Advisers Act definition
Examples of Advisers Act in a sentence
In all matters relating to the performance of this Agreement, the Subadviser shall act in conformity with the applicable Company’s Articles of Incorporation, By-Laws, and currently effective Registration Statement (as defined below) and with the written instructions and directions of the applicable Board and the Adviser, and shall comply with the requirements of the 1940 Act, the Advisers Act, the rules thereunder, and any other applicable U.S., state or foreign laws and regulations.
The Sub-adviser has adopted a written code of ethics complying with the requirements of Rule 17j-1 under the 1940 Act and a compliance program complying with the requirements of Rule 206(4)-7 under the Advisers Act, and if it has not already done so, will provide the Adviser and each Fund with a copy of such code of ethics and its compliance policies and procedures, together with evidence of its adoption.
The Adviser represents that it is (i) registered with the SEC as an investment adviser under the Advisers Act; and (ii) an institutional investor as defined in section 4A of the Singapore’s Securities and Futures Act (Chapter 289).
The Adviser represents that it is (i) registered with the SEC as an investment adviser under the Advisers Act; and (ii) as an “Institutional Professional Investor” as defined under the Code of Conduct for Persons Licensed by or Registered with the SFC (being a person falling under Paragraphs (a) to (i) of the definition of “professional investor” in Section 1 of Part 1 of Schedule 1 to the Securities and Futures Ordinance).
The Adviser represents that it is (i) registered with the SEC as an investment adviser under the Advisers Act; and (ii) a professional investor (tokutei-toushika) within the meaning given in the Financial Instruments and Exchange Act (Law No 25 of 1948, as amended).