Investment Adviser Subsidiary definition

Investment Adviser Subsidiary is defined in Section 2.7(c).

Investment Adviser Subsidiary shall have the meaning set forth in Section 2.13(a).

Investment Adviser Subsidiary shall have the meaning set forth in Section 3.13(a).

Examples of Investment Adviser Subsidiary in a sentence

• 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.

• 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.

• 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.

• As of the date hereof, there is no Order of any Governmental Authority or any arbitrator of any nature outstanding, or, to the Knowledge of the Company, threatened, against any Company Entities (including any Investment Adviser Subsidiary) that would, individually or in the aggregate, reasonably be expected to materially impair the Company Entities’ ability to conduct their businesses in the ordinary course as conducted as of the date hereof.

More Definitions of Investment Adviser Subsidiary

Investment Adviser Subsidiary means Precept Advisory Group, LLC, a California limited liability company. “Investment Advisory Agreement” means an investment advisory agreement entered into by the Company or its Subsidiaries with an IA Client for the purpose of providing investment advisory or sub-advisory services to such IA Client. “Investment Laws” means all applicable: (a) federal or state securities, commodities or other investment related Laws, including the Advisers Act, the U.S. Commodity Exchange Act, the Exchange Act, the Investment Company Act of 1940 and the Securities Act and the regulations promulgated under each of them; (b) rules and regulations of Self-Regulatory Organizations, including FINRA and each applicable exchange (as defined under the Exchange Act); (c) ERISA rules and regulations; and (d) other federal or state securities Laws applicable to the Company or any of its Subsidiaries providing Investment Management Services. “Investment Management Services” means services that require registration under, or otherwise constitute acting as an “investment adviser” within the meaning of, the Advisers Act. “Investors” means (a) Trident IX Super Panther Aggregator Sub LP, a Delaware limited partnership, Trident IX, L.P., a Cayman Islands exempted limited partnership, Trident IX Parallel Fund, L.P., a Cayman Islands exempted limited partnership, Trident IX Professionals Fund, L.P., a Cayman Islands exempted limited partnership, and T-IX Butterfly Co-Investor LP, a Delaware limited partnership, (b) CD&R XII Panther Investor, L.P., a Cayman Islands exempted limited partnership, (c) ATIC Third International Investment Company LLC, a company organized in Abu Dhabi, MC Alternative Solutions, LP, a Cayman Islands exempted limited partnership, Amwal Investments L.L.C., a company organized in Abu Dhabi, and MC Management 18 RSC Ltd., a corporation incorporated in Abu Dhabi, and (d) Viggo Investment Pte. Ltd., a Singapore private limited company. “IT Assets” means all of the computer systems owned or controlled by the Company or any of its Subsidiaries, including Software, hardware, databases, firmware, middleware and platforms, interfaces, systems, networks, information technology equipment, facilities, infrastructure, workstations, switches and data communications lines. “Knowledge of the Company” (or similar phrases) means the actual knowledge of the individuals listed on Section 1.1(h) of the Company Disclosure Schedule. “Law” means any federal, state or local statute, law, or...

Investment Adviser Subsidiary means Forethought Investment Management, Inc., an Indiana corporation.

Investment Adviser Subsidiary has the meaning set forth in Section 4(a)(xxii)(A).

Investment Adviser Subsidiary means AssuredPartners Investment Advisers, LLC.

Investment Adviser Subsidiary means each subsidiary of the Company which is engaged in the business of acting as an investment adviser.

Investment Adviser Subsidiary means each Subsidiary of the Company that is required to be registered as an “investment adviser” under the Investment Advisers Act.

Investment Adviser Subsidiary means each of AMPCI UK, AMP Capital Investors (US) Limited, AMP Capital Asia Limited and AMP Capital Investors (Luxembourg) S.à x.x.