Related Clauses

COMPLIANCE WITH POLICIES AND PROCEDURES
Policies and Procedures
Compliance Policies and Procedures
Compliance with Policies
Compliance with Rules and Policies
Compliance with Applicable Laws, Governing Documents and Trust Compliance Procedures
Periodic Review of Compliance Policies and Procedures
Sub-Advisor Compliance Policies and Procedures
Compliance with Underwriting Procedures
Compliance with Plan

Parent Clauses

Representations and Warranties by the Subadviser
Representations and Warranties
Representations and Warranties by the Fund and the Advisers
Representations and Warranties by the Subadvisers
Representations and Warranties by the Fund and the Adviser
Representations and Warranties of the Fund and the Advisers
Representations and Warranties with Respect to the Subadviser
Representations and Warranties by the Trust and the Advisers

Subadviser Compliance with Policies and Procedures. The Subadviser has adopted and implemented written policies and procedures under Rule 206(4)-7 of the Advisers Act reasonably designed to prevent violation of the Advisers Act and the Advisers Act Rules by the Subadviser and its supervised persons.

Appears in 9 contracts

Samples: Underwriting Agreement (Rivernorth Opportunities Fund, Inc.), Underwriting Agreement (RiverNorth/DoubleLine Strategic Opportunity Fund, Inc.), Underwriting Agreement (Dreyfus Alcentra Global Credit Income 2024 Target Term Fund, Inc.)

Appears in 3 contracts

Samples: Underwriting Agreement (Nuveen Preferred & Income 2022 Term Fund), Underwriting Agreement (Nuveen Energy MLP Total Return Fund), Underwriting Agreement (Nuveen Energy MLP Total Return Fund)

Subadviser Compliance with Policies and Procedures. The Subadviser has adopted and implemented written policies and procedures under Rule ~~206(4)-7~~ 206(4)‑7 of the Advisers Act reasonably designed to prevent violation of the Advisers Act and the Advisers Act Rules by the Subadviser and its supervised persons.

Appears in 2 contracts

Samples: Underwriting Agreement (Rivernorth Opportunities Fund, Inc.), Underwriting Agreement (RiverNorth/DoubleLine Strategic Opportunity Fund, Inc.)

Subadviser Compliance with Policies and Procedures. ~~The~~ Such Subadviser has adopted and implemented written policies and procedures under Rule 206(4)-7 of the Advisers Act reasonably designed to prevent violation of the Advisers Act and the Advisers Act Rules and Regulations by ~~the~~ such Subadviser and its supervised persons.

Appears in 1 contract

Samples: Underwriting Agreement (Eagle Growth & Income Opportunities Fund)

Subadviser Compliance with Policies and Procedures. The Subadviser has adopted and implemented written policies and procedures under Rule 206(4)-7 of the Advisers Act reasonably designed to prevent violation of the Advisers Act ~~and the Advisers Act Rules~~ by the Subadviser and its supervised persons.

Appears in 1 contract

Samples: Sales Agreement (Rivernorth Opportunities Fund, Inc.)

Common use of Subadviser Compliance with Policies and Procedures Clause in Contracts