Investment Adviser Status. The Manager is duly registered and in good standing with the Commission as an investment adviser under the Investment Advisers Act of 1940, as amended (the “Advisers Act”), and is not prohibited by the Advisers Act, or the rules and regulations thereunder, from performing its obligations under the Management Agreement as described in the Management Agreement, the Registration Statement, Time of Sale Information and the Prospectus.
Appears in 4 contracts
Samples: Underwriting Agreement (Western Asset Mortgage Capital Corp), Underwriting Agreement (Western Asset Mortgage Capital Corp), Underwriting Agreement (Western Asset Mortgage Capital Corp)
Investment Adviser Status. The Manager is duly registered and in good standing with the Commission as an investment adviser under the Investment Advisers Act of 1940, as amended (the “Advisers Act”), and is not prohibited by the Advisers Act, or the rules and regulations thereunder, from performing its obligations under the Management Agreement as described in the Management Agreement, the Registration Statement, Time of Sale Information General Disclosure Package and the Prospectus.
Appears in 3 contracts
Samples: Underwriting Agreement (Western Asset Mortgage Capital Corp), Equity Distribution Agreement (Western Asset Mortgage Capital Corp), Underwriting Agreement (Western Asset Mortgage Capital Corp)
Investment Adviser Status. The Manager is duly registered and in good standing with the Commission as an investment adviser under the Investment Advisers Act of 1940, as amended (the “Advisers Act”), and is not prohibited by the Advisers Act or the 1940 Act, or the rules and regulations thereunderunder such acts, from performing its obligations acting under the Management Agreement for the Fund as described in the Management Agreement, the Registration Statement, Time of Sale Information and contemplated by the Prospectus.
Appears in 2 contracts
Samples: Purchase Agreement (Chartwell Dividend & Income Fund Inc), Purchase Agreement (Chartwell Dividend & Income Fund Inc)
Investment Adviser Status. The Investment Manager is duly registered and in good standing with the Commission SEC as an investment adviser under the Investment Advisers Act of 1940, as amended (the “Advisers Act”), and is not prohibited by the Advisers Act or the 1940 Act, or the rules and regulations thereunderunder such acts, from performing its obligations acting under the Management Agreement investment management agreement for the Trust as described in contemplated by the Management Agreement, the Registration Statement, Time of Sale Information and the Prospectusprospectus.
Appears in 1 contract
Samples: Wholesale Distribution Agreement (Ing Clarion Real Estate Income Fund)
Investment Adviser Status. The Manager is duly registered and in good standing with the Commission as an investment adviser under the Investment Advisers Act of 1940, as amended (the “"Advisers Act”"), and is not prohibited by the Advisers Act, or the rules and regulations thereunder, from performing its obligations under the Management Agreement as described in the Management Agreement, the Registration Statement, Time of Sale Information General Disclosure Package and the Prospectus.
Appears in 1 contract
Samples: Underwriting Agreement (Western Asset Mortgage Capital Corp)
Investment Adviser Status. The Investment Manager is duly registered and in good standing with the Commission as an investment adviser under the Investment Advisers Act of 1940, as amended (the “Advisers Act”), and is not prohibited by the Advisers Act or the 1940 Act, or the rules and regulations thereunderunder such acts, from performing its obligations acting under the Investment Management Agreement as described in the Management Agreement, contemplated by the Registration Statement, Time of Sale Information the Statutory Prospectus and the Prospectus.
Appears in 1 contract
