PRIVATE INVESTMENTS; INVESTMENT FILES AND POSSESSED SECURITIES Sample Clauses

PRIVATE INVESTMENTS; INVESTMENT FILES AND POSSESSED SECURITIES. 12 8.1 Acceptance and Safekeeping of Investment Files 12 8.2 Acceptance and Safekeeping of Possessed Securities 13 8.3 Responsibility for Private Investments 14 9. CREDITS AND ADVANCES 15 9.1 Contractual Settlement and Income 15 9.2 Advances 15 9.3 Payment 15 9.4 Securing Payment 16 9.5 Setoff 16 9.6 Currency Conversion 17 10. STATEMENTS; BOOKS AND RECORDS; THIRD PARTY DATA 17 10.1 Statements 17 10.2 Books and Records 17 10.3 Third Party Data 17 11. DISCLOSURES 18 11.1 Required Disclosure 18 11.2 Foreign Exchange Transactions 19 11.3 Investment of Cash 19 12. REGULATORY MATTERS 19 12.1 USA PATRIOT Act 19 12.2 Sanctions; Anti-Money Laundering 19 13. COMPENSATION 20 13.1 Fees and Expenses 20 13.2 Other Compensation 21 14. REPRESENTATIONS, WARRANTIES AND COVENANTS 21 14.1 BNY Mellon 21 14.2 Customer 21 15. LIABILITY 22 15.1 Standard of Care 22 15.2 Limitation of Liability 22 15.3 Force Majeure 24 15.4 Indemnification 24 16. CONFIDENTIALITY AND DATA SECURITY 25 16.1 Confidentiality Obligations 25 16.2 Exceptions 25 16.3 Data Security 25 17. TERM AND TERMINATION 26 17.1 Term 26 17.2 Termination 26 17.3 Effect of Termination 26 17.4 Survival 26 18. GENERAL 26 18.1 Non-Custody Assets 26 18.2 Assignment 27 18.3 Amendment 27 18.4 Governing Law/Forum 27 18.5 Business Continuity/Disaster Recovery 28 18.6 Non-Fiduciary Status 28 18.7 Notices 28 18.8 Entire Agreement 28 18.9 No Third Party Beneficiaries 28 18.10 Counterparts 28 18.11 Interpretation 28 18.12 No Waiver 29 18.13 Headings 29 18.14 Severability 29 CUSTODY AGREEMENT This Custody Agreement (the “Agreement”) is made and entered into as of the latest date set forth on the signature page hereto (the “Effective Date”) by and between THE BANK OF NEW YORK MELLON, a New York state chartered bank (“BNY Mellon”), and KKR ASSET-BASED INCOME FUND, a Delaware statutory trust (“Customer”). BNY Mellon and Customer are collectively referred to as the “Parties” and individually as a “Party”.
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PRIVATE INVESTMENTS; INVESTMENT FILES AND POSSESSED SECURITIES. 8.1 Acceptance and Safekeeping of Investment Files
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PRIVATE INVESTMENTS; INVESTMENT FILES AND POSSESSED SECURITIES. 12 8.1 Acceptance and Safekeeping of Investment Files 12 8.2 Acceptance and Safekeeping of Possessed Securities 13 8.3 Responsibility for Private Investments 14
Sample 1

Related to PRIVATE INVESTMENTS; INVESTMENT FILES AND POSSESSED SECURITIES

  • INFORMATION ABOUT DEPOSIT SECURITIES On each day that the Trust is open for business, through the facilities of the NSCC, the names and amounts of Deposit Securities to be included in the current Fund Deposit for each Fund will be published.

  • PIPE Investment (a) Unless otherwise approved in writing by the Company, no Acquiror Party shall permit any amendment or modification to be made to, any waiver (in whole or in part) or provide consent to (including consent to termination), of any provision under any of the Subscription Agreements in a manner adverse to the Company and/or its Subsidiaries. Acquiror shall use commercially reasonable efforts to take, or cause to be taken, all actions and do, or cause to be done, all things necessary, proper or advisable to consummate the transactions contemplated by the Subscription Agreements on the terms and conditions described therein, including maintaining in effect the Subscription Agreements and to: (i) satisfy in all respects on a timely basis all conditions and covenants applicable to Acquiror in the Subscription Agreements and otherwise comply with its obligations thereunder, (ii) in the event that all conditions in the Subscription Agreements (other than those conditions that by their nature are to be satisfied at the Closing) have been satisfied, consummate transactions contemplated by the Subscription Agreements in accordance with the terms thereof; (iii) confer with the Company regarding timing of the Expected Closing Date (as defined in the Subscription Agreements); and (iv) deliver notices to counterparties to the Subscription Agreements sufficiently in advance of the Closing to cause them to fund their obligations immediately prior to the First Merger. Without limiting the generality of the foregoing, Acquiror shall give the Company, prompt written notice: (A) of any amendment to any Subscription Agreement; (B) of any material breach or default (or any event or circumstance that, with or without notice, lapse of time or both, could give rise to any material breach or default) by any party to any Subscription Agreement known to any Acquiror Party; (C) of the receipt of any material notice or other communication from any party to any Subscription Agreement with respect to any actual, potential, threatened or claimed expiration, lapse, withdrawal, breach, default, termination or repudiation by any party to any Subscription Agreement or any provisions of any Subscription Agreement in any material respects; and (D) if Acquiror does not expect to receive all or any portion of the PIPE Investment Amount on the terms, in the manner or from the PIPE Investors as contemplated by the Subscription Agreements.

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