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 0000 Xxx) by the Fund, including policies and procedures that provide oversight of compliance by the Adviser and the administrator and transfer agent of the Fund.
Appears in 4 contracts
Samples: Underwriting Agreement (Ares Multi-Strategy Credit Fund, Inc.), Underwriting Agreement (Eaton Vance Floating-Rate Income Plus Fund), Underwriting Agreement (Ivy High Income Opportunities Fund)
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 0000 Xxx) by the Fund, including policies and procedures that provide oversight of compliance by the Adviser Advisers and the administrator and transfer agent of the Fund.
Appears in 3 contracts
Samples: Underwriting Agreement (Clearbridge American Energy MLP Fund Inc.), Underwriting Agreement (Prudential Global Short Duration High Yield Fund, Inc.), Underwriting Agreement (Babson Capital Global Short Duration High Yield Fund)
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 0000 Xxx1940 Act) by the Fund, including policies and procedures that provide oversight of compliance by the Adviser Advisers and the administrator and transfer agent of the Fund.
Appears in 2 contracts
Samples: Underwriting Agreement (AllianzGI Diversified Income & Convertible Fund), Guggenheim Energy & Income Fund
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 0000 Xxx) by the Fund, including policies and procedures that provide oversight of compliance by the Adviser Investment Manager and the administrator and transfer agent of the Fund.
Appears in 2 contracts
Samples: Cohen & Steers MLP Income & Energy Opportunity Fund, Cohen & Steers LTD Duration Preferred & Income Fund, Inc.
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 0000 1000 Xxx) by the Fund, including policies and procedures that provide oversight of compliance by the Adviser Advisers and the administrator and transfer agent of the Fund.
Appears in 1 contract
Samples: Underwriting Agreement (MainStay DefinedTerm Municipal Opportunities Fund)
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 0000 Xxx) by the Fund, including policies and procedures that provide oversight of compliance by the Adviser and the Advisers, administrator and transfer agent of the Fund.
Appears in 1 contract
Samples: Underwriting Agreement (Nuveen Intermediate Duration Quality Municipal Term Fund)
