Compliance with Applicable Requirements. In carrying out its obligations under this Agreement, the Advisor shall at all times conform to: (a) all applicable provisions of the 1940 Act and the Advisers Act and any rules and regulations adopted thereunder; (b) the provisions of the registration statement of the Company, as the same may be amended from time to time under the Securities Act of 1933 and the 1940 Act; (c) the provisions of the Charter, as the same may be amended from time to time; (d) the provisions of the by-laws of the Company, as the same may be amended from time to time; and (e) any other applicable provisions of state, federal or foreign law.
Appears in 9 contracts
Sources: Master Investment Advisory Agreement (Aim Variable Insurance Funds Inc), Master Investment Advisory Agreement (Short Term Investments Co /Tx/), Master Investment Advisory Agreement (Aim Equity Funds Inc)
Compliance with Applicable Requirements. In carrying out its obligations under this Agreement, the Advisor shall at all times conform to:
(a) a. all applicable provisions of the 1940 Act and the Advisers Act and any applicable rules and regulations adopted thereunder;
(b) b. the provisions of the registration statement of the Company, as the same may be amended from time to time under the Securities Act of 1933 and the 1940 Act, including without limitation, the investment objectives set forth therein;
(c) c. the provisions of the CharterCompany’s Articles of Incorporation, as the same may be amended from time to time;
(d) d. the provisions of the by-laws Bylaws of the Company, as the same may be amended from time to time;
e. all policies, procedures and directives adopted by the Board; and
(e) f. any other applicable provisions of state, federal or foreign law.
Appears in 9 contracts
Sources: Investment Advisory Agreement (Tortoise Pipeline & Energy Fund, Inc.), Investment Advisory Agreement (Tortoise MLP Fund, Inc.), Investment Advisory Agreement (Tortoise Energy Independence Fund, Inc.)
Compliance with Applicable Requirements. In carrying out its obligations under this Agreement, the Advisor shall at all times conform to:
(a) all applicable provisions of the 1940 Act and the Advisers Act and any rules and regulations adopted thereunder;
(b) the provisions of the registration statement of the Company, as the same may be amended from time to time under the Securities Act of 1933 and the 1940 Act;
(c) the provisions of the Chartercorporate charter of the Company, as the same may be amended from time to time;
(d) the provisions of the by-laws of the Company, as the same may be amended from time to time; and
(e) any other applicable provisions of state, federal or foreign law.
Appears in 9 contracts
Sources: Master Investment Advisory Agreement (Aim Tax Exempt Funds Inc/New), Master Investment Advisory Agreement (Aim Summit Fund Inc), Master Investment Advisory Agreement (A I M Management Group Inc /De/)
Compliance with Applicable Requirements. In carrying out its obligations under this Agreement, the Advisor Adviser shall at all times conform to:
(a) a. all applicable provisions of the 1940 Act and the Advisers Act and any applicable rules and regulations adopted thereunder;
(b) b. the provisions of the any registration statement of the Company, as the same may be amended from time to time under the Securities Act of 1933 and Act, including without limitation, the 1940 Actinvestment objectives set forth therein;
(c) c. the provisions of the CharterCompany’s Articles of Incorporation, as the same may be amended from time to time;
(d) d. the provisions of the by-laws Bylaws of the Company, as the same may be amended from time to time;
e. all policies, procedures and directives adopted by the Board; and
(e) f. any other applicable provisions of state, federal or foreign law.
Appears in 8 contracts
Sources: Investment Advisory Agreement (MacKenzie Realty Capital, Inc.), Investment Advisory Agreement (MacKenzie Realty Capital, Inc.), Investment Advisory Agreement (MacKenzie Realty Capital, Inc.)
Compliance with Applicable Requirements. In carrying out its obligations under this Agreement, the Advisor shall at all times conform to:
(a) all applicable provisions of the 1940 Act and the Advisers Act and any rules and regulations adopted thereunder;
(b) the provisions of the registration statement of the Company, as the same may be amended from time to time under the Securities Act of 1933 and the 1940 Act;
(c) the provisions of the CharterAgreement and Declaration of Trust of the Company, as the same may be amended from time to time;
(d) the provisions of the by-laws of the Company, as the same may be amended from time to time; and
(e) any other applicable provisions of state, federal or foreign law.
Appears in 8 contracts
Sources: Master Investment Advisory Agreement (Aim Special Opportunities Funds), Master Investment Advisory Agreement (Aim Series Trust), Master Investment Advisory Agreement (Aim Series Trust)
Compliance with Applicable Requirements. In carrying out its obligations under this Agreement, the Advisor Adviser shall at all times conform to:
(a) all applicable provisions of the 1940 Act and Act, the Advisers Act and any rules and regulations adopted thereunder;
(b) the provisions of the registration statement of the Company, as the same may be amended from time to time time, under the Securities Act of 1933 and the 1940 Act;
(c) the provisions of the CharterArticles of Incorporation of the Company, as the same may be amended from time to time;
(d) the provisions of the byBy-laws of the Company, as the same may be amended from time to time; and
(e) any other applicable provisions of state, state or federal or foreign law.
Appears in 7 contracts
Sources: Investment Advisory Agreement (Nations Lifegoal Funds Inc), Investment Advisory Agreement (Nations Fund Inc), Investment Advisory Agreement (Nations Fund Inc)
Compliance with Applicable Requirements. In carrying out its obligations under this Agreement, the Advisor shall at all times conform to:
(a) a. all applicable provisions of the 1940 Act and the Advisers Act and any applicable rules and regulations adopted thereunder;
(b) b. the provisions of the Memorandum or any subsequent registration statement of the Company, as the same may be amended from time to time under the Securities Act of 1933 and Act, including without limitation, the 1940 Actinvestment objectives set forth therein;
(c) c. the provisions of the CharterCompany’s Articles of Incorporation, as the same may be amended from time to time;
(d) d. the provisions of the by-laws Bylaws of the Company, as the same may be amended from time to time
e. all policies, procedures and directives adopted by the Board; and
(e) f. any other applicable provisions of state, federal or foreign law.
Appears in 3 contracts
Sources: Investment Advisory Agreement (Tortoise Capital Resources Corp), Investment Advisory Agreement (Tortoise Capital Resources Corp), Investment Advisory Agreement (Tortoise Capital Resources Corp)
Compliance with Applicable Requirements. In carrying out its obligations under this Agreement, the Advisor Adviser shall at all times conform to:
(a) a. all applicable provisions of the 1940 Act and the Advisers Act and any rules and regulations adopted thereunder;
(b) b. the provisions of the registration statement of the Company, as the same may be amended from time to time under the Securities Act of 1933 and the 1940 Act;
(c) c. the provisions of the CharterCompany’s Prospectus as filed with the Commission, including without limitation, the investment objectives;
d. the provisions of the Company’s Articles of Incorporation, as the same may be amended from time to time;
(d) e. the provisions of the by-laws Bylaws of the Company, as the same may be amended from time to time
f. all policies, procedures and directives adopted by the Board; and
(e) g. any other applicable provisions of state, federal or foreign law.
Appears in 3 contracts
Sources: Investment Advisory Agreement (Tortoise Energy Capital Corp), Investment Advisory Agreement (Tortoise Energy Capital Corp), Investment Advisory Agreement (Tortoise Energy Capital Corp)
Compliance with Applicable Requirements. In carrying out its obligations under this Agreement, the Advisor shall at all times conform to:
(a) all applicable provisions of the 1940 Act and the Advisers Act and any rules and regulations adopted thereunder;
(b) the provisions of the registration statement of the Company, as the same may be amended from time to time time, under the Securities Act of 1933 and the 1940 Act;
(c) the provisions of the Chartercorporate charter of the Company, as the same may be amended from time to time;
(d) the provisions of the by-laws of the Company, as the same may be amended from time to time; and
(e) any other applicable provisions of state, state or federal or foreign law.
Appears in 3 contracts
Sources: Master Investment Advisory Agreement (Short Term Investments Co /Tx/), Master Investment Advisory Agreement (Aim Equity Funds Inc), Master Investment Advisory Agreement (Aim International Funds Inc)
Compliance with Applicable Requirements. In carrying out its obligations under this Agreement, the Sub-Advisor shall at all times conform to:
(a) all applicable provisions of the 1940 Act and the Advisers Act and any rules and regulations adopted thereunder;
(b) the provisions of the registration statement of the Company, as the same may be amended from time to time time, under the Securities Act of 1933 1933, as amended, and the 1940 Act;
(c) the provisions of the Chartercorporate charter of the Company, as the same may be amended from time to time;
(d) the provisions of the by-laws of the Company, as the same may be amended from time to time; and
(e) any other applicable provisions of state, federal or foreign law.
Appears in 3 contracts
Sources: Sub Advisory Agreement (Aim Variable Insurance Funds Inc), Master Sub Advisory Agreement (Aim International Funds Inc), Sub Advisory Agreement (Aim Variable Insurance Funds Inc)
Compliance with Applicable Requirements. In carrying out performing its obligations under this Agreementduties hereunder, the Advisor shall at all times conform to:
(a) all applicable provisions of the 1940 Act and the Advisers Act Act, and any rules and regulations adopted thereunder;
(b) the provisions of the registration statement of the CompanyCompany relating to the Fund, as the same may be amended from time to time time, under the Securities Act of 1933 and the 1940 Act;
(c) the provisions of the CharterArticles of Incorporation of the Company, as the same may be amended from time to time;
(d) the provisions of the byBy-laws of the Company, as the same may be amended from time to time; and
(e) any other applicable provisions of state, federal or foreign law.
Appears in 3 contracts
Sources: Investment Advisory Agreement (Dominion Funds Inc), Interim Investment Advisory Agreement (Dominion Funds Inc), Investment Advisory Agreement (Dominion Funds Inc)
Compliance with Applicable Requirements. In carrying out its obligations under this Agreement, the Advisor Adviser shall at all times conform to:
(a) a. all applicable provisions of the 1940 Act and Act, the Advisers Act and Act, any applicable rules and regulations adopted thereunderthereunder and applicable provisions of comparable state laws that are applicable to the Adviser’s services to be provided hereunder;
(b) b. the provisions of the any registration statement of the Company, as the same may be amended from time to time under the Securities Act of 1933 and Act, including without limitation, the 1940 Actinvestment objectives set forth therein;
(c) c. the provisions of the CharterCompany’s Certificate of Formation, as the same may be amended from time to time;
(d) d. the provisions of the by-laws of the Company's LLC Agreement, as the same may be amended from time to time;
e. all policies, procedures and directives adopted by the Board in conformity with applicable law; and
(e) f. any other applicable provisions of state, federal or foreign law.
Appears in 2 contracts
Sources: Investment Advisory Agreement (Zea Capital Fund LLC), Investment Advisory Agreement (Zea Capital Fund LLC)
Compliance with Applicable Requirements. In carrying out its obligations under this Agreement, the Advisor Adviser shall at all times conform to:
(a) a. all applicable provisions of the 1940 Act and the Advisers Act and any applicable rules and regulations adopted thereunder;
(b) b. the provisions of the registration statement of the Company, as the same may be amended from time to time under the Securities Act of 1933 and the 1940 Act, including without limitation, the investment objectives set forth therein;
(c) c. the provisions of the CharterCompany’s Articles of Incorporation, as the same may be amended from time to time;
(d) d. the provisions of the by-laws Bylaws of the Company, as the same may be amended from time to time;
e. all policies, procedures and directives adopted by the Board; and
(e) f. any other applicable provisions of state, federal or foreign law.
Appears in 2 contracts
Sources: Investment Advisory Agreement (Tortoise Tax-Advantaged Social Infrastructure Fund, Inc.), Investment Advisory Agreement (Tortoise Tax-Advantaged Social Infrastructure Fund, Inc.)
Compliance with Applicable Requirements. In carrying out its obligations under this Agreement, the Sub-Sub-Advisor shall at all times conform to:
(a) all applicable provisions of the 1940 Act and the Advisers Act and any rules and regulations adopted thereunder;
(b) the provisions of the registration statement of the Company, as the same may be amended from time to time time, under the Securities Act of 1933 and the 1940 Act;
(c) the provisions of the Chartercorporate charter of the Company, as the same may be amended from time to time;
(d) the provisions of the by-laws of the Company, as the same may be amended from time to time; and
(e) any other applicable provisions of state, federal or foreign law.
Appears in 2 contracts
Sources: Sub Sub Advisory Agreement (Aim International Funds Inc), Sub Sub Advisory Agreement (Aim International Funds Inc)
Compliance with Applicable Requirements. In carrying out its obligations under this Agreement, the Advisor Adviser shall at all times conform to:
(a) a. all applicable provisions of the 1940 Act and the Advisers Act and any rules and regulations adopted thereunder;
(b) b. the provisions of the registration statement of the Company, as the same may be amended from time to time under the Securities Act of 1933 and the 1940 Act;
(c) c. the provisions of the CharterProspectus, including without limitation, the investment objective;
d. the provisions of the Company’s Articles of Incorporation, as the same may be amended from time to time;
(d) e. the provisions of the by-laws Bylaws of the Company, as the same may be amended from time to time;
f. all policies, procedures and directives adopted by the Board; and
(e) g. any other applicable provisions of state, federal or foreign law.
Appears in 2 contracts
Sources: Investment Advisory Agreement (Tortoise Energy Infrastructure Corp), Investment Advisory Agreement (Tortoise Energy Infrastructure Corp)
Compliance with Applicable Requirements. In carrying out its obligations under this Agreement, the Sub-Advisor shall at all times conform to:
(a) all applicable provisions of the 1940 Act and the Advisers Act and any rules and regulations adopted thereunder;
(b) the provisions of the registration statement of the Company, as the same may be amended from time to time time, under the Securities Act of 1933 and the 1940 Act;
(c) the provisions of the Chartercorporate charter of the Company, as the same may be amended from time to time;
(d) the provisions of the by-laws of the Company, as the same may be amended from time to time; and
(e) any other applicable provisions of state, state or federal or foreign law.
Appears in 2 contracts
Sources: Master Sub Advisory Agreement (Aim Equity Funds Inc), Master Sub Advisory Agreement (Aim Equity Funds Inc)
Compliance with Applicable Requirements. In carrying out its obligations under this Agreement, the Advisor Adviser shall at all times conform to:
(a) a. all applicable provisions of the 1940 Act and the Advisers Act and any applicable rules and regulations adopted thereunder;
(b) b. the provisions of the any registration statement of the Company, as the same may be amended from time to time under the Securities Act of 1933 and Act, including without limitation, the 1940 Actinvestment objectives set forth therein;
(c) c. the provisions of the CharterCompany's Articles of Incorporation, as the same may be amended from time to time;
(d) d. the provisions of the by-laws Bylaws of the Company, as the same may be amended from time to time;
e. all policies, procedures and directives adopted by the Board; and
(e) f. any other applicable provisions of state, federal or foreign law.
Appears in 1 contract
Sources: Investment Advisory Agreement (MacKenzie Realty Capital, Inc.)
Compliance with Applicable Requirements. In carrying out its obligations under this Agreement, the Advisor shall at all times conform to:
(a) all applicable provisions of the 1940 Act and the Advisers Act and any rules and regulations adopted thereunder;
(b) the provisions of the registration statement of the Company, as the same may be amended from time to time under the Securities Act of 1933 and the 1940 Act;
(c) the provisions of the CharterArticles of Incorporation, as the same may be amended from time to time;
(d) the provisions of the by-laws of the Company, as the same may be amended from time to time; and
(e) any other applicable provisions of state, federal or foreign law.
Appears in 1 contract
Sources: Master Investment Advisory Agreement (Invesco Variable Investment Funds Inc)
Compliance with Applicable Requirements. In carrying out its obligations under this Agreement, the Advisor shall at all times conform to:
(a) a. all applicable provisions of the 1940 Act and the Advisers Act and any applicable rules and regulations adopted thereunder;
(b) b. the provisions of the Memorandum and the subsequent registration statement of the Company, as the same may be amended from time to time under the Securities Act of 1933 and the 1940 Act, including without limitation, the investment objectives set forth therein;
(c) c. the provisions of the CharterCompany's Articles of Incorporation, as the same may be amended from time to time;
(d) d. the provisions of the by-laws Bylaws of the Company, as the same may be amended from time to time;
e. all policies, procedures and directives adopted by the Board; and
(e) f. any other applicable provisions of state, federal or foreign law.
Appears in 1 contract
Sources: Investment Advisory Agreement (Tortoise Gas & Oil Corp)
Compliance with Applicable Requirements. In carrying out its obligations under this Agreement, the Advisor Adviser shall at all times conform to:
(a) a. all applicable provisions of the 1940 Act and the Advisers Act and any applicable rules and regulations adopted thereunder;
(b) b. the provisions of the any registration statement of the Company, as the same may be amended from time to time under the Securities Act of 1933 and Act, including without limitation, the 1940 Actinvestment objectives set forth therein;
(c) c. the provisions of the CharterCompany’s Articles of Incorporation, as the same may be amended from time to time;
(d) d. the provisions of the by-laws Bylaws of the Company, as the same may be amended from time to time;
e. all policies, procedures and directives adopted by the Board; and
(e) f. any other applicable provisions of state, federal or foreign law.
Appears in 1 contract
Sources: Investment Advisory Agreement (MacKenzie Realty Capital, Inc.)
Compliance with Applicable Requirements. In carrying out performing its obligations under this Agreementduties hereunder, the Advisor shall at all times conform to:
(a) all applicable provisions of the 1940 Act and the Advisers Act Act, and any rules and regulations adopted thereunder;
(b) the provisions of the registration statement of the CompanyCompany relating to the Fund, as the same may be amended from time to time time, under the Securities Act of 1933 and the 1940 Act;
(c) the provisions of the CharterArticles of Incorporation of the Company, as the same may be amended from time to time;
(d) the provisions of the byBy-laws Laws of the Company, as the same may be amended from time to time; and
(e) any other applicable provisions of state, federal or foreign law.
Appears in 1 contract
Sources: Investment Advisory Agreement (Aim International Funds Inc)
Compliance with Applicable Requirements. In carrying out its obligations under this Agreement, the Advisor shall at all times conform to:
(a) all applicable provisions of the 1940 Act and the Advisers Act and any rules and regulations adopted thereunder;
(b) the provisions of the registration statement of the Company, as the same may be amended from time to time time, under the Securities Act of 1933 and the 1940 Act;
(c) the provisions of the CharterAgreement and Declaration of Trust of the Company, as the same may be amended from time to time;
(d) the provisions of the by-laws of the Company, as the same may be amended from time to time; and
(e) any other applicable provisions of state, state or federal or foreign law.
Appears in 1 contract
Sources: Master Investment Advisory Agreement (Aim Investment Securities Funds Inc)
Compliance with Applicable Requirements. In carrying out its obligations under this Agreement, the Advisor Adviser shall at all times conform to:
(a) a. all applicable provisions of the 1940 Act and the Advisers Act and any applicable rules and regulations adopted thereunder;
(b) b. the provisions of the any registration statement of the Company, as the same may be amended from time to time under the Securities 1933 Act of 1933 and in connection with the 1940 ActOffering, including the investment objectives set forth therein;
(c) c. the provisions of the CharterCompany’s Articles of Incorporation, as the same may be amended from time to time;
(d) d. the provisions of the by-laws Bylaws of the Company, as the same may be amended from time to time;
e. all policies, procedures and directives adopted by the Board; and
(e) f. any other applicable provisions of state, federal or foreign law.
Appears in 1 contract
Sources: Portfolio Structuring Fee Agreement (MacKenzie Realty Capital, Inc.)
Compliance with Applicable Requirements. In carrying out its obligations under this Agreement, the Advisor Adviser shall at all times conform to:
(a) a. all applicable provisions of the 1940 Act and the Advisers Act and any applicable rules and regulations adopted thereunder;
(b) b. the provisions of the registration statement of the Company, as the same may be amended from time to time under the Securities Act of 1933 and the 1940 Act, including without limitation, the investment objectives set forth therein;
(c) c. the provisions of the CharterCompany’s Declaration of Trust, as the same may be amended from time to time;
(d) d. the provisions of the by-laws Bylaws of the Company, as the same may be amended from time to time;
e. all policies, procedures and directives adopted by the Board; and
(e) f. any other applicable provisions of state, federal or foreign law.
Appears in 1 contract
Sources: Investment Advisory Agreement (Tortoise Essential Assets Income Term Fund)
Compliance with Applicable Requirements. In carrying out its obligations under this Agreement, the Advisor Adviser shall at all times conform to:
(a) a. all applicable provisions of the 1940 Act and the Advisers Act and any rules and regulations adopted thereunder;
(b) b. the provisions of the registration statement of the Company, as the same may be amended from time to time under the Securities Act of 1933 and the 1940 Act;
(c) c. the provisions of the CharterProspectus, including without limitation, the investment objective;
d. the provisions of the Company's Articles of Incorporation, as the same may be amended from time to time;
(d) e. the provisions of the by-laws Bylaws of the Company, as the same may be amended from time to time
f. all policies, procedures and directives adopted by the Board; and
(e) g. any other applicable provisions of state, federal or foreign law.
Appears in 1 contract
Sources: Investment Advisory Agreement (Tortoise North American Energy Corp)
Compliance with Applicable Requirements. In carrying out its obligations under this Agreement, the Advisor shall at all times conform to:
(a) a. all applicable provisions of the 1940 Act and the Advisers Act and any applicable rules and regulations adopted thereunder;
(b) b. the provisions of the Memorandum and the registration statement of the Company, as the same may be amended from time to time under the Securities Act of 1933 and the 1940 Act, including without limitation, the investment objectives set forth therein;
(c) c. the provisions of the CharterCompany's Certificate of Formation, as the same may be amended from time to time;
(d) d. the provisions of the by-laws Operating Agreement of the Company, as the same may be amended from time to time
e. all policies, procedures and directives adopted by the Board; and
(e) f. any other applicable provisions of state, federal or foreign law.
Appears in 1 contract
Sources: Investment Advisory Agreement (Tortoise Total Return Fund, LLC)
Compliance with Applicable Requirements. In carrying out its obligations under this Agreement, the Advisor Adviser shall at all times conform to:
(a) a. all applicable provisions of the 1940 Act and the Advisers Act and any rules and regulations adopted thereunder;
(b) b. the provisions of the registration statement of the Company, as the same may be amended beamended from time to time under the Securities Act of 1933 and the 1940 Act;
(c) c. the provisions of the CharterProspectus, including without limitation, the investment objective;
d. the provisions of the Company's Articles of Incorporation, as the same may be amended from time to time;
(d) e. the provisions of the by-laws Bylaws of the Company, as the same may be amended from time to time
f. all policies, procedures and directives adopted by the Board; and
(e) g. any other applicable provisions of state, federal or foreign law.
Appears in 1 contract
Sources: Investment Advisory Agreement (Tortoise North American Energy Corp)
Compliance with Applicable Requirements. In carrying out its obligations under this Agreement, the Sub-Advisor shall at all times conform to:
(a) all applicable provisions of the 1940 Act and the Advisers Act and any rules and regulations adopted thereunder;
(b) the provisions of the registration statement of the Company, as the same may be amended from time to time time, under the Securities Act of 1933 and the 1940 Act;
(c) the provisions of the Chartercorporate charter of the Company, as the same may be amended from time to time;
(d) the provisions of the by-laws of the Company, as the same may be amended from time to time; and
(e) any other applicable provisions of state, federal or foreign law.
Appears in 1 contract
Sources: Master Sub Advisory Agreement (Aim International Funds Inc)
Compliance with Applicable Requirements. In carrying out its obligations under this Agreement, the Advisor Adviser shall at all times conform to:
(a) a. all applicable provisions of the 1940 Act and the Advisers Act and any rules and regulations adopted thereunder;
(b) b. the provisions of the registration statement of the Company, as the same may be amended beamended from time to time under the Securities Act of 1933 and the 1940 Act;
(c) c. the provisions of the CharterProspectus, including without limitation, the investment objective;
d. the provisions of the Company's Articles of Incorporation, as the same may be amended from time to time;
(d) e. the provisions of the by-laws Bylaws of the Company, as the same may be amended from time to time
f. all policies, procedures and directives adopted by the Board; and
(e) g. any other applicable provisions of state, federal or foreign law.
Appears in 1 contract
Sources: Investment Advisory Agreement (Tortoise North American Energy Corp)