Investment Adviser Status. The Investment Adviser is duly registered and in good standing with the Commission as an investment adviser under the Advisers Act, and is not prohibited by the Advisers Act, the 1940 Act, the Rules and Regulations or the Advisers Act Rules and Regulations, from acting under the Investment Management Agreement as contemplated by the Registration Statement, each preliminary prospectus and the Prospectus.
Investment Adviser Status. The Sub-Adviser is duly registered and in good standing with the Commission as an investment adviser under the Advisers Act, and is not prohibited by the Advisers Act, the 1940 Act, the Rules and Regulations or the Advisers Act Rules and Regulations, from acting under the Sub-Advisory Agreement as contemplated by the Registration Statement, each preliminary prospectus and the Prospectus.
Investment Adviser Status. No Triangle Entity is currently subject to registration as an investment adviser under the Investment Advisers Act of 1940, as amended.
Investment Adviser Status. The Manager is duly registered and in good standing with the Commission as an investment adviser under the Investment Advisers Act of 1940, as amended (the “Advisers Act”), and is not prohibited by the Advisers Act, or the rules and regulations thereunder, from performing its obligations under the Management Agreement as described in the Management Agreement, the Registration Statement, Time of Sale Information and the Prospectus.
Investment Adviser Status. Other than the Advisor, none of the Fidus Entities are currently registered or required to register as an investment adviser under the Advisers Act.
Investment Adviser Status. To the best knowledge of the Purchaser and the PEF upon reasonable inquiry, each Rep Party is not an “investment adviser” required to register with the SEC under the United States Investment Advisers Act of 1940, as amended. Each Rep Party has not and will not hold itself out as managing the investment of the Company, either directly or indirectly, or otherwise as engaging in activities of an “investment adviser.”
Investment Adviser Status. None of the Main Street Entities are currently subject to registration as an investment adviser under the Investment Advisers Act of 1940, as amended.
Investment Adviser Status. The Collateral Subadvisor is duly registered with the Commission as an investment adviser under the Advisers Act and the Advisers Act Rules and Regulations from acting under the Collateral Sub-Advisory Agreement as contemplated by the Prospectus.
Investment Adviser Status. LMPFA is duly registered with the Commission as an investment adviser under the Advisers Act, and is not prohibited by the Advisers Act or the 1940 Act, or the rules and regulations under such acts, from acting under the Investment Management Agreement or the Subadvisory Agreement for the Fund as contemplated by the Prospectus.
Investment Adviser Status. The Commodity Subadvisor is duly registered with the Commission as an investment adviser under Investment Advisers Act of 1940, as amended (the “Advisers Act”), and the rules and regulations of the Commission promulgated under the Advisers Act (the “Advisers Act Rules and Regulations”) from acting under the Commodity Sub-Advisory Agreement as contemplated by the Prospectus.
