Examples of IC Act in a sentence
ING Entities’ activities are governed by the federal securities laws, including the Investment Advisers Act of 1940 and the IC Act.
The IC Act concerns “misconduct” only and it is unclear as to the extent to which corrupt conduct would be able to be investigated.
Voya Entities’ activities are governed by the federal securities laws, including the Investment Advisers Act of 1940 and the IC Act.
A “Non-Interested Director” shall mean a director of Heartland Group who is not an “interested person” of Heartland Group within the meaning of Section 2(a)(19) of the IC Act.
Covered Persons are required to adhere to the Federal Securities Laws, including Rule 204A-1 under the Advisers Act, and Rule 17j-1 under the IC Act, the fiduciary duty owed to our Clients, and this Joint Code of Ethics.
The Act and the Integrity Commission Act 2009 (IC Act) work very differently.Perhaps the most important difference is that the IC Act does not contain any provisions which protect a person who makes a complaint under that Act from detrimental action by way of reprisal.
Compliance with the Code requirement in this section (including submission of the reports described in the paragraph below) will be deemed to satisfy the reporting requirements imposed on Access Persons under Rule 204-2(a)(13) under the IA Act and Rule 17j-1(d)(ii) under the IC Act.
The Act and the Integrity Commission Act 2009 (IC Act) work very differently.
Perhaps the most important difference is that the IC Act does not contain any provisions which protect a person who makes a complaint under that Act from detrimental action by way of reprisal.
In addition, all employees, officers and directors of the Adviser are considered “Investment Persons” as defined in Rule 17j-1 under the IC Act, and are subject to the requirement to pre-clear transactions in limited offerings, as discussed in section III.A.1 below.