Required or Permitted Disclosure. In the event that any requests or demands are made for the disclosure of Confidential Information, other than requests to Agent for Shareholder records pursuant to standard subpoenas from state or federal government authorities (e.g., divorce and criminal actions), the party receiving such request will promptly notify the other party to secure instructions from an authorized officer of such party as to such request and to enable the other party the opportunity to obtain a protective order or other confidential treatment, unless such notification is otherwise prohibited by law or court order. Each party expressly reserves the right, however, to disclose Confidential Information to any person whenever it is advised by counsel that it may be held liable for the failure to disclose such Confidential Information or if required by law or court order.
Appears in 64 contracts
Samples: Subscription Agent and Information Agent Agreement (RiverNorth/DoubleLine Strategic Opportunity Fund, Inc.), Subscription Agent Agreement (Gabelli Utility Trust), Subscription Agent and Information Agent Agreement (RiverNorth Capital & Income Fund, Inc.)
Required or Permitted Disclosure. In the event that any requests or demands are made for the disclosure of Confidential Information, other than requests to Transfer Agent for Shareholder records pursuant to standard subpoenas from state or federal government authorities (e.g., probate, divorce and criminal actions), the party receiving such request will promptly notify the other party to secure instructions from an authorized officer of such party as to such request and to enable the other party the opportunity to obtain a protective order or other confidential treatment, unless such notification is otherwise prohibited by law or court order. Each party expressly reserves the right, however, to disclose Confidential Information to any person whenever it is advised by counsel that it may be held liable for the failure to disclose such Confidential Information or if required by law or court order.
Appears in 27 contracts
Samples: Transfer Agency and Service Agreement (Nuveen Variable Rate Preferred & Income Fund), Transfer Agency and Service Agreement (Nuveen Multi-Asset Income Fund), Transfer Agency and Service Agreement (Nuveen Core Plus Impact Fund)
Required or Permitted Disclosure. In the event that any requests or demands are made for the disclosure of Confidential Information, other than requests to Transfer Agent for Shareholder records pursuant to standard subpoenas from state or federal government authorities (e.g., divorce and criminal actions), the party receiving such request will promptly notify the other party to secure instructions from an authorized officer of such party as to such request and to enable the other party the opportunity to obtain a protective order or other confidential treatment, unless such notification is otherwise prohibited by law or court order. Each party expressly reserves the right, however, to disclose Confidential Information to any person whenever it is advised by counsel that it may be held liable for the failure to disclose such Confidential Information or if required by law or court order.
Appears in 25 contracts
Samples: Transfer Agency and Service Agreement (India Fund, Inc.), Transfer Agency and Service Agreement (Abrdn Total Dynamic Dividend Fund), Transfer Agency and Service Agreement (First Trust Energy Income & Growth Fund)
Required or Permitted Disclosure. In the event that any requests or demands are made for the disclosure of Confidential Information, other than requests to Agent for Shareholder records pursuant to standard subpoenas from state or federal government authorities (e.g., probate, divorce and criminal actions), the party receiving such request will promptly notify the other party to secure instructions from an authorized officer of such party as to such request and to enable the other party the opportunity to obtain a protective order or other confidential treatment, unless such notification is otherwise prohibited by law or court order. Each party expressly reserves the right, however, to disclose Confidential Information to any person whenever it is advised by counsel that it may be held liable for the failure to disclose such Confidential Information or if required by law or court order.
Appears in 20 contracts
Samples: Transfer Agency and Service Agreement (Virtus Stone Harbor Emerging Markets Income Fund), Transfer Agency and Service Agreement (Cbre Global Real Estate Income Fund), Transfer Agency and Service Agreement (Hercules Capital, Inc.)
Required or Permitted Disclosure. In the event that any requests or demands are made for the disclosure of Confidential Information, other than requests to Agent or Xxxxxxxxx, as applicable, for Shareholder shareholder records pursuant to standard subpoenas from state or federal government authorities (e.g., divorce and criminal actions), the party receiving such request will promptly notify the other party to secure instructions from an authorized officer of such party as to such request and to enable the other party the opportunity to obtain a protective order or other confidential treatment, unless such notification is otherwise prohibited by law or court order. Each party expressly reserves the right, however, to disclose Confidential Information to any person whenever it is advised by counsel that it may be held liable for the failure to disclose such Confidential Information or if required by law or court order.
Appears in 15 contracts
Samples: Depositary and Information Agent Agreement (Tortoise Power & Energy Infrastructure Fund Inc), Depositary and Information Agent Agreement (Tortoise Energy Independence Fund, Inc.), Depositary and Information Agent Agreement (Tortoise Midstream Energy Fund, Inc.)
Required or Permitted Disclosure. In the event that any requests or demands are made for the disclosure of Confidential Information, other than requests to Agent for Shareholder records of Shareholders pursuant to standard subpoenas from state or federal government authorities (e.g., in divorce and criminal actions), the party receiving such request will promptly notify the other party to secure instructions from an authorized officer of such party as to such request and to enable the other party the opportunity to obtain a protective order or other confidential treatment, unless such notification is otherwise prohibited by law or court order. Each party expressly reserves the right, however, to disclose the Confidential Information to any person whenever it is advised by counsel that it may be held liable for the failure to disclose such Confidential Information or if required by law or court order.
Appears in 13 contracts
Samples: Subscription Agent Agreement, Subscription Agent Agreement (SWK Holdings Corp), Subscription Agent Agreement (Simon Worldwide Inc)
Required or Permitted Disclosure. In the event that any requests or demands are made for the disclosure of Confidential Information, other than requests to Rights Agent for Shareholder stockholder records pursuant to standard subpoenas from state or federal government authorities (e.g., divorce and criminal actions), the party receiving such request will promptly notify the other party to secure instructions from an authorized officer of such party as to such request and to enable the other party the opportunity to obtain a protective order or other confidential treatment, unless such notification is otherwise prohibited by law or court order. Each party expressly reserves the right, however, to disclose Confidential Information to any person whenever it is advised by counsel that it may be held liable for the failure to disclose such Confidential Information or if required by law or court order.
Appears in 7 contracts
Samples: Agreement and Plan of Merger (Aytu Bioscience, Inc), Contingent Value Rights Agreement (Aytu Bioscience, Inc), Merger Agreement (Innovus Pharmaceuticals, Inc.)
Required or Permitted Disclosure. In the event that any requests or demands are made for the disclosure of Confidential Information, other than requests to the Transfer Agent for Shareholder records of Shareholders pursuant to standard subpoenas from state or federal government authorities (e.g., in divorce and criminal actions), the party receiving such request will promptly notify the other party to secure instructions from an authorized officer of such party as to such request and to enable the other party the opportunity to obtain a protective order or other confidential treatment, unless such notification is otherwise prohibited by law or court order. Each party expressly reserves the right, however, to disclose Confidential Information to any person whenever it is advised by counsel that it may is reasonably likely to be held liable for the failure to disclose such Confidential Information or if required by law or court order.
Appears in 5 contracts
Samples: Transfer Agency and Service Agreement (Virtus Global Dividend & Income Fund Inc.), Transfer Agency and Service Agreement (Zweig Fund Inc /Md/), Transfer Agency and Service Agreement (Duff & Phelps Select Energy MLP Fund Inc.)
Required or Permitted Disclosure. In the event that any requests or demands are made for the disclosure of Confidential Information, other than requests to Transfer Agent for Shareholder records pursuant to standard subpoenas from state or federal government authorities (e.g., divorce and criminal actions), the party receiving such request will promptly notify the other party to secure instructions from an authorized officer of such party as to such request and to enable the other party xxxxx the opportunity to obtain a protective order or other confidential treatment, unless such notification is otherwise prohibited by law or court order. Each party xxxxx expressly reserves the right, however, to disclose Confidential Information to any person whenever it is advised by counsel that it may be held liable for the failure to disclose such Confidential Information or if required by law or court order.
Appears in 4 contracts
Samples: Transfer Agency and Service Agreement, Transfer Agency and Service Agreement (Invesco Quality Municipal Income Trust), Transfer Agency and Service Agreement (Invesco Municipal Income Opportunities Trust)
Required or Permitted Disclosure. In the event that any requests or demands are made for the disclosure of Confidential Information, other than requests to Agent or Gxxxxxxxx, as applicable, for Shareholder shareholder records pursuant to standard subpoenas from state or federal government authorities (e.g., divorce and criminal actions), the party receiving such request will promptly notify the other party to secure instructions from an authorized officer of such party as to such request and to enable the other party the opportunity to obtain a protective order or other confidential treatment, unless such notification is otherwise prohibited by law or court order. Each party expressly reserves the right, however, to disclose Confidential Information to any person whenever it is advised by counsel that it may be held liable for the failure to disclose such Confidential Information or if required by law or court order.
Appears in 4 contracts
Samples: Depositary and Information Agent Agreement (Tortoise Midstream Energy Fund, Inc.), Depositary and Information Agent Agreement (Tortoise Energy Infrastructure Corp), Depositary and Information Agent Agreement (Tortoise Power & Energy Infrastructure Fund Inc)
Required or Permitted Disclosure. In the event that any requests or demands are made for the disclosure of Confidential Information, other than requests or demands to Agent for Shareholder records pursuant to standard subpoenas or requests from state or federal government authorities (e.g., probate, divorce and criminal actions), the party receiving such request or demand will promptly notify the other party to secure instructions from an authorized officer of such party as to such request or demand and to enable the other party the opportunity to obtain a protective order or other confidential treatment, unless such notification is otherwise prohibited by applicable law or court order. Each party expressly reserves the right, however, to disclose Confidential Information to any person whenever it is advised by counsel that it may be held liable for the failure to disclose such Confidential Information or if required by applicable law or court order.
Appears in 3 contracts
Samples: Transfer Agency and Service Agreement (Jefferies Credit Partners BDC Inc.), Transfer Agency and Service Agreement (Eagle Point Credit Co Inc.), Transfer Agency and Service Agreement (Nuveen Churchill Direct Lending Corp.)
Required or Permitted Disclosure. In the event that any requests or demands are made for the disclosure of Confidential Information, other than requests to Agent for Shareholder records pursuant to standard subpoenas from state or federal government authorities (e.g., divorce and criminal actions), the party receiving such request will promptly notify the other party to secure instructions from an authorized officer of such party as to such request and to enable the other party the opportunity to obtain a protective order or other confidential treatment, unless such notification is otherwise prohibited by law or court order. Each party expressly reserves the right, however, to disclose Confidential Information to any person whenever it is advised by counsel in writing that it may be held liable for the failure to disclose such Confidential Information or if required by law or court order.
Appears in 3 contracts
Samples: Subscription Agent Agreement (Western Asset Global High Income Fund Inc.), Subscription Agent Agreement (Western Asset High Income Fund Ii Inc.), Subscription Agent Agreement (Western Asset High Income Fund Ii Inc.)
Required or Permitted Disclosure. In the event that any requests or demands are made for the disclosure of Confidential Information, other than requests to Agent for Shareholder stockholder records pursuant to standard subpoenas from state or federal government authorities (e.g., divorce and criminal actions), the party receiving such request will promptly notify the other party to secure instructions from an authorized officer of such party as to such request and to enable the other party the opportunity to obtain a protective order or other confidential treatment, unless such notification is otherwise prohibited by law or court order. Each party expressly reserves the right, however, to disclose Confidential Information to any person whenever it is advised by counsel that it may be held liable for the failure to disclose such Confidential Information or if required by law or court order.
Appears in 3 contracts
Samples: Subscription Agent Agreement (Distribution Solutions Group, Inc.), Subscription Agent Agreement (Blackrock Corporate High Yield Fund, Inc.), Merger Agreement (Blackhawk Network Holdings, Inc)
Required or Permitted Disclosure. In the event that any requests or demands are made for the disclosure of Confidential Information, other than requests to Agent DTAC for Shareholder records pursuant to standard subpoenas from state or federal government authorities (e.g., divorce probate, divorce, and criminal actions), the party receiving such request will promptly notify the other party to secure instructions from an authorized officer of such party as to such request and to enable the other party the opportunity to obtain a protective order or other confidential treatment, unless such notification is otherwise prohibited by law or court order. Each party expressly reserves the right, however, to disclose Confidential Information to any person whenever it is advised by counsel that it may be held liable for the failure to disclose such Confidential Information or if required by law or court order.
Appears in 2 contracts
Samples: Transfer Agency and Service Agreement (Arca U.S. Treasury Fund), Transfer Agency and Service Agreement (Arca U.S. Treasury Fund)
Required or Permitted Disclosure. In the event that any requests or demands are made for the disclosure of Confidential Information, Information other than requests to Agent Securrency for Shareholder records Token holder records, pursuant to standard subpoenas from state or federal government authorities (e.g., divorce probate, divorce, and criminal actions), the party Party receiving such request will promptly notify the other party Party to secure instructions from an authorized officer of such party Party as to such request and to enable the other party Party the opportunity to obtain a protective order or other confidential treatment, unless such notification is otherwise prohibited by law or court order. Each party expressly reserves the right, however, to Party may disclose Confidential Information to any person whenever it is advised by counsel that it the Party may be held liable for the failure to disclose such Confidential Information or if required by law or court order.
Appears in 2 contracts
Samples: Transfer Agency and Registrar Services Agreement (WisdomTree Digital Trust), Transfer Agency and Services Agreement (WisdomTree Digital Trust)
Required or Permitted Disclosure. In the event that any requests or demands are made for the disclosure of Confidential Information, other than requests to Agent for Shareholder the stockholder records pursuant to standard subpoenas from state or federal government authorities (e.g., divorce and criminal actions), the party receiving such request will promptly notify the other party to secure instructions from an authorized officer of such party as to such request and to enable the other party the opportunity to obtain a protective order or other confidential treatment, unless such notification is otherwise prohibited by law or court order. Each party expressly reserves the right, however, to disclose Confidential Information to any person whenever it is advised by counsel that it may be held liable for the failure to disclose such Confidential Information or if required by law or court order.
Appears in 2 contracts
Samples: Depositary Agreement (Invesco Pennsylvania Value Municipal Income Trust), Depositary Agreement (Invesco Trust for Investment Grade New York Municipals)
Required or Permitted Disclosure. In the event that any requests or demands are made for the disclosure of Confidential Information, other than requests to Paying Agent for Shareholder Holder records pursuant to standard subpoenas from state or federal government authorities (e.g., divorce and criminal actions), the party receiving such request will promptly notify the other party to secure instructions from an authorized officer of such party as to such request and to enable the other party the opportunity to obtain a protective order or other confidential treatment, unless such notification is otherwise prohibited by law or court order. Each party of Paying Agent and Company expressly reserves the right, however, to disclose Confidential Information to any person whenever it is advised by counsel that it may be held liable for the failure to disclose such Confidential Information or if required by law or court order.
Appears in 2 contracts
Samples: Agency Agreement (Roi Land Investments LTD), Agency Agreement (Roi Land Investments LTD)
Required or Permitted Disclosure. In the event that any requests or demands are made for the disclosure of Confidential Information, other than requests to Agent TTA for Shareholder Token Holder records pursuant to standard subpoenas from state or federal government authorities (e.g., divorce probate, divorce, and criminal actions), the party receiving such request will promptly notify the other party to secure instructions from an authorized officer of such party as to such request and to enable the other party the opportunity to obtain a protective order or other confidential treatment, unless such notification is otherwise prohibited by law or court order. Each party expressly reserves the right, however, to disclose Confidential Information to any person whenever it is advised by counsel that it may be held liable for the failure to disclose such Confidential Information or if required by law or court order.
Appears in 1 contract
Required or Permitted Disclosure. In the event that any requests or demands are made for the disclosure of Confidential Information, other than requests to Agent the Depositary for Shareholder records of Holders pursuant to standard subpoenas from state or federal government authorities (e.g., in divorce and criminal actions), the party receiving such request will promptly notify the other party to secure instructions from an authorized officer of such party as to such request and to enable the other party the opportunity to obtain a protective order or other confidential treatment, unless such notification is otherwise prohibited by law or court order. Each party expressly reserves the right, however, to disclose Confidential Information to any person whenever it is advised by counsel that it may be held liable for the failure to disclose such Confidential Information or if required by law or court order.
Appears in 1 contract
Samples: Deposit Agreement (Nb Capital Corp)
Required or Permitted Disclosure. In the event that any requests or demands are made for the disclosure of Confidential Information, Information other than requests to the Transfer Agent for Shareholder records Token Holder records, pursuant to standard subpoenas from state or federal government authorities (e.g., divorce probate, divorce, and criminal actions), the party Party receiving such request will promptly notify the other party Party to secure instructions from an authorized officer of such party Party as to such request and to enable the other party Party the opportunity to obtain a protective order or other confidential treatment, unless such notification is otherwise prohibited by law or court order. Each party expressly reserves the right, however, to Party may disclose Confidential Information to any person whenever it is advised by counsel that it the Party may be held liable for the failure to disclose such Confidential Information or if required by law or court order.
Appears in 1 contract
Samples: Transfer Agent Services Agreement (Figure Certificate Co)
Required or Permitted Disclosure. In the event that any requests or demands are made for the disclosure of Confidential Information, other than requests to Agent for Shareholder records pursuant to standard subpoenas from state or federal government authorities (e.g., probate, divorce and criminal actions), the party receiving such request or demand will promptly notify the other party to secure instructions from an authorized officer of such party as to such request or demand and to enable the other party the opportunity to obtain a protective order or other confidential treatment, unless such notification is otherwise prohibited by applicable law or court order. Each party hereto expressly reserves the right, however, to disclose Confidential Information to any person whenever it is advised by counsel that it may be held liable for the failure to disclose such Confidential Information or if required by applicable law or court order.
Appears in 1 contract
Samples: Transfer Agency and Service Agreement (Thornburg Income Builder Opportunities Trust)
Required or Permitted Disclosure. In the event that any requests or demands are made for the disclosure of Confidential Information, Information other than requests to Agent Figure Payments for Shareholder records Token Holder records, pursuant to standard subpoenas from state or federal government authorities (e.g., divorce probate, divorce, and criminal actions), the party Party receiving such request will promptly notify the other party Party to secure instructions from an authorized officer of such party Party as to such request and to enable the other party Party the opportunity to obtain a protective order or other confidential treatment, unless such notification is otherwise prohibited by law or court order. Each party expressly reserves the right, however, to Party may disclose Confidential Information to any person whenever it is advised by counsel that it the Party may be held liable for the failure to disclose such Confidential Information or if required by law or court order.
Appears in 1 contract
Samples: Aml/Kyc Service Provider Agreement (Figure Certificate Co)
Required or Permitted Disclosure. In the event that any requests or demands are made for the disclosure of Confidential Information, other than requests to Transfer Agent for Shareholder records pursuant to standard subpoenas from state or federal government authorities ({e.g., divorce and criminal actions), the party receiving such request will promptly notify the other party to secure instructions from an authorized officer of such party as to such request and to enable the other party the opportunity to obtain a protective order or other confidential treatment, unless such notification is otherwise prohibited by law or court order. Each party expressly reserves the right, however, to disclose Confidential Information to any person whenever it is advised by counsel that it may be held liable for the failure to disclose such Confidential Information or if required by law or court order.
Appears in 1 contract
Samples: Transfer Agency and Service Agreement (StoneCastle Financial Corp.)
Required or Permitted Disclosure. In the event that any requests or demands are made for the disclosure of Confidential Information, other than requests to Transfer Agent for Shareholder records pursuant to standard subpoenas from state or federal government authorities (e.g., divorce and criminal actions), the party receiving such request will promptly notify the other party to secure instructions from an authorized officer of such party as to such request and to enable the other party the opportunity to obtain a protective order or other confidential treatment, unless such notification is otherwise prohibited by law or court order. Each party expressly reserves the right, however, to disclose Confidential Information to any person whenever it is advised by counsel that it may be held liable for the failure to disclose such Confidential Information or if required by law or court order; provided, that each party shall provide the other party with notice, if permitted, prior to making any such disclosure.
Appears in 1 contract
Samples: Transfer Agency and Service Agreement (Ivy High Income Opportunities Fund)
Required or Permitted Disclosure. In the event that any requests or demands are made for the disclosure of Confidential Information, other than requests to Agent for Shareholder stockholder records pursuant to standard subpoenas from state or federal government authorities arising from actions that are unrelated to the Company or its business (e.g., divorce and criminal actions), the party receiving such request will promptly notify the other party to secure instructions from an authorized officer of such party as to such request and to enable the other party the opportunity to obtain a protective order or other confidential treatment, unless such notification is otherwise prohibited by law or court order. Each party expressly reserves the right, however, to disclose Confidential Information to any person whenever it is advised by counsel that it may be held liable for the failure to disclose such Confidential Information or if required by law or court order.
Appears in 1 contract
Samples: Subscription Agent Agreement (Cohen & Steers Quality Income Realty Fund Inc)
Required or Permitted Disclosure. In the event that any requests or demands are made for the disclosure of Confidential Information, Information other than requests to the Transfer Agent for Shareholder records Token holder records, pursuant to standard subpoenas from state or federal government authorities (e.g., divorce probate, divorce, and criminal actions), the party Party receiving such request will promptly notify the other party Party to secure instructions from an authorized officer of such party Party as to such request and to enable the other party Party the opportunity to obtain a protective order or other confidential treatment, unless such notification is otherwise prohibited by law or court order. Each party expressly reserves the right, however, to Party may disclose Confidential Information to any person whenever it is advised by counsel that it the Party may be held liable for the failure to disclose such Confidential Information or if required by law or court order.
Appears in 1 contract
Samples: Transfer Agency and Services Agreement (WisdomTree Digital Trust)
Required or Permitted Disclosure. In the event that any requests or demands are made for the disclosure of Confidential Information, other than requests to Agent for Shareholder Holder records pursuant to standard subpoenas from state or federal government authorities (e.g., divorce and criminal actions), the party receiving such request will promptly notify the other party to secure instructions from an authorized officer of such party as to such request and to enable the other party the opportunity to obtain a protective order or other confidential treatment, unless such notification is otherwise prohibited by law or court order. Each party expressly reserves the right, however, to disclose Confidential Information to any person whenever it is advised by counsel that it may be held liable for the failure to disclose such Confidential Information or if required by law or court order.
Appears in 1 contract
Samples: Depositary Agreement (BlackRock Fixed Income Value Opportunities II)
Required or Permitted Disclosure. In the event that any requests or demands are made for the disclosure of Confidential Information, other than requests to Agent for Shareholder shareholder records pursuant to standard subpoenas from state or federal government authorities (e.g., divorce and criminal actions), the party receiving such request will promptly notify the other party to secure instructions from an authorized officer of such party as to such request and to enable the other party the opportunity to obtain a protective order or other confidential treatment, unless such notification is otherwise prohibited by law or court order. Each party expressly reserves the right, however, to disclose Confidential Information to any person whenever it is advised by counsel that it may be held liable for the failure to disclose such Confidential Information or if required by law or court order.
Appears in 1 contract
Samples: Subscription Agent Agreement (Williams Industrial Services Group Inc.)
Required or Permitted Disclosure. In the event that any requests or demands are made for the disclosure of Confidential Information, other than requests to Agent for Shareholder stockholder records pursuant to standard subpoenas from state or federal government authorities (e.g., divorce and criminal actions), the party receiving such request will promptly notify the other party to secure instructions from an authorized officer of such party as to such request and to enable the other party the opportunity to obtain a protective order or other confidential treatment, unless such notification is otherwise prohibited by law or court order. Each party expressly reserves the right, however, to disclose Confidential Information to any person whenever it is advised by counsel that it may be held liable for the failure to disclose such Confidential Information or if required by law or court order.
Appears in 1 contract
Samples: Subscription Agent Agreement (Royce Value Trust, Inc.)