Business; Registrations. (a) The Company and its Subsidiaries have at all times since their respective formations been engaged solely in the business of providing Investment Management Services.
Business; Registrations. (a) The Company is and has, since its inception, been engaged solely in the business of providing Investment Management Services. The Company does not provide Investment Management Services to (i) any of the Private Funds, or any other issuer that would be an investment company (within the meaning of the Investment Company Act) but for the exemptions contained in Section 3(c)(1), Section 3(c)(7), the final clause of Section 3(c)(3) or the third or fourth clauses of Section 3(c)(11) of the Investment Company Act, (ii) any issuer, registered under the laws of the appropriate securities regulatory authority in the jurisdiction in which the issuer is domiciled (other than the United States or the States thereof), which is or holds itself out as engaged primarily in the business of investing, reinvesting or trading in securities or (iii) any issuer that is an investment company (within the meaning of the Investment Company Act).
Business; Registrations. (a) The Company is engaged solely in the business of providing Investment Management Services and Brokerage Services. The Company does not provide Investment Management Services to: (i) any issuer other than the Private Funds that would be required to register as an investment company (within the meaning of the Investment Company Act) but for the exemptions contained in Section 3(c)(1), the final clause of Section 3(c)(3), Section 3(c)(7) or the third or fourth clauses of Section 3(c)(11) of the Investment Company Act; (ii) any issuer other than the Offshore Funds that is registered under the laws of the appropriate securities regulatory authority in the jurisdiction in which the issuer is domiciled (other than the United States or the states thereof), and is or holds itself out as engaged primarily in the business of investing, reinvesting or trading in securities; or (iii) any issuer other than the Mutual Funds that is required to be registered as an investment company (within the meaning of the Investment Company Act).
Business; Registrations. (a) DCM has at all times since its inception been engaged solely in the business of providing Investment Management Services, and neither the Company nor any of its other Subsidiaries is or has been engaged in such business or activities requiring it to register as an investment advisor under applicable Requirements of Law, including the Advisers Act.
Business; Registrations. (a) Except as disclosed in SCHEDULE 3.21(a) hereto, the Company is and has, since its inception, been engaged solely in the business of providing Investment Management Services. The Company does not provide Investment Management Services to (i) any issuer that is an investment company (within the meaning of the Investment Company Act) other than the one investment company listed in SCHEDULE 3.21(a), (ii) any issuer affiliated with any Seller that would be an investment company (within the meaning of the Investment Company Act) but for the exemptions contained in Section 3(c)(1), Section 3(c)(7), the final clause of Section 3(c)(3) or the third or fourth clauses of Section 3(c)(11) of the Investment Company Act, or (iii) any issuer affiliated with any Seller that is or is required to be registered under the laws of the appropriate securities regulatory authority in the jurisdiction in which the issuer is domiciled (other than the United States or the states thereof), which is or holds itself out as engaged primarily in the business of investing, reinvesting or trading in securities.
Business; Registrations. (a) Company has at all times since its inception been engaged solely in the business of providing financial planning, investment advisory, investment management and related services.
Business; Registrations. (a) The Xxxxxx Companies and the WY LLC have at all times since their respective inceptions been engaged solely in the business of providing Investment Management Services.
Business; Registrations. (a) Except for ZSC, which is also engaged in the business of providing Brokerage Services, each Company is engaged solely in the business of providing Investment Management Services and certain related businesses and activities and has not engaged in any other business or activity of any kind. No Company has sponsored or participated in the distribution by private offering or otherwise of any interests in any issuer, that would require it to register as an investment company (within the meaning of the Investment Company Act) but for the exceptions contained in Section 3(c)(1), the final clause of Section 3(c)(3), Section 3(c)(7) or the third or fourth clauses of Section 3(c)(11) of the Investment Company Act.
Business; Registrations. (a) Neither Buyer nor any "affiliated person" (as defined in the Investment Company Act) thereof is ineligible pursuant to Section 9(a) or 9(b) of the Investment Company Act to serve as an investment adviser (or in any other capacity contemplated by the Investment Company Act) to a registered investment company. Neither Buyer nor any "associated person" (as defined in the Advisers Act) thereof is ineligible pursuant to Section 203 of the Advisers Act to serve as an investment adviser or as an associated person to a registered investment adviser. Neither Buyer nor any "associated person" (as defined in the Advisers Act) has been convicted of any crime or has engaged in any conduct that would require disclosure under Rule 206(4)-4(a)(2) under the Advisers Act or under applicable state law. Neither Buyer nor any "associated person" (as defined in the Exchange Act) thereof is ineligible pursuant to Section 15(b) of the Exchange Act to serve as a broker-dealer or as an associated person to a registered broker-dealer.
Business; Registrations. (a) WCP has at all times required by applicable laws since its inception been duly registered as an investment adviser under the Investment Advisers Act. WCP is duly registered, licensed and qualified as an investment adviser in all jurisdictions where such registration, licensing or qualification is required in order to conduct its business as currently conducted. WCP has not received any written notice that WCP’s registration, licensing or qualification as an investment adviser is, is to be, or will be restricted or terminated.
