliates is not a party will be set forth in SEI Investments Company’s periodic SEC filings in accordance with the rules of the SEC and will be publicly available in filings on Forms 10-Q, 10-K and 8-K from time to any, and there are no, pending or threatened Actions of any nature against it or its properties or assets which could, individually or in the aggregate, have a material effect upon its business or financial condition, and there is no injunction, order, judgment, decree, or regulatory restriction imposed specifically upon it or any of its properties or assetstime; (c) it is registered as a broker-dealer with the SEC under the 1934 Act and a member of FINRA; (d) it shall not give any information or to make any representations other than those contained in the current Prospectus of the Company filed with the SEC or contained in shareholder reports or other material that may be prepared by or on behalf of the Company for the Distributor’s use; and (e) it may prepare and distribute sales literature and other material as it may deem appropriate, provided that such literature and materials have been prepared in accordance with applicable rules and regulations.

Appears in 1 contract

Samples: Distribution Agreement (Pyxis Funds I)

Representations, Warranties and Covenants of Distributor. Distributor hereby represents, warrants and covenants as follows: (a) it has full power, right and authority to execute and deliver this Agreement and to consummate the transactions contemplated hereby; the execution and delivery of this Agreement and the consummation of the transactions contemplated hereby have been duly and validly approved by all requisite actions on its part, and no other proceedings on its part are necessary to approve this Agreement or to consummate the transactions contemplated hereby; this Agreement has been duly executed and delivered by it; this Agreement constitutes a legal, valid and binding obligation, enforceable against it in accordance with its terms; (b) it is not a party to any, and there are no, pending or threatened Actions of any nature against it or its properties or assets which could, individually or in the aggregate, have a material effect upon its business or financial condition, and there is no injunction, order, judgment, decree, or regulatory restriction imposed specifically upon it or any of its properties or assets; (c) it is registered as a broker-dealer with the SEC under the 1934 Act and a member of FINRA; (d) it shall not give any information or to make any representations other than those contained in the current Prospectus of the Company Trust filed with the SEC or contained in shareholder reports or other material that may be prepared by or on behalf of the Company Trust for the Distributor’s use; and (e) it may prepare and distribute sales literature and other material as it may deem appropriate, provided that such literature and materials have been prepared in accordance with applicable rules and regulations.. SEI 256264

Appears in 1 contract

Samples: Distribution Agreement (City National Rochdale Strategic Credit Fund)

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