Client Agreements. (a) Each Advisory Agreement includes all provisions required by and complies in all respects with the Investment Advisers Act, except as would not reasonably be expected to have, individually or in the aggregate, a Company Material Adverse Effect. No Advisory Client is, or to the knowledge of the Company is required to be, registered as an investment company under the Investment Company Act. No RIA Subsidiary sponsors any public or private investment funds.
Appears in 3 contracts
Samples: Agreement and Plan of Merger (Schwab Charles Corp), Agreement and Plan of Merger (Td Ameritrade Holding Corp), Voting and Support Agreement
Client Agreements. (a) Each Advisory Agreement includes all provisions required by and complies in all respects with the Investment Advisers Act, except as would not reasonably be expected to have, individually or in the aggregate, a Company Material Adverse Effect. No Advisory Client is, or to the knowledge of the Company is Company, registered or required to be, be registered as an investment company under the Investment Company Act. No The Company RIA Subsidiary sponsors does not sponsor any public or private investment funds.
Appears in 2 contracts
Samples: Agreement and Plan of Merger (E Trade Financial Corp), Agreement and Plan of Merger (Morgan Stanley)
