Common use of Investment Management and Related Activities Clause in Contracts

Investment Management and Related Activities. Except as set forth on Schedule 3.25 of the Company Disclosure Schedule, none of the Company, any of its Subsidiaries or the Company’s or its Subsidiaries’ directors, officers or employees is required to be registered, licensed or authorized under the laws or regulations issued by any Governmental Authority as an investment adviser, a broker or dealer, an insurance agency or company, a commodity trading adviser, a commodity pool operator, a futures commission merchant, an introducing broker, a registered representative or associated person, investment adviser, representative or solicitor, a counseling officer, an insurance agent, a sales person or in any similar capacity with a Governmental Authority.

Appears in 7 contracts

Samples: Agreement and Plan of Merger (First Commonwealth Financial Corp /Pa/), Agreement and Plan of Merger (DCB Financial Corp), Agreement and Plan of Merger (CNB Financial Corp/Pa)

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Investment Management and Related Activities. Except as set forth on Schedule 3.25 of the Company Disclosure ScheduleSchedule 3.26, none of the Company, any of its Subsidiaries or the Company’s or its Subsidiaries’ directors, officers or employees is required to be registered, licensed or authorized under the laws or regulations issued by any Governmental Authority as an investment adviser, a broker or dealer, an insurance agency or company, a commodity trading adviser, a commodity pool operator, a futures commission merchant, an introducing broker, a registered representative or associated person, investment adviser, representative or solicitor, a counseling officer, an insurance agent, a sales person or in any similar capacity with a Governmental Authority.

Appears in 6 contracts

Samples: Agreement and Plan of Merger (Peoples Federal Bancshares, Inc.), Agreement and Plan of Merger (Independent Bank Corp), Voting Agreement (Independent Bank Corp)

Investment Management and Related Activities. Except as set forth on Schedule 3.25 4.01(bb) of the Company Buyer Disclosure Schedule, none of the CompanyBuyer, any of its the Buyer Subsidiaries or the CompanyBuyer’s or its the Buyer Subsidiaries’ respective directors, officers or employees is required to be registered, licensed or authorized under the laws or regulations issued by any Governmental Authority as an investment adviser, a broker or dealer, an insurance agency or company, a commodity trading adviser, a commodity pool operator, a futures commission merchant, an introducing broker, a registered representative or associated person, investment adviser, representative or solicitor, a counseling officer, an insurance agent, a sales person or in any similar capacity with a Governmental Authority.

Appears in 5 contracts

Samples: Agreement and Plan of Merger (Farmers Capital Bank Corp), Agreement and Plan of Merger (Wesbanco Inc), Agreement and Plan of Merger (Wesbanco Inc)

Investment Management and Related Activities. Except as set forth on Schedule 3.25 4.01(cc) of the Company Buyer Disclosure Schedule, none of the CompanyBuyer, any of its the Buyer Subsidiaries or the CompanyBuyer’s or its the Buyer Subsidiaries’ respective directors, officers or employees is required to be registered, licensed or authorized under the laws or regulations issued by any Governmental Authority as an investment adviser, a broker or dealer, an insurance agency or company, a commodity trading adviser, a commodity pool operator, a futures commission merchant, an introducing broker, a registered representative or associated person, investment adviser, representative or solicitor, a counseling officer, an insurance agent, a sales person or in any similar capacity with a Governmental Authority.

Appears in 2 contracts

Samples: Agreement and Plan of Merger (Wesbanco Inc), Agreement and Plan of Merger (Old Line Bancshares Inc)

Investment Management and Related Activities. Except as set forth on Schedule 3.25 of the Company Disclosure ScheduleSchedule 3.23, none of the Company, any of its Subsidiaries or the Company’s or its Subsidiaries’ directors, officers or employees is required to be registered, licensed or authorized under the laws or regulations issued by any Governmental Authority as an investment adviser, a broker or dealer, an insurance agency or company, a commodity trading adviser, a commodity pool operator, a futures commission merchant, an introducing broker, a registered representative or associated person, investment adviser, representative or solicitor, a counseling officer, an insurance agent, a sales person or in any similar capacity with a Governmental Authority.

Appears in 2 contracts

Samples: Agreement and Plan of Merger (Independent Bank Corp), Settlement Agreement (Independent Bank Corp)

Investment Management and Related Activities. Except as set forth on Schedule 3.25 of the Company Disclosure Schedule, none of the Company, any of its Subsidiaries or the Company’s 's or its Subsidiaries' directors, officers or employees is required to be registered, licensed or authorized under the laws or regulations issued by any Governmental Authority as an investment adviser, a broker or dealer, an insurance agency or company, a commodity trading adviser, a commodity pool operator, a futures commission merchant, an introducing broker, a registered representative or associated person, investment adviser, representative or solicitor, a counseling officer, an insurance agent, a sales person or in any similar capacity with a Governmental Authority.

Appears in 2 contracts

Samples: Agreement and Plan of Merger (Brookline Bancorp Inc), Agreement and Plan of Merger (Bancorp Rhode Island Inc)

Investment Management and Related Activities. Except as set forth on disclosed in Schedule 3.25 of the Company Disclosure Schedule, none of the Company, any of its Subsidiaries or the Company’s or its Subsidiaries’ directors, officers or employees is required to be registered, licensed or authorized under the laws or regulations issued by any Governmental Authority as an investment adviser, a broker or dealer, an insurance agency or company, a commodity trading adviser, a commodity pool operator, a futures commission merchant, an introducing broker, a registered representative or associated person, investment adviser, representative or solicitor, a counseling officer, an insurance agent, a sales person or in any similar capacity with a Governmental Authority.

Appears in 1 contract

Samples: Agreement and Plan of Merger (Beverly National Corp)

Investment Management and Related Activities. Except as set forth on Schedule 3.25 of the Company Disclosure ScheduleSchedule 3.24, none of the Company, any Company Subsidiary or, to the extent relating to their activities with respect to Company or any of its Subsidiaries or the Company’s or its Subsidiaries, any of their respective directors, officers or employees is required to be registered, licensed or authorized under the laws or regulations issued by Laws of any Governmental Authority as an investment adviser, a broker or dealer, an insurance agency or company, a commodity trading adviser, a commodity pool operator, a futures commission merchant, an introducing broker, a registered representative or associated person, investment adviser, representative or solicitor, a counseling officer, an insurance agent, a sales person or in any similar capacity with a Governmental Authority.

Appears in 1 contract

Samples: Agreement and Plan of Merger (Seacoast Banking Corp of Florida)

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Investment Management and Related Activities. Except as set forth on Schedule 3.25 4.01(aa) of the Company Buyer Disclosure Schedule, none of the CompanyBuyer, any of its the Buyer Subsidiaries or the CompanyBuyer’s or its the Buyer Subsidiaries’ directors, officers or employees is required to be registered, licensed or authorized under the laws or regulations issued by any Governmental Authority as an investment adviser, a broker or dealer, an insurance agency or company, a commodity trading adviser, a commodity pool operator, a futures commission merchant, an introducing broker, a registered representative or associated person, investment adviser, representative or solicitor, a counseling officer, an insurance agent, a sales person or in any similar capacity with a Governmental Authority.

Appears in 1 contract

Samples: Agreement and Plan of Merger (Oak Hill Financial Inc)

Investment Management and Related Activities. Except as set forth on disclosed in Schedule 3.25 of the Company Disclosure Schedule, none of the Company, any of its Subsidiaries or the Company’s 's or its Subsidiaries' directors, officers or employees is required to be registered, licensed or authorized under the laws or regulations issued by any Governmental Authority as an investment adviser, a broker or dealer, an insurance agency or company, a commodity trading adviser, a commodity pool operator, a futures commission merchant, an introducing broker, a registered representative or associated person, investment adviser, representative or solicitor, a counseling officer, an insurance agent, a sales person or in any similar capacity with a Governmental Authority.

Appears in 1 contract

Samples: Agreement and Plan of Merger (Danvers Bancorp, Inc.)

Investment Management and Related Activities. Except as set forth on Schedule 3.25 of the Company Disclosure ScheduleSchedule 3.26, none of the Company, any of its Subsidiaries or the Company’s or its Subsidiaries’ directors, officers officers, or employees is required to be registered, licensed licensed, or authorized under the laws or regulations Laws issued by any Governmental Authority as an investment adviser, a broker or dealer, an insurance agency or company, a commodity trading adviser, a commodity pool operator, a futures commission merchant, an introducing broker, a registered representative or associated person, investment adviser, representative or solicitor, a counseling officer, an insurance agent, a sales person or in any similar capacity with a Governmental Authority.

Appears in 1 contract

Samples: Agreement and Plan of Merger (Independent Bank Corp)

Investment Management and Related Activities. Except as set forth on Schedule 3.25 of the Company Disclosure ScheduleSchedule 3.23, none of the Company, any of its Subsidiaries or the Company’s 's or its Subsidiaries' directors, officers or employees is required to be registered, licensed or authorized under the laws or regulations issued by any Governmental Authority as an investment adviser, a broker or dealer, an insurance agency or company, a commodity trading adviser, a commodity pool operator, a futures commission merchant, an introducing broker, a registered representative or associated person, investment adviser, representative or solicitor, a counseling officer, an insurance agent, a sales person or in any similar capacity with a Governmental Authority.

Appears in 1 contract

Samples: Agreement and Plan of Merger (Slades Ferry Bancorp)

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