Company Investment Adviser definition

Company Investment Adviser means Seahawk Financial Strategies, LLC.
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Company Investment Adviser means Alcentra NY, LLC.
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Company Investment Adviser means SIC Advisors LLC.
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Examples of Company Investment Adviser in a sentence

  • Goldman Sachs may also act in a capacity other than Management Company, Investment Adviser, Sub-Adviser, Valuer or Distributor to the Fund or a Portfolio including as broker, dealer, agent, lender or adviser or in other commercial capacities for the Fund or a Portfolio, which may give rise to additional potential conflicts of interest that could disadvantage the Fund and the Shareholders.

  • The Board of Directors has overall responsibility for the management of the Fund including making general policy decisions and reviewing the actions of the Management Company, Investment Adviser, Depositary, Administrator, Sub-distributors, Paying Agent, Domiciliary Agent and Listing Agent, and the Registrar and Transfer Agent and any other service providers appointed by the Fund or the Management Company from time to time.

  • The terms "Account", "Account Property", "Commission", "Contract", "Contractowner", "Distributor", "Insurance Company", "Investment Adviser", "Majority Contractowner Vote", "Managers", "1940 Act", "Rules and Regulations", and "Units" have the respective meanings given them in the Amended and Restated Rules and Regulations of each of the above-referenced Compass Variable Accounts, each dated May 31, 2001, as amended from time to time.

  • Transactions of the Fund may be executed by the Management Company, Investment Adviser, or their Connected Persons.

  • There is no investigation or audit pending or threatened in writing by any Governmental Authority, or any legal or regulatory proceeding, in each case, alleging that the Company Investment Adviser has failed to comply with applicable Law in any material respect.

  • Except for the First Foundation Total Return Fund and First Foundation Fixed Income Fund, each a series of The Advisors’ Inner Circle Fund III, the Company Investment Adviser does not provide Investment Advisory Services to any Person that is registered as an investment company under the Investment Company.

  • The Company Investment Adviser has designated and approved an appropriate chief compliance officer in accordance with Rule 206(4)-7 under the Investment Advisers Act.

  • There is no material deficiency, violation or exception claimed or asserted in writing by any Governmental Authority with respect to any examination of the Company Investment Adviser that has not been resolved, except for a deficiency, violation or exception that would not, individually or in the aggregate, reasonably be expected to be material to the Company and its Subsidiaries, taken as a whole.

  • To the extent required by the Investment Advisers Act, the Company Investment Adviser has implemented one or more formal codes of ethics, ixxxxxx xxxxxxx policies, personal trading policies and other material policies.

  • Neither the Company nor the Company Investment Adviser is in default under the Company Investment Advisory Agreement, except where such default would not have a Company Material Adverse Effect.

Related to Company Investment Adviser

  • Investment Adviser or "Adviser" means a party furnishing services to the Trust pursuant to any contract described in Article IV, Section 7(a) hereof;

  • Investment Advisor means, in relation to a Portfolio, the investment manager or investment advisor of the Portfolio.

  • Investment adviser representative means an individual employed by or associated with an investment adviser or federal covered investment adviser and who makes any recommendations or otherwise gives investment advice regarding securities, manages accounts or portfolios of clients, determines which recommendation or advice regarding securities should be given, provides investment advice or holds herself or himself out as providing investment advice, receives compensation to solicit, offer, or negotiate for the sale of or for selling investment advice, or supervises employees who perform any of the foregoing. The term does not include an individual who:

  • Investment Advisory Services means (a) advice with respect to the desirability of investing in, purchasing or selling securities or other property, including the power to determine what securities or other property shall be purchased or sold, but not including furnishing only statistical and other factual information (such as economic factors and trends); and (b) the provision of financial, economic or investment management services, but only if ancillary and related to the advice referred to in clause (a) above.

  • Investment Advisers Act means the Investment Advisers Act of 1940, as amended.

  • Investment Advisory Agreement means the investment advisory agreement entered into between the Adviser and the Fund, as from time to time in effect.

  • Investment Client means (i) any investment company registered as such under the Investment Company Act, any series thereof, or any component of such series for which the Adviser acts as investment adviser; or (ii) any private account for which the Adviser acts as investment adviser.

  • investment advice means the provision of personal recommendations to a client, either upon its request or at the initiative of the investment firm, in respect of one or more transactions relating to financial instruments;

  • Asset Management Company/UTI AMC/AMC/Investment Manager means the UTI Asset Management Company Limited incorporated under the Companies Act, 1956, (1 of 1956) [replaced by The Companies Act, 2013 (No.18 of 2013)] and approved as such by Securities and Exchange Board of India (SEBI) under sub-regulation (2) of Regulation 21 to act as the Investment Manager to the schemes of UTI Mutual Fund.

  • Investment Manager or “Manager” shall mean a party furnishing services to the Trust pursuant to any contract described in Section 4.8 hereof;

  • investment firm means any legal person whose regular occupation or business is the provision of one or more investment services to third parties and/or the performance of one or more investment activities on a professional basis;

  • Investment Consultant means PMA Asset Management, LLC, or such other Person who shall be acceptable to the Governing Board.

  • Investment Company Client means any Investment Company (or series thereof ) as to which the Firm is an investment adviser or investment sub-adviser.

  • Invesco Advisers, Inc. s -affiliated Broker-dealer” means Invesco Distributors, Inc. or Invesco Capital Markets, Inc. or their successors.

  • Asset Management Company/UTI AMC/AMC/Investment Manager means the UTI Asset Management Company Limited incorporated under the Companies Act, 1956, (1 of 1956) replaced by The Companies Act, 2013 (No. 18 of 2013) and approved as such by Securities and Exchange Board of India (SEBI) under sub-regulation (2) of Regulation 21 to act as the Investment Manager to the schemes of UTI Mutual Fund;

  • Private Investment means a securities offering that is exempt from registration under certain provisions of the U.S. securities laws and/or similar laws of non-U.S. jurisdictions. It includes investments in hedge funds, private equity funds, limited partnerships, real estate, peer to peer lending clubs and private businesses.

  • Fund Adviser means any entity that acts as a manager, adviser or sub-adviser to a Legg Mason Fund.

  • Canadian Investment Manager designation means the designation earned through the Canadian investment manager program prepared and administered by CSI Global Education Inc. and so named on the day this Instrument comes into force, and every program that preceded that program, or succeeded that program, that does not have a significantly reduced scope and content when compared to the scope and content of the first-mentioned program;

  • Sub-Investment Manager means for each Fund the sub-investment manager or sub-investment managers indicated in the tables on page x, and in addition for each Fund any other sub-investment manager that the Investment Manager may appoint in the future to manage the Fund, provided that disclosure of any such sub-investment managers appointed by the Investment Manager will be provided to Shareholders upon request and details thereof will be disclosed in the periodic reports to Shareholders, and provided further that each Sub-Investment Manager may appoint a sub-investment manager/advisor to manage/advise any portion of the assets of the Fund in accordance with the requirements of the Central Bank Rules;

  • Family of Investment Companies as used herein means two or more registered investment companies (or series thereof) that have the same investment adviser or investment advisers that are affiliated (by virtue of being majority owned subsidiaries of the same parent or because one investment adviser is a majority owned subsidiary of the other).

  • portfolio adviser means a person or company that provides investment advice or portfolio management services under a contract with the investment fund or with the manager of the investment fund;

  • Trading Partner means any external computer interoperating with a Licensed Component through one or more protocols, one or more networks, or one or more adapters;

  • Independent Financial Adviser means an independent financial institution of international repute appointed by the Issuer at its own expense.

  • Federal covered investment adviser means a person registered under the Investment Advisers Act of 1940.

  • Independent Adviser means an independent financial institution of international repute or an independent financial adviser with appropriate expertise appointed by the Issuer under Condition 5(j)(i).

  • Special Purpose Investment Personnel means each SEI Access Person who, in connection with his or her regular functions (including, where appropriate, attendance at Board meetings and other meetings at which the official business of a Trust or any Fund thereof is discussed or carried on), obtains contemporaneous information regarding the purchase or sale of a Security by a Fund. Special Purpose Investment Personnel shall occupy this status only with respect to those Securities as to which he or she obtains such contemporaneous information.