Organisation SFA has over two hundred full time staff reporting to the Chief Executive. He is supported directly by an executive team, each member of which has POLICY DETERMINED BY SENIOR senior management responsibility for a specific aspect of SFA's activity. PRACTICIONERS AND INDEPENDENTS SUPPORTED BY A PROFESSIOINAL Overseeing the work of the executive is the Chairman and Board of EXECUTIVE AND STAFF Directors. These are not employees of SFA but are either senior practitioners from member firms or persons independent of SFA and its firms who represent the interests of the investor. The Board delegates responsibility for the detail of policy, rulemaking and disciplinary procedures to specialist committees which are also composed of practitioners and independents. Supported by a professional staff, this combination provides for effective and flexible self-regulation. REGULAR CONTACT WITH GOVERNMENT BODIES, Public Relations 'CITY' INSTITUTIONS, PROFESSIONAL BODIES AND SFA's communication with the public, Parliament, `City' institutions, THE PRESS professional bodies and other regulators, at home and abroad, plays an important part in the process of developing confidence in SFA members' businesses and in furthering the success of the regulatory system as a whole. Accordingly SFA maintains regular contact with the press and other media. Press coverage of disciplinary action taken by SFA acts as a reassurance to the public and to the financial community that SFA is actively seeking to help promote good practice in London's markets. Further information More details are available on the various aspects of SFA's work and what it does to put the investor first. Other publications include: o Rule Book and amendment service* o Professional Dealing Handbook* o Board Notices* o Membership Directory* o Briefing, SFA's Membership newsletter o Annual Report and Accounts (with Regulatory Plan) o Complaints Bureau o Annual Report of the Complaints Commissioner o Annual Report of the Chairman of the Arbitration Panel o Consumer Arbitration Scheme o Full Arbitration Scheme Rules o Membership Application Pack** o Available by subscription ** For applicant firms (after a preliminary discussion) SFA The Securities and Futures Authority Limited Cottons Centre Cottons Lane London SE1 2QB Tel: 000 000 0000 Xxx: 000 000 0000 Xxxxxxxxed in England xxx Xxxxx Xx 1998622 Xxxxxxxxxx Office as above Fifth edition July 1994
Entity Entity" shall mean any corporation (including any non-profit corporation), general partnership, limited partnership, limited liability partnership, joint venture, estate, trust, cooperative, foundation, society, political party, union, company (including any limited liability company or joint stock company), firm or other enterprise, association, organization or entity.
Company Organization Each of Acquiror and Merger Sub has been duly incorporated, organized or formed and is validly existing as a corporation or exempted company in good standing (or equivalent status, to the extent that such concept exists) under the Laws of its jurisdiction of incorporation, organization or formation, and has the requisite company power and authority to own, lease or operate all of its properties and assets and to conduct its business as it is now being conducted. The copies of Acquiror’s Governing Documents and the Governing Documents of Merger Sub, in each case, as amended to the date of this Agreement, previously delivered by Acquiror to the Company, are true, correct and complete. Merger Sub has no assets or operations other than those required to effect the transactions contemplated hereby. All of the equity interests of Merger Sub are held directly by Acquiror. Each of Acquiror and Merger Sub is duly licensed or qualified and in good standing as a foreign corporation or company in all jurisdictions in which its ownership of property or the character of its activities is such as to require it to be so licensed or qualified, except where failure to be so licensed or qualified would not reasonably be expected to be, individually or in the aggregate, material to Acquiror.
Business Organization Between the date of this Agreement and the Closing Date, Seller shall use its reasonable efforts, and shall cause Seller and each of its Subsidiaries to use its respective reasonable efforts, to
Person The term “Person” shall mean any individual, corporation, partnership, limited liability company, trust, joint stock company, business trust, unincorporated association, joint venture, governmental authority or other entity of any nature whatsoever.
Organization Buyer is a corporation duly organized, validly existing and in good standing under the laws of the State of Delaware. Buyer has all requisite power and authority to conduct its business as it is now conducted and to own, lease and operate its properties and assets.
Investment Companies; Regulated Entities None of the Loan Parties or any Subsidiaries of any Loan Party is an “investment company” registered or required to be registered under the Investment Company Act of 1940 or under the “control” of an “investment company” as such terms are defined in the Investment Company Act of 1940 and shall not become such an “investment company” or under such “control.” None of the Loan Parties or any Subsidiaries of any Loan Party is subject to any other Federal or state statute or regulation limiting its ability to incur Indebtedness for borrowed money.
Duly Organized Such Party is a corporation duly organized, validly existing and in good standing under the laws of the jurisdiction of its incorporation, is qualified to do business and is in good standing as a foreign corporation in each jurisdiction in which the conduct of its business or the ownership of its properties requires such qualification and failure to have such would prevent such Party from performing its obligations under this Agreement.
Regulated Entities None of the Company, any Person controlling the Company, or any Subsidiary, is an "Investment Company" within the meaning of the Investment Company Act of 1940. The Company is not subject to regulation under the Public Utility Holding Company Act of 1935, the Federal Power Act, the Interstate Commerce Act, any state public utilities code, or any other Federal or state statute or regulation limiting its ability to incur Indebtedness.
Investment Management Authority In the event the Manager wishes to render investment management services directly to a Series, then with respect to any such Series, the Manager, subject to the supervision of the Fund's Board of Directors, will provide a continuous investment program for the Series' portfolio and determine the composition of the assets of the Series' portfolio, including determination of the purchase, retention, or sale of the securities, cash, and other investments contained in the portfolio. The Manager will provide investment research and conduct a continuous program of evaluation, investment, sales, and reinvestment of the Series' assets by determining the securities and other investments that shall be purchased, entered into, sold, closed, offered to the public, or exchanged for the Series, when these transactions should be executed, and what portion of the assets of the Series should be held in the various securities and other investments in which it may invest, and the Manager is hereby authorized to execute and perform such services on behalf of the Series. To the extent permitted by the investment policies of the Series, the Manager shall make decisions for the Series as to foreign currency matters and make determinations as to, and execute and perform, foreign currency exchange contracts on behalf of the Series. The Manager will provide the services under this Agreement in accordance with the Series' investment objective or objectives, policies, and restrictions as stated in the Fund's Registration Statement filed with the Securities and Exchange Commission (the "SEC"), as amended. Furthermore:
