Adviser Subsidiary definition

Adviser Subsidiary has the meaning set forth in Section 5.3(f). “Advisory Client” has the meaning set forth in Section 5.3(f).
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Adviser Subsidiary means Ategenos Capital, LLC, Envestnet Asset Management, Inc. (formerly known as Envestnet PMC, Inc.), Envestnet Portfolio Solutions, Inc., Envestnet Retirement Solutions, LLC, Envestnet Embedded Advisory, Inc., FDX Advisors, Inc., and QRG Capital Management, Inc.
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Adviser Subsidiary means Pagaya Investments US LLC, a Delaware limited liability company.
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Examples of Adviser Subsidiary in a sentence

  • For purposes of our opinion expressed as to the registration of each Adviser Subsidiary under the Investment Advisers Act of 1940, as amended (the “Advisers Act”), we have relied exclusively on a review of the Commission’s Investment Adviser Public Disclosure website.

  • Part 2.21(b)(xv) of the Seller Disclosure Letter sets forth all policies of insurance in effect with each Registered Investment Company and with each Investment Adviser Subsidiary relating to the Asset Management Business, and true and correct copies of such policies of insurance have previously been delivered to Parent.

  • The Investment Adviser Subsidiary has adopted a written code of ethics pursuant to and in accordance with Rule 204A-1 under the Investment Advisers Act.

  • Each Investment Adviser Subsidiary and each Registered Investment Company is and has at all times since January 1, 2003 been in compliance in all material respects with all such procedures.

  • To the Knowledge of the Company, there have been no violations since the Look-Back Date of any code of ethics, xxxxxxx xxxxxxx policy and personal trading policy of any Investment Adviser Subsidiary, except as would not be material and adverse to the Investment Adviser Subsidiaries and the Company, taken as a whole.

  • The Catechism links its articles of faith to worship, prayer and action, that is, to those moments of life that need nourishing and directing by the Word of God.These six points enable a catechist to use the Catechism in such a way that the faith can be transmitted comprehensively and organically.

  • No access person (as such term is defined in Rule 17j-1 under the Investment Company Act) of any Registered Investment Company or employee of any Investment Adviser Subsidiary or Broker/Dealer Subsidiary has engaged in any improper "market timing" or improper "late trading" activities with respect to any Registered Investment Company or Separate Account.

  • Maple Secretaries Limited is a company affiliated with LK Shields, which provides various company secretarial and corporate governance services to our clients and will be an independent controller of your personal data.

  • No access person (as such term is defined in Rule 17j-1 under the Investment Company Act) of any Registered Investment Company or employee of any Investment Adviser Subsidiary or Broker/Dealer Subsidiary has engaged in any improper “market timing” or improper “late trading” activities with respect to any Registered Investment Company or Separate Account.

  • Each such Fund has been managed by the Company or an Investment Adviser Subsidiary such that the Company has used reasonable best efforts to be in compliance in all material respects with the applicable requirements of ERISA and Section 4975 of the Code.


More Definitions of Adviser Subsidiary

Adviser Subsidiary means Precept Advisory Group, LLC, a California limited liability company.
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Adviser Subsidiary means each Hatteras Group member that is required to be registered as an “investment adviser” under the Investment Advisers Act.
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Related to Adviser Subsidiary

  • Current Subsidiary means any Person in which the Company on the Subscription Date, directly or indirectly, (i) owns any of the outstanding capital stock or holds any equity or similar interest of such Person or (ii) controls or operates all or any part of the business, operations or administration of such Person, and all of the foregoing, collectively, “Current Subsidiaries”.

  • Subsidiary means any subsidiary of the Company and shall, where applicable, also include any direct or indirect subsidiary of the Company formed or acquired after the date hereof.

  • Issuer Subsidiary means any subsidiary of the Issuer.

  • Subsidiaries means any corporation or other organization, whether incorporated or unincorporated, in which the Company owns, directly or indirectly, any equity or other ownership interest.

  • Borrower Affiliate shall have the meaning set forth in the Lead Securitization Servicing Agreement; provided that in the event that any Non-Lead Note is securitized in a Securitization, the term “Borrower Affiliate” as used in the definitions of “Non-Lead Note Holder” and “Non-Lead Note Holder Representative” shall refer to a “Borrower Affiliate” as defined in the related Non-Lead Securitization Servicing Agreement or such other analogous term used in the related Non-Lead Securitization Servicing Agreement.