Registration of Adviser. The Adviser covenants that it is or will be registered as an investment adviser under the Advisers Act on the effective date of this Agreement as set forth in Section 11 herein, and shall maintain such registration until the expiration or termination of this Agreement. The Adviser agrees that its activities shall at all times comply in all material respects with all applicable federal and state laws governing its operations and investments. The Adviser agrees to observe and comply with applicable provisions of the code of ethics adopted by the Company pursuant to Rule 17j-1 under the 1940 Act, as such code of ethics may be amended from time to time.
Appears in 6 contracts
Samples: Investment Advisory Agreement (Griffin-Benefit Street Partners BDC Corp.), Investment Advisory Agreement (Griffin-Benefit Street Partners BDC Corp.), Investment Advisory Agreement (Sierra Income Corp)
Registration of Adviser. The Adviser covenants that it is or will be registered as an investment adviser under the Advisers Act on the effective date of this Agreement as set forth in Section 11 herein, and shall maintain such registration until the expiration or termination of this Agreement. The Adviser agrees that its activities shall at all times comply in all material respects with all applicable federal and state laws governing its operations and investments. The Adviser agrees to observe and comply with applicable provisions of the code of ethics adopted by the Company pursuant to Rule 17j-1 under the 1940 Act, as such code of ethics may be amended from time to time. The following provisions in this Section 4 shall apply for only so long as shares of the Company’s common stock are not listed on a national securities exchange.
Appears in 5 contracts
Samples: Investment Advisory Agreement (CION Investment Corp), Investment Advisory and Administrative Services Agreement (Yorke Capital Corp), Services Agreement (Yorke Capital Corp)
Registration of Adviser. The Adviser covenants that it is or will be registered as an investment adviser under the Advisers Act on the effective date of this Agreement as set forth in Section 11 9 herein, and shall maintain such registration until the expiration or termination of this Agreement. The Adviser agrees that its activities shall at all times comply in all material respects with all applicable federal and state laws governing its operations and investments. The Adviser agrees to observe and comply with applicable provisions of the code of ethics adopted by the Company pursuant to Rule 17j-1 under the 1940 Act, as such code of ethics may be amended from time to time.
Appears in 5 contracts
Samples: Investment Advisory Agreement (CION Investment Corp), Agreement and Plan of Merger (Sierra Income Corp), And Restated Agreement and Plan of Merger (Medley Capital Corp)
