Home Contract Samples R Reliance Agreement

Reliance Agreement: Definition, Terms, Example

Jump to Section

What is a Reliance Agreement?

A reliance agreement, sometimes called an Institutional Review Board (IRB) authorization, is a legal agreement in which two or more institutions who are collaborating on research agree that one IRB become the IRB of record. Reliance agreements, or “ceding review” allows researchers to maintain regulatory compliance while investigators avoid duplicate IRB review. Reliance agreements can be drafted for just one individual research project or customized for multiple projects. Reliance agreements are extremely specific depending on the institutions and research involved. These agreements will vary based on protocol and level of review that the institution must undergo. Some projects may be exempt from reliance agreements.

Common Sections in Reliance Agreements

Below is a list of common sections included in Reliance Agreements. These sections are linked to the below sample agreement for you to explore.

Reliance Agreement Sample

Exhibit (h)(7)

RELIANCE AGREEMENT FOR EXCHANGE PRIVILEGES

(Anti-Money Laundering and Customer Identification Program)

AGREEMENT, entered into this 30th day of June, 2009 by and among NATIXIS FUNDS TRUST I, NATIXIS FUNDS TRUST II, NATIXIS FUNDS TRUST IV, NATIXIS CASH MANAGEMENT TRUST, GATEWAY TRUST, HANSBERGER INTERNATIONAL SERIES (collectively “Natixis Funds Trusts”) and LOOMIS SAYLES FUNDS I, LOOMIS SAYLES FUNDS II (collectively “Loomis Funds Trusts” and together with Natixis Funds Trusts, the “Funds”, individually, each a “Fund”).

WHEREAS, each of the Natixis Funds Trusts, and each of the Loomis Funds Trusts are separate legal entities registered under the Investment Company Act of 1940 (“1940 Act”);

WHEREAS, the Funds are authorized to issue shares in separate series, with each such series representing interests in a separate portfolio of securities and other assets (each such series, together with all other series subsequently established by the Funds and, being hereinafter referred to as a “Portfolio,” and collectively as the “Portfolios” as set forth in Schedule A attached hereto);

WHEREAS, the Funds have adopted and implemented policies and procedures to comply with applicable rules and regulations of the Securities and Exchange Commission, the Department of Treasury or any other governmental agency regarding anti-money laundering (“AML”) and establishment of a customer identification program (“CIP”);

WHEREAS, the Funds have implemented exchange privileges among the Portfolios for the benefit of shareholders as set forth in the Funds’ prospectuses (“Exchange Privileges”); and

WHEREAS, the Funds, on behalf of the Portfolios, desire to memorialize their understanding in light of the Exchange Privileges among separate legal entities registered under the 1940 Act for furtherance of compliance with AML and CIP rules and regulations;

NOW THEREFORE, in consideration of the foregoing and the mutual covenants and agreements hereinafter contained, the parties hereby agree to amend the Agreements, pursuant to the terms thereof, as follows:

1. Definitions. As used in this Agreement, the following terms have the following meanings:

(A) “From Fund” means any existing Fund, or Portfolio thereof, from which a shareholder transfers or exchanges assets out of any account thereto, pursuant to the Exchange Privileges;


(B) “To Fund” means any new Fund, or Portfolio thereof, to which a shareholder transfers or exchanges assets to any account thereto, pursuant to the Exchange Privileges.

2. Reliance by To Fund on From Fund. On and after July 1, 2009, upon a shareholder using the Exchange Privileges, the To Fund shall be entitled to rely upon the From Fund’s performance of requirements and obligations under AML and CIP in order to satisfy To Fund’s own requirements and obligations of AML and CIP. Each Fund hereby agrees that it will provide to each other Fund at least annually a certification to the effect that it has implemented the Funds’ AML program and will perform the requirements of the Funds’ CIP. Such certification may take the form of a global certificate applicable to each Fund or such other form as the Funds’ AML officer may determine.

3. Miscellaneous. This Agreement may be executed in any number of counterparts, each of which shall be considered an original, but all of which shall together constitute one and the same instrument. All section headings in this Agreement are solely for convenience of reference, and do not affect the meaning or interpretation of this Agreement. A copy of each Fund’s Declaration of Trust is on file with the Secretary of The Commonwealth of Massachusetts, and notice is hereby given that this instrument is executed on behalf of the Trustees of each Fund as Trustees and not individually and that the obligations of this instrument are not binding upon any of the Trustees or Shareholders individually, but are binding only upon the assets and property of the Fund.

How ContractsCounsel Works
Hiring a lawyer on ContractsCounsel is easy, transparent and affordable.
1. Post a Free Project
Complete our 4-step process to provide info on what you need done.
2. Get Bids to Review
Receive flat-fee bids from lawyers in our marketplace to compare.
3. Start Your Project
Securely pay to start working with the lawyer you select.

IN WITNESS WHEREOF, each of the parties has caused this Agreement to be executed in its name and on its behalf by its duly authorized representative as of the date first above written.

NATIXIS FUNDS TRUST I

NATIXIS FUNDS TRUST II

NATIXIS FUNDS TRUST IV

NATIXIS CASH MANAGEMENT TRUST

LOOMIS SAYLES FUNDS II

GATEWAY TRUST

HANSBERGER INTERNATIONAL SERIES

By:   /s/ David Giunta
Name:   David Giunta
Title:   President
LOOMIS SAYLES FUNDS I
By:   /s/ David Giunta
Name:   David Giunta
Title:   Executive Vice President

 

2


Schedule A*

Natixis Funds Trusts

 

Natixis Funds Trust I

CGM Advisor Targeted Equity Fund

Hansberger International Fund

Loomis Sayles Core Plus Bond Fund

Natixis Income Diversified Portfolio

Natixis U.S. Diversified Portfolio

Vaughan Nelson Small Cap Value Fund

Natixis Funds Trust II

Harris Associates Large Cap Value Fund

Delafield Select Fund

ASG Global Alternatives Fund

Vaughan Nelson Value Opportunity Fund

Natixis Funds Trust IV

AEW Real Estate Fund

Natixis Cash Management Trust

Natixis Cash Management Trust – Money Market Series

Gateway Trust

Gateway Fund

Hansberger International Series

Emerging Markets Fund

International Core Fund

International Growth Fund

International Value Fund

All Countries Fund

 

3


Loomis Funds Trusts

 

Loomis Sayles Funds I

Loomis Sayles Bond Fund

Loomis Sayles Fixed Income Fund

Loomis Sayles Global Bond Fund

Loomis Sayles High Income Opportunities Fund

Loomis Sayles Inflation Protected Securities Fund

Loomis Sayles Institutional High Income Fund

Loomis Sayles Intermediate Duration Fixed Income Fund

Loomis Sayles Investment Grade Fixed Income Fund

Loomis Sayles Securitized Asset Fund

Loomis Sayles Small Cap Value Fund

Loomis Sayles Funds II

Loomis Sayles Global Markets Fund

Loomis Sayles Growth Fund

Loomis Sayles High Income Fund

Loomis Sayles International Bond Fund

Loomis Sayles Investment Grade Bond Fund

Loomis Sayles Limited Term Government and Agency Fund

Loomis Sayles Mid Cap Growth Fund

Loomis Sayles Research Fund

Loomis Sayles Small Cap Growth Fund

Loomis Sayles Strategic Income Fund

Loomis Sayles Value Fund

 

* This Schedule A will be deemed to automatically include, without any need of amending, all present and future Funds and Portfolios distributed from time to time by Natixis Distributors, L.P., or any affiliate thereof, which may adopt Exchange Privileges.

 

4


Reference:
Security Exchange Commission - Edgar Database, EX-99.(H)(7) 6 dex99h7.htm RELIANCE AGREEMENT, Viewed November 11, 2021, View Source on SEC.

Who Helps With Reliance Agreements?

Lawyers with backgrounds working on reliance agreements work with clients to help. Do you need help with a reliance agreement?

Post a project in ContractsCounsel's marketplace to get free bids from lawyers to draft, review, or negotiate reliance agreements. All lawyers are vetted by our team and peer reviewed by our customers for you to explore before hiring.


ContractsCounsel is not a law firm, and this post should not be considered and does not contain legal advice. To ensure the information and advice in this post are correct, sufficient, and appropriate for your situation, please consult a licensed attorney. Also, using or accessing ContractsCounsel's site does not create an attorney-client relationship between you and ContractsCounsel.


How ContractsCounsel Works
Hiring a lawyer on ContractsCounsel is easy, transparent and affordable.
1. Post a Free Project
Complete our 4-step process to provide info on what you need done.
2. Get Bids to Review
Receive flat-fee bids from lawyers in our marketplace to compare.
3. Start Your Project
Securely pay to start working with the lawyer you select.

Meet some of our Reliance Agreement Lawyers

Connie C. on ContractsCounsel
View Connie
5.0 (22)
Member Since:
June 14, 2023

Connie C.

Attorney
Free Consultation
Tennesee
12 Yrs Experience
Licensed in TN
Nashville School of Law

Connie Chadwick presently focuses her law practice in Tennessee on flat fee legal services which commonly include family court settlements such as divorces, child support orders, custody agreements; contracts; business formation services; and estate plans. Connie is also a Tennessee licensed residential general contractor with over fifteen years of experience in the construction field. With both legal and construction experience, Connie is a logical choice for contractor disputes. Connie earned her Doctorate of Jurisprudence from The Nashville School of Law after earning her Bachelor of Science in Accounting and Finance from Lipscomb University. www.conniechadwicklaw.com Connie Chadwick is recognized by peers and was selected to SuperLawyers Rising Stars for 2017 - 2023. This selection is based off of an evaluation of 12 indicators including peer recognition and professional achievement in legal practice. Being selected to Rising Stars is limited to a small number of attorneys in each state. As one of the few attorneys to garner the distinction of Rising Stars, Connie Chadwick has earned the respect of peers as one of the top-rated attorneys in the nation.

Recent  ContractsCounsel Client  Review:
5.0

"Connie was a pleasure to work with and provided thorough legal advice that I was able to make actionable decisions on. Thank you Connie!!"

David W. on ContractsCounsel
View David
5.0 (1)
Member Since:
June 14, 2023

David W.

Attorney
Free Consultation
Indian Trail, North Carolina
12 Yrs Experience
Licensed in NC
Charlotte School of Law

David provides legal representation with flat fee pricing for services in many practice areas including Business Law, Local Government, Contracts, Estate Planning, and Trademarks. His legal expertise is complemented by a diverse background as a former stockbroker and registered investment advisor, treasurer of a $1 billion+ non-profit, and elected county official. David H. Williams Law, PLLC is committed to providing expert legal services at a flat fee, making specialized legal counsel more accessible and affordable. Reach out to today to schedule a complimentary consultation to see if David's diverse skill sets are a fit for you or your organization's legal needs. https://davidhwilliamslaw.cliogrow.com/book https://davidhwilliamslaw.com/

Recent  ContractsCounsel Client  Review:
5.0

"David was very helpful in answer my questions. He went above and beyond to inform me on my real estate inquiries and have provide valuable recommendations."

Maria A. on ContractsCounsel
View Maria
5.0 (16)
Member Since:
June 29, 2023

Maria A.

Principal Attorney
Free Consultation
Burbank, California
9 Yrs Experience
Licensed in CA
Whittier Law School

Maria Akopyan is a dedicated family law attorney with a focus on marital agreements (prenuptial, postnuptial, and cohabitation agreements) as well as uncontested and default divorces. As the founder and principal attorney at Sapphire Legal Solutions, APC, Maria is committed to providing compassionate, efficient legal guidance through some of life’s most challenging transitions. Whether you’re navigating an amicable divorce or seeking a marital agreement, Maria offers personalized legal solutions that are uniquely tailored to your needs. With her extensive knowledge of family law, she works tirelessly to protect your rights, advocate for your best interests, and guide you empathetically toward a positive resolution. Maria understands the emotional complexities involved in family law matters. She strives to make the legal process as smooth and supportive as possible, ensuring that your family's well-being is safeguarded every step of the way. Trust Maria to be your reliable advocate, helping you find the best legal path forward for you and your loved ones. Let’s work together to resolve your legal matters with care, clarity, and confidence.

Recent  ContractsCounsel Client  Review:
5.0

"Maria was friendly quick to respond, and clearly answered my questions. Thanks again, Maria!"

Cannon M. on ContractsCounsel
View Cannon
Member Since:
June 12, 2023

Cannon M.

Lawyer
Free Consultation
Oklahoma City, Oklahoma
6 Yrs Experience
Licensed in OK
Oklahoma City University School of Law

I am an Oklahoma-licensed lawyer with a focus on guiding startup companies through important early-stage questions, such as entity formation, corporate governance, and fundraising. In my previous role, I drafted Form 1-A offering circulars, Form C offering circulars, and private placement memoranda for startups seeking to raise capital.

James S. on ContractsCounsel
View James
Member Since:
June 14, 2023

James S.

Attorney
Free Consultation
Sardinia, Ohio
14 Yrs Experience
Licensed in NJ, NY, OH
Rutgers Camden School of Law

Education Jim Schroeder holds multiple degrees from several institutions. He received his Juris Doctor from Rutgers School of Law in Camden New Jersey. He also earned two additional Master’s Degrees from Asbury Theological Seminary in Wilmore, Kentucky and United Theological Seminary in Dayton, Ohio. In addition, Schroeder has done graduate work in Public Sector Labor Relations and American History at Rutgers University and Nonprofit Leadership at Duke University. Jim Schroeder was admitted to the New Jersey Bar Association in 2008; the District of Columbia Bar Association in 2010; the New York State Bar Association in 2014; and the Ohio Bar Association in 2020. He is also admitted to the Federal Courts of Southern New Jersey and Southern Ohio.

Julius T. on ContractsCounsel
View Julius
Member Since:
August 20, 2023

Julius T.

General Counsel
Free Consultation
Atlanta, Georgia
23 Yrs Experience
Licensed in GA
University of Georgia School of Law

With 20 years of law practice experience, Julius is an accomplished and experienced attorney. Julius provides counsel to individuals, businesses, churches and other nonprofits, ministry leaders, and entertainment and creative artists on matters involving drafting, reviewing, and negotiating contracts; corporate formation and governance; real estate transactions; information technology; employment and human resources concerns, and last wills and testaments. A graduate of Emory University and the University of Georgia School of Law, Julius has notably served as counsel to the Georgia General Assembly (Georgia House of Representatives and Georgia State Senate) and the City of Atlanta / Hartsfield-Jackson Atlanta International Airport. Julius is also a licensed Realtor® and a native Atlantan.

Winslow W. on ContractsCounsel
View Winslow
Member Since:
June 16, 2023

Winslow W.

Attorney
Free Consultation
Denver, Colorado
35 Yrs Experience
Licensed in CO
University of Baltimore

Experienced telecommunications, software and SaaS contracts attorney with past litigation experience available to review, negotiate and analyze contracts for business of all sizes.

Find the best lawyer for your project

Browse Lawyers Now

Quick, user friendly and one of the better ways I've come across to get ahold of lawyers willing to take new clients.

View Trustpilot Review

How It Works

Post Your Project

Get Free Bids to Compare

Hire Your Lawyer

Business lawyers by top cities
See All Business Lawyers
Reliance Agreement lawyers by city
See All Reliance Agreement Lawyers

Contracts Counsel was incredibly helpful and easy to use. I submitted a project for a lawyer's help within a day I had received over 6 proposals from qualified lawyers. I submitted a bid that works best for my business and we went forward with the project.

View Trustpilot Review

I never knew how difficult it was to obtain representation or a lawyer, and ContractsCounsel was EXACTLY the type of service I was hoping for when I was in a pinch. Working with their service was efficient, effective and made me feel in control. Thank you so much and should I ever need attorney services down the road, I'll certainly be a repeat customer.

View Trustpilot Review

I got 5 bids within 24h of posting my project. I choose the person who provided the most detailed and relevant intro letter, highlighting their experience relevant to my project. I am very satisfied with the outcome and quality of the two agreements that were produced, they actually far exceed my expectations.

View Trustpilot Review

How It Works

Post Your Project

Get Free Bids to Compare

Hire Your Lawyer

Want to speak to someone?

Get in touch below and we will schedule a time to connect!

Request a call

Find lawyers and attorneys by city