Registration as an Investment Adviser. The Adviser is duly registered with the Commission as an investment adviser under the Advisers Act and the Adviser is not prohibited by the Advisers Act or the Investment Company Act from acting under the Investment Management Agreement as an investment adviser to the Company, as contemplated by the Registration Statement, the Pricing Disclosure Package and the Prospectus. There does not exist any proceeding or, to the Adviser’s knowledge, any facts or circumstances, the existence of which would lead to any proceeding which would reasonably be expected to adversely affect the registration of the Adviser with the Commission.
Registration as an Investment Adviser. The Manager is duly registered with the Commission as an investment adviser under the Investment Advisers Act of 1940, as amended (the “Advisers Act”), and the Manager is not prohibited by the Advisers Act from acting under the Management Agreement as the manager of the Company, as contemplated by the Registration Statement, the General Disclosure Package and the Prospectus.
Registration as an Investment Adviser. Advisor and Sub-Advisor each hereby acknowledges that it is registered as an investment advisor under the Investment Advisers Act of 1940, that it will use its reasonable best efforts to maintain such registration, and that it will promptly notify the other if it ceases to be so registered, if its registration is suspended for any reason, or if it is notified by any regulatory organization or court of competent jurisdiction that it should show cause why its registration should not be suspended or terminated. Further, Sub-Advisor will notify the Advisor if there is any significant change or variation in its management structure or personnel that might, in its reasonable judgement, affect its responsibilities and obligations under this Agreement. Witness the due execution hereof this 11th day of December, 2000. Attest: Xxxxx & Xxxxxx, Inc. /s/Xxxxxx X. Xxxxxx By: /s/Xxxxxxx X. Xxxxx Xxxxxx X. Xxxxxx Xxxxxxx X. Xxxxx Attest: XxXxxxxx Capital Management, Inc. /s/Xxxxxx X. Xxxxxx By: /s/ Xxxxx Xxxxx Xxxxxx X. Xxxxxx Xxxxx Xxxxx Attest J&B Mid-Cap Aggressive Growth Fund /s/Xxxxxx X. Xxxxxx By: /s/Xxxxxxx X. Xxxxx Xxxxxx X. Xxxxxx Xxxxxxx X. Xxxxx Exhibit A Fees Fund: J&B Mid-Cap Aggressive Growth Fund Sub-Adviser: XxXxxxxx Capital Management, Inc. As compensation, XXXXX & BABSON, INC. will pay Sub-Advisor for its services the following annual fee computed daily as determined by the Fund's price make-up sheet and which shall be payable monthly or at such other intervals as agreed by the parties.
a. Fifty one-hundredths of one percent (50/100 of 1%) of the average total net assets of the Fund that do not exceed five million dollars ($5,000,000).
b. Forty-seven one-hundredths (47/100 of 1%) of the average total net assets of the Fund that exceed five million dollars ($5,000,000) and do not exceed twenty-five millions dollars ($25,000,000).
Registration as an Investment Adviser. Mesirow Asset Management and the Managers shall have caused the Partnership to become registered as an investment adviser under the Advisers Act and the rules and regulations promulgated thereunder in all jurisdictions in which Mesirow Asset Management is registered in connection with the Institutional Business on the date of this Agreement and in each other jurisdiction where it is desirable for the Partnership to be registered as an investment adviser in order to conduct after the Asset Transfers and Closing the Institutional Business presently conducted by Mesirow Asset Management.
Registration as an Investment Adviser. Advisor and Sub-Advisor each hereby acknowledges that it is registered as an investment advisor under the Investment Advisers Act of 1940, that it will use its reasonable best efforts to maintain such registration, and that it will promptly notify the other if it ceases to be so registered, if its registration is suspended for any reason, or if it is notified by any regulatory organization or court of competent jurisdiction that it should show cause why its registration should not be suspended or terminated. Witness the due execution hereof this _____ day of ________________, 1997. Attest: INVESTORS MARK ADVISORS, LLC __________________________ By:______________________________________ Attest: LORD, ABBETT & CO. __________________________ By:______________________________________ Attest INVESTORS MARK SERIES FUND, INC __________________________ By:______________________________________ EXHIBIT A FEES Advisor will pay Sub-Advisor, as compensation for the Sub-Advisor's investment management services provided for the Growth & Income Sub-Fund, the annual fee (denominated in "basis points" which are one-hundredths of one percent) specified below. This fee will be: computed daily as specified below; determined in accordance with the Fund's "price make-up" sheet; payable monthly or at such other interval as may be agreed to by the parties. The daily fee will be calculated as follows:
.01 (X/100) (----------) * ADB Y Where:
1. X is 45 for the first $40,000,000 of Growth & Income Sub-Fund average daily total net assets;
2. X is 40 for Growth & Income Sub-Fund average daily total net assets greater than $40,000,000;
Registration as an Investment Adviser. Target shall be registered as an investment adviser under the Advisers Act and the rules and regulations promulgated thereunder, and made appropriate notice filings under the laws of each jurisdiction in which Target does business which is determined by Purchaser and Target to be necessary and further shall address the matters set forth in a letter dated the date hereof among Parent, Target and Purchaser (the "Letter Agreement") in accordance with the terms of such letter.
Registration as an Investment Adviser. The LLC shall have become registered as an investment adviser under the Advisers Act and the rules and regulations promulgated thereunder, and made appropriate filings under the laws of each state where such filings may be necessary (in the reasonable opinion of the Company, which shall not include any states in which the Company is not registered on the date of this Agreement) to enable the LLC, after giving effect to the LLC Contribution Agreement and the Closing, to conduct the business presently conducted by the Company.
Registration as an Investment Adviser. The LLC shall (i) have filed the New ADV and the New ADV shall have become effective and the LLC shall be a registered investment adviser and (ii) have made appropriate filings under the laws of each state where such filings may be necessary or desirable (in the reasonable opinion of AMG, which shall not include any states in which the Company is not registered on the date of this Agreement) to enable the LLC, after giving effect to the Closing and the Asset Transfer, to conduct the business presently conducted by the Company
Registration as an Investment Adviser. Each of the LLCs shall be a registered investment adviser under the Advisers Act.
Registration as an Investment Adviser. The Company shall be registered as an investment adviser under the Advisers Act and the rules and regulations promulgated thereunder. Each employee of the Company required to be registered as an investment adviser representative (as such term is defined in Rule 203A-3(a) under the Advisers Act) shall be so registered.
