Rule 38a-1 Clause Samples
Rule 38a-1. The Fund has adopted and implemented written policies and procedures reasonably designed to prevent violation of the federal securities laws (as that term is defined in Rule 38a-1 under the ▇▇▇▇ ▇▇▇) by the Fund, including policies and procedures that provide oversight of compliance by the Adviser and the administrator and transfer agent of the Fund.
Rule 38a-1. The Trust has adopted and implemented written policies and procedures reasonably designed to prevent violation of the federal securities laws (as that term is defined in Rule 38a-1 under the 1940 Act) by the Trust, including policies and procedures that provide oversight of compliance by the Advisors and the administrator and transfer agent of the Trust.
Rule 38a-1. The Distributor will provide such information as the Fund reasonably requests in order for the Fund to comply with its obligations pursuant to Rule 38a-1 under the 1940 Act.
Rule 38a-1. The Distributor acknowledges that its policies and procedures designed to comply with the Federal Securities Laws (as defined in Rule 38a-1 under the 1▇▇▇ ▇▇▇) are subject to oversight by the Company's Board of Directors. The Distributor agrees to (i) adopt, maintain and implement and maintain such policies and procedures in writing, (ii) to certify to the Company's Board of Directors at least annually that such policies and procedures are reasonably designed to prevent violations of the Federal Securities Laws by the Distributor and (iii) to cooperate with the Company and the Company's Chief Compliance Officer in fulfilling their oversight, review, reporting and recordkeeping responsibilities under Rule 38a-1.
Rule 38a-1. The Fund has (i) appointed a Chief Compliance Officer and (ii) adopted and implemented written policies and procedures reasonably designed to prevent violation of the federal securities laws (as that term is defined in Rule 38a-1 under the ▇▇▇▇ ▇▇▇) by the Fund, including policies and procedures that provide oversight of compliance by the Investment Manager and the transfer agent of the Fund.
Rule 38a-1. In order to assist the Fund in satisfying the requirements of Rule 38a-1 under the 1940 Act (the “Rule”), ALPS shall provide to the Fund’s Chief Compliance Officer: (i) direct access to ALPS’ relevant compliance personnel; (ii) at such times as the Fund may reasonably require, compliance reports and reports regarding any Material Compliance Matter (as defined in the Rule) regarding ALPS; and (iii) quarterly certifications that there are no Material Compliance Matters (as defined in the Rule) involving ALPS that affect or could affect the Fund.
Rule 38a-1. In order to assist the Transfer Agent and the Fund in satisfying the requirements of Rule 38a-1 under the 1940 Act (the “Rule”), ▇.▇. ▇▇▇▇▇▇ shall provide to the Fund’s Chief Compliance Officer and the Transfer Agent’s compliance personnel: (i) direct access to ▇.▇. ▇▇▇▇▇▇’▇ relevant compliance personnel; (ii) at such times as the Transfer Agent may reasonably require, compliance reports and reports regarding any Material Compliance Matter (as defined in the Rule) regarding the Fund, ▇.▇. ▇▇▇▇▇▇ or the services provided by it hereunder; and (iii) quarterly certifications that there are no Material Compliance Matters (as defined in the Rule) involving ▇.▇. ▇▇▇▇▇▇ that affect or could affect the Fund or the Transfer Agent.
Rule 38a-1. BBH&Co. acknowledges that a Fund may be required to seek information from BBH&Co. in connection with this Agreement in order to comply with Rule 38a-1 of the Investment Company Act of 1940, as amended. BBH&Co. shall use reasonable efforts to respond to such requests for such information from the Funds’ Chief Compliance Officer, subject to policies and procedures of BBH&Co. designed to protect (a) confidential information relating to other customers of BBH&Co. and (b) documents and information that are considered proprietary to BBH&Co. and not for external distribution as determined by BBH&Co.’s legal or compliance advisers. Accordingly and subject to the foregoing, throughout the term of this Agreement, BBH&Co. agrees to provide the Fund with (i) access to compliance policies and procedures related to the services provided to the Funds by BBH&Co. pursuant to this Agreement; (ii) a written summary of these policies and procedures; and, (iii) a certification to the Funds’ Chief Compliance Officer of BBH&Co.’s compliance with respect to said applicable policies and procedures that the Fund may reasonably request to enable the Fund to comply with Rule 38a-1 under the Investment Company Act of 1940, as amended.