Investment Management Activities. Except as set forth in Section 4.26 of the Seller Disclosure Schedule, none of the Seller or any of its subsidiaries is required to be registered as an investment adviser, a broker, dealer, a commodity trading adviser, a commodity pool operator, a futures commission merchant, an introducing broker, a registered representative or associated person, a counseling officer, an insurance agent, a sales person or in any similar capacity with the SEC, The Commodity Futures Trading Commission, the National Futures Association, the securities commission of any state or any self-regulatory body. The Seller and each of its subsidiaries has performed and administered in all material respects all of its investment management or investment advisory accounts in accordance with the terms and conditions of the governing documents for such account and with applicable law. The accountings for each such investment management and investment advisory account are true and correct in all material respects and accurately reflect the assets of such fiduciary accounts.
Investment Management Activities. Neither the Seller nor the Seller Bank is required to be registered as an investment adviser, a broker, dealer, a commodity trading adviser, a commodity pool operator, a futures commission merchant, an introducing broker, a registered representative or associated person, a counseling officer, an insurance agent, a sales person or in any similar capacity with the SEC, The Commodity Futures Trading Commission, the National Futures Association, the securities commission of any state or any self-regulatory body.
Investment Management Activities. (a) Registered Fund Client. The only investment company required to be registered under the Investment Company Act for which the Seller or any of the Companies acts as investment adviser that is sponsored by Seller or the Companies is the Xxxxxxx X. Xxxxxxxxx Fund, Inc. (the "REGISTERED FUND").
Investment Management Activities. 23 4.27 Recent Acquisitions.............................................24 4.28 Seller Rights Agreement.........................................24 4.29 State Takeover Laws.............................................24 4.30 Proxy Statement; Seller Information.............................24 4.31 Deposit/Loan Agreements.........................................24 4.32 Disclosure......................................................24
Investment Management Activities. 26 3.31 Disclosure......................................................26
Investment Management Activities. 50 SECTION 3.24. Funds..........................................................52 SECTION 3.25. Non-Registered Funds...........................................54 SECTION 3.26. Non-Fund Clients...............................................54 SECTION 3.27.
Investment Management Activities. Baird and its Financial Advisors may, from time to time refer clients to Baird Advisors or Baird Equity Asset Management, investment management departments of Baird, or Chautauqua Capital Management (“CCM”), a division of Baird Equity Asset Management. Baird Financial Advisors are eligible for referral compensation to be paid by Baird that is based upon, among other factors, the compensation received by Baird. Baird and Baird Financial Advisors may have a financial incentive to recommend to clients the services of those Baird investment management departments over the services provided by other investment managers. More information about referral fees is available on Baird’s website at bairdwealth.com/retailinvestor.
Investment Management Activities. None of the Seller or any of its subsidiaries is required to be registered as an investment adviser, a broker, dealer, a commodity trading adviser, a commodity pool operator, a futures commission merchant, an introducing broker, a registered representative or associated person, a counseling officer, an insurance agent, a sales person or in any similar capacity with the SEC, The Commodity Futures Trading Commission, the National Futures Association, the securities commission of any state or any self-regulatory body.
Investment Management Activities. Schedule 3.26 contains a list of all of the investment companies registered under the Investment Company Act for which AFIMS acts as investment adviser and, in the case of investment companies organized as series companies, each series (the “Registered Funds”), showing the net assets of each such Registered Fund as of December 31, 2004. There are no pooled investment vehicles for which the Company or AFIMS acts as investment adviser and which are not required to be registered under the Investment Company Act. There are no other material investment advisory clients for which the Company or AFIMS acts as investment adviser not listed on Schedule 3.26.
Investment Management Activities. The Company is not an investment adviser under the Investment Advisors Act, is not an investment company under and is not required to be registered under the Investment Company Act, and does not provide investment advice, investment management or other services to any Person registered or required to be registered under the Investment Company Act.
