Assertion: fund's adviser | /r/HasProperty | principal underwriter
Facets:
Source sentences:
text: Rule 38a-1 requires each investment company to adopt and implement written policies and procedures reasonably designed to prevent violation of the federal securities laws by the investment company, including policies and procedures that provide for the oversight of compliance by each adviser, principal underwriter, administrator, and transfer agent of the investment company.
text: Advisers, administrators, transfer agents, and, with respect to an open-end fund, the principal underwriter all provide ongoing services to the investment company.