Representations and Warranties by ▇▇▇▇▇. SIDCO represents and warrants that: 2.03.01. ▇▇▇▇▇ has full power, right, and authority to execute and deliver this Agreement and to consummate the transactions contemplated hereby; 2.03.02. the execution and delivery of this Agreement and the consummation of the transactions contemplated hereby have been duly and validly approved by all requisite action on SIDCO’s part, and no other proceedings on SIDCO’s part are necessary to approve this Agreement or to consummate the transactions contemplated hereby; 2.03.03. this Agreement has been duly executed and delivered by ▇▇▇▇▇ and constitutes a legal, valid, and binding obligation, enforceable against SIDCO in accordance with the Agreement’s terms; 2.03.04. information about litigation to which SEI or SEI’s affiliates is a party shall be set forth in SEI Investments Company’s periodic SEC filings in accordance with the rules of the SEC and shall be publicly available on filings on Forms 10-Q, 10-K, and 8-K from time to time; 2.03.05. there is no injunction, order, judgment, decree, or regulatory restriction imposed specifically upon SIDCO or any of SIDCO’s properties or assets; 2.03.06. SIDCO is not in default under any statutory obligations whatsoever (including the payment of any tax) which materially and adversely affects, or is likely materially and adversely to affect, SIDCO’s business or financial condition; and 2.03.07. ▇▇▇▇▇ is a member of Financial Industry Regulatory Authority (“FINRA”) and agrees to abide by all of the rules and regulations of FINRA, including, without limitation, the NASD Conduct Rules. ▇▇▇▇▇ agrees to comply with all applicable federal and state laws, rules, and regulations as applicable to SIDCO. ▇▇▇▇▇ agrees to notify the Adviser immediately in the event of ▇▇▇▇▇’s expulsion or suspension by FINRA.
Appears in 2 contracts
Sources: Distribution Services Agreement (Advisors' Inner Circle Fund II), Distribution Services Agreement (Advisors' Inner Circle Fund III)
Representations and Warranties by ▇▇▇▇▇. SIDCO represents and warrants that:
2.03.01. ▇▇▇▇▇ it has full power, right, right and authority to execute and deliver this Agreement and to consummate the transactions contemplated hereby;
2.03.02. the execution and delivery of this Agreement and the consummation of the transactions contemplated hereby have been duly and validly approved by all requisite action on SIDCO’s its part, and no other proceedings on SIDCO’s its part are necessary to approve this Agreement or to consummate the transactions contemplated hereby;
2.03.03. this Agreement has been duly executed and delivered by ▇▇▇▇▇ it and constitutes a legal, valid, valid and binding obligation, enforceable against SIDCO it in accordance with the Agreement’s its terms;
2.03.04. information about litigation to which SEI or SEI’s its affiliates is a party shall will be set forth in SEI Investments Company’s periodic SEC filings in accordance with the rules of the SEC and shall will be publicly available on filings on Forms 10-Q, 10-K, K and 8-K from time to time;
2.03.05. there is no injunction, order, judgment, decree, or regulatory restriction imposed specifically upon SIDCO it or any of SIDCO’s its properties or assets;
2.03.06. SIDCO it is not in default under any statutory obligations whatsoever (including the payment of any tax) which materially and adversely affects, or is likely to materially and adversely to affect, SIDCO’s its business or financial condition; and
2.03.07. ▇▇▇▇▇ it is a member of Financial Industry Regulatory Authority (“FINRA”) and agrees to abide by all of the rules and regulations of FINRA, including, without limitation, the NASD Conduct Rules. ▇▇▇▇▇ agrees to comply with all applicable federal and state laws, rules, rules and regulations as applicable to SIDCOit. ▇▇▇▇▇ agrees to notify the Adviser Advisor immediately in the event of ▇▇▇▇▇’s its expulsion or suspension by FINRA.
Appears in 1 contract
Sources: Distribution Services Agreement (Quaker Investment Trust)