Investment Adviser Registration Sample Clauses

Investment Adviser Registration. GP shall have either registered effectively as an investment adviser under the Advisers Act or merged into BC, with BC being the surviving entity in such merger.
Sample 1Sample 2
AutoNDA by SimpleDocs
Investment Adviser Registration. Each of Stifel Nicolaus and CSA is registered as an investment adviser wixx xxx Xxxxxxxxon, is registered or exempt from registration as an investment adviser in all fifty states, the District of Columbia and Puerto Rico, and is in compliance in all material respects with all applicable laws, rules, regulations, orders and similar requirements in connection therewith except where the failure to be so registered or in such compliance would not have a Material Adverse Effect.
Sample 1Sample 2
Investment Adviser Registration. (a) Seller is duly registered as an investment adviser under the Investment Advisers Act of 1940, as amended (the “Investment Advisers Act”). Seller has delivered to Purchaser a true, correct and complete copy of Seller’s currently effective Form ADV. The information contained in such Form ADV was true and complete in all material respects as of the time of filing and, except as indicated on any subsequent form or report filed with the Securities and Exchange Commission, continues to be true and complete in all material respects. (b) Seller has adopted and implemented written policies and procedures required by Rule 206(4)-7 of the Investment Advisers Act. (c) Neither Seller nor, to Seller’s Knowledge, any “affiliated person” as defined in the Investment Company Act of 1940, as amended, and the rules and regulations promulgated thereunder (collectively, the “Investment Company Act”) of Seller is (taking into account any applicable exemption) 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 in the Investment Company Act) to any registered investment company under the Investment Company Act, and there is no proceeding pending or, to Seller’s Knowledge, threatened by any Governmental Authority, which would result in the ineligibility of Seller or any “affiliated persons” of Seller to serve in any such capacities. Neither Seller nor, to Seller’s Knowledge, any “affiliated person” (as defined in the Investment Advisers Act) of Seller is ineligible pursuant to Section 203 of the Investment Advisers Act to serve as a registered investment adviser or “associated person” (as defined in the Investment Advisers Act) of a registered investment adviser, and there is no proceeding pending or, to Seller’s Knowledge, threatened by any Governmental Authority, which would result in the ineligibility of such Seller or any “affiliated person” (as defined in the Investment Advisers Act) to serve in any such capacities. (d) Seller has not performed any services that would require Seller to be regulated by or registered under the broker-dealer rules or regulations of any Governmental Authority.
Sample 1
Investment Adviser Registration. MIGRA and MIG Ltd. each are duly registered as an investment adviser under the 40 Act and under all applicable state, federal and foreign investment adviser or related laws. MIGRA and MIG Ltd. have delivered to AERC a true and complete copy of both MIGRA's and MIG Ltd.'s currently effective Form ADV, as filed with the SEC and has made available to AERC all state, federal and foreign registration forms, all prior Form ADV filings and all reports filed by both MIGRA and MIG Ltd. with the SEC under the 40 Act and the rules promulgated thereunder or otherwise and under similar state, federal and foreign statutes within the last five years, and will provide to AERC such forms and reports as are filed from and after the date hereof and prior to the Closing Date. The information contained in such forms and reports was or will be true and complete as of the time of filing and, except as indicated on a subsequent form or report filed before the Closing Date, continues to be true and complete. Each such registration is in full force and effect, and MIGRA and MIG Ltd. agree to maintain such registration between the date of this Agreement and the consummation of the Merger.
Sample 1
Investment Adviser Registration. 3.23.1. Each RIA is duly registered as an investment adviser under the Investment Advisers Act of 1940, as amended (the “Investment Advisers Act”). The Company has delivered to the Buyer a true, correct and complete copy of each RIA’s currently effective Form ADV. The information contained in such Form ADVs was true and complete in all material respects as of the time of filing and, except as indicated on any subsequent form or report filed with the Securities and Exchange Commission, continues to be true and complete in all material respects. 3.23.2. Each RIA has adopted and implemented, in all material respects, written policies and procedures required by Rule 206(4)-7 of the Investment Advisers Act. 3.23.3. Neither the RIAs nor, to Company’s Knowledge, any “affiliated person” (as defined in the Investment Advisers Act) of the RIAs is ineligible pursuant to Section 203 of the Investment Advisers Act to serve as a registered investment adviser or “associated person” (as defined in the Investment Advisers Act) of a registered investment adviser, and there is no proceeding pending or, to the Company’s Knowledge, threatened by any Governmental Authority, which would result in the ineligibility of such RIA or any “affiliated person” (as defined in the Investment Advisers Act) to serve in any such capacities. 3.23.4. No RIA has performed any services that would require such RIA to be regulated by or registered under the broker-dealer rules or regulations of any Governmental Authority. 3.23.5. [REDACTED]. 3.23.6. [REDACTED]. 3.23.7. Each RIA has duly maintained in all material respects true, accurate and complete books and records as required under Rule 204-1 promulgated under the Investment Advisers Act. The Company has made available to Buyer a true and complete copy of each annual compliance review report of each RIA for fiscal years 2017, 2016 and 2015.
Sample 1
Investment Adviser Registration. Buyer is duly registered as an investment adviser under the Advisers Act and under all Applicable Laws relating to the Buyer. Buyer has delivered to the Company a true and complete copy of Buyer's currently effective Form ADV, as filed with the SEC, and has made available to the Company all state, Federal and foreign registration forms, all prior Form ADV filings and all reports filed by Buyer with the SEC under the Advisers Act and the rules promulgated thereunder or otherwise and under similar state, Federal and foreign statutes within the last three years, and will provide to the Company such forms and reports as are filed from and after the date hereof and prior to the Closing Date. The information contained in such forms and reports was or will be true and complete as of the time of filing and, except as indicated on a subsequent form or report filed before the Closing Date, continue to be true and complete. Each such registration is in full force and effect.
Sample 1
Investment Adviser Registration. Each of CFC, CII and CAAM has been at all times since February 27, 1987, January 21, 1998 and June 25, 1998, respectively, and is currently, duly registered as an investment adviser under the Advisers Act. Each of CFC, CII and CAAM is duly registered, licensed and qualified as an investment adviser, or has provided notice of operation as an investment adviser, in all jurisdictions where such registration, licensing, qualification or notice is required in order to conduct their business. Each of CFC, CII and CAAM has delivered to Purchaser a true and complete copy of each of their respective currently effective Form ADV, including Part I as filed with the SEC, and has provided to Purchaser all currently effective state, federal and foreign registration forms. Each of CFC, CII and CAAM has also provided to Purchaser all prior Form ADV filings made within the past five years and all reports filed by each of CFC, CII and CAAM with the SEC under the Advisers Act and the Exchange Act and the rules promulgated thereunder or otherwise and under similar state, federal and foreign statutes currently applicable to each of CFC, CII and CAAM, including Forms 13D, 13F and 13G. Each of CFC, CII and CAAM has also provided to Purchaser all correspondence between each of CFC, CII and CAAM and the SEC and any state or foreign regulator within the last five years, and will provide to Purchaser such forms and reports as are filed from and after the date hereof and prior to the Closing Date. The information contained in such forms and reports was or will be true and complete in all material respects as of the time of filing and, except as indicated on a subsequent form or report filed before the Closing Date, continues to be true and complete in all material respects and were filed within the time frames required. Each of CFC, CII and CAAM is in compliance with all foreign, federal and state laws requiring registration, licensing, qualification or notice of operation as, an investment adviser and has currently effective notice filings in each of the jurisdictions listed in Schedule 9.27. Each such registration is in full force and effect except to the extent CFC, CII or CAAM, as applicable, is no longer subject to registration in any state.
Sample 1
AutoNDA by SimpleDocs
Investment Adviser Registration. The Company shall continue to be registered as an Investment Adviser under the Investment Advisers Act.
Sample 1
Investment Adviser Registration. Adviser has filed an application to be registered as an investment adviser in the State of New York and will maintain this registration, once approved, for so long as the Adviser continues to provide investment advisory services under the terms of this Agreement until an exemption becomes available or the Adviser becomes registered with the Securities and Exchange Commission (“SEC”) in accordance with the requirements of the Advisers Act.
Sample 1

Related to Investment Adviser Registration

  • USER REGISTRATION You may be required to register with the Site. You agree to keep your password confidential and will be responsible for all use of your account and password. We reserve the right to remove, reclaim, or change a username you select if we determine, in our sole discretion, that such username is inappropriate, obscene, or otherwise objectionable.

  • Registered Investment Adviser The Sub-Adviser (i) is duly registered as an investment adviser under the Advisers Act and will continue to be so registered for so long as this Agreement remains in effect; (ii) is not prohibited by the 1940 Act or the Advisers Act from performing the services contemplated by this Agreement; (iii) has appointed a Chief Compliance Officer under Rule 206(4)-7 under the Advisers Act; (iv) has adopted written policies and procedures that are reasonably designed to prevent violations of the Advisers Act from occurring, and correct promptly any violations that have occurred, and will provide notice promptly to the Adviser of any material violations relating to the Fund; (v) has materially met and will seek to continue to meet for so long as this Agreement remains in effect, any other applicable federal or state requirements, or the applicable requirements of any regulatory or industry self-regulatory agency; and (vi) will promptly notify the Adviser of the occurrence of any event that would disqualify the Sub-Adviser from serving as an investment adviser of a registered investment company pursuant to Section 9(a) of the 1940 Act.

  • Voter Registration When designated by the Secretary of State, the Contractor agrees to become a voter registration agency as defined by 17 V.S.A. §2103 (41), and to comply with the requirements of state and federal law pertaining to such agencies.

  • Sub-Investment Advisers The Adviser may employ one or more sub-investment advisers from time to time to perform such of the acts and services of the Adviser, including the selection of brokers or dealers to execute the Trust's portfolio security transactions, and upon such terms and conditions as may be agreed upon between the Adviser and such sub-investment adviser and approved by the Trustees of the Trust, all as permitted by the Investment Company Act of 1940.

  • Investment Adviser and Investment Sub-Adviser The Trustees may in their discretion, from time to time, enter into an investment advisory or management contract or contracts with respect to the Trust or any Series whereby the other party or parties to such contract or contracts shall undertake to furnish the Trust with such management, investment advisory, statistical and research facilities and services and such other facilities and services, if any, and all upon such terms and conditions, as the Trustees may in their discretion determine. Notwithstanding any other provision of this Trust Instrument, the Trustees may authorize any investment adviser (subject to such general or specific instructions as the Trustees may from time to time adopt) to effect purchases, sales or exchanges of portfolio securities, other investment instruments of the Trust, or other Trust Property on behalf of the Trustees, or may authorize any officer, employee, agent, or Trustee to effect such purchases, sales or exchanges pursuant to recommendations of the investment adviser (and all without further action by the Trustees). Any such purchases, sales and exchanges shall be deemed to have been authorized by the Trustees. The Trustees may authorize, subject to applicable requirements of the 1940 Act, the investment adviser to employ, from time to time, one or more sub-advisers to perform such of the acts and services of the investment adviser, and upon such terms and conditions, as may be agreed upon between the investment adviser and sub-adviser. Any reference in this Trust Instrument to the investment adviser shall be deemed to include such sub-advisers, unless the context otherwise requires.

  • Investment Adviser The Buyer is an investment adviser registered under the Investment Advisers Act of 1940.

  • Registration as Investment Company JHVIT is registered under the 1940 Act as an open-end management investment company; such registration has not been revoked or rescinded and is in full force and effect.

  • Investment Advisers Act The Manager is not prohibited by the Investment Advisers Act of 1940, as amended, or the rules and regulations thereunder, from performing its obligations under the Management Agreement as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus.

  • Investment Adviser Status The Investment Adviser is duly registered and in good standing with the Commission as an investment adviser under the Advisers Act, and is not prohibited by the Advisers Act, the 1940 Act, the Rules and Regulations or the Advisers Act Rules and Regulations, from acting under the Investment Management Agreement as contemplated by the Registration Statement, each preliminary prospectus and the Prospectus.

  • BROKER-DEALER REGISTRATION; FINRA MEMBERSHIP The Dealer Manager is, and during the term of this Agreement will be, (i) duly registered as a broker-dealer pursuant to the provisions of the Exchange Act, (ii) a member in good standing of FINRA, and (iii) a broker or dealer duly registered as such in those states where the Dealer Manager is required to be registered in order to carry out the Offering as contemplated by this Agreement. Each of the Dealer Manager’s employees and representatives has all required licenses and registrations to act under this Agreement. There is no provision in the Dealer Manager’s FINRA membership agreement that would restrict the ability of the Dealer Manager to carry out the Offering as contemplated by this Agreement.

Draft better contracts in just 5 minutes Get the weekly Law Insider newsletter packed with expert videos, webinars, ebooks, and more!