Investment Advisors Act definition

Investment Advisors Act means the Investment Advisors Act of 1940.
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Investment Advisors Act means the Investment Advisors Act of 1940. “Investment Company Act” means the Investment Company Act of 1940. “IRS” means the United States Internal Revenue Service.
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Investment Advisors Act has the meaning set forth in Section 4.05(b).
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Examples of Investment Advisors Act in a sentence

  • The Buyer is an investment advisor registered under the Investment Advisors Act of 1940.

  • Buyer is a business development company as defined in Section 202(a)(22) of the Investment Advisors Act of 1940.

  • The Buyer is an investment advisor registered under the Investment Advisors Act of 1940, as amended.

  • Buyer is a business development company as defined in Section 202(a)(22) of the Investment Advisors Act of 1940, as amended.

  • The Buyer is a business development company as defined in Section 202(a)(22) of the Investment Advisors Act of 1940.

  • The Purchaser is an investment advisor registered under the Investment Advisors Act of 1940.

  • The Purchaser is a business development company as defined in Section 202(a)(22) of the Investment Advisors Act of 1940.

  • As a result of recent legislative events, particularly the enactment of the Insider Trading and Securities Fraud Enforcement Act of 1988, the Securities Exchange Acts and the Investment Advisors Act of 1940 require that all investment advisors establish, maintain and enforce policies and supervisory procedures designed to prevent the misuse of material, non-public information by such investment advisor, and any associated person.

  • The Depositor shall notify the Custodian in writing of any such appointment by providing the Custodian a copy of the instruments appointing the Investment Advisor and evidencing the Investment Advisor's acceptance of such appointment, an acknowledgment by the Investment Advisor that it is a fiduciary of the account, and a certificate evidencing the Investment Advisor's current registration under the Investment Advisor's Act of 1940.

  • Buyer is a business development company as defined in Section 202(a) (22) of the Investment Advisors Act of 1940.


More Definitions of Investment Advisors Act

Investment Advisors Act means the United
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Investment Advisors Act as defined in Section 2.1.13(f).
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Investment Advisors Act means the Investment Advisors Act of 1940, as amended, and the rules and regulations of the SEC thereunder, all as from time to time in effect, or any successor law, rules or regulations, and any reference to any statutory or regulatory provision shall be deemed to be a reference to any successor statutory or regulatory provision.
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Related to Investment Advisors Act

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

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

  • 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 Company Act of 1940 means the Investment Company Act of 1940, as amended, and the rules and regulations thereunder.

  • U.S. Investment Company Act means the United States Investment Company Act of 1940, as amended;

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

  • Investment Company Act Event means that the Company shall have received an Opinion of Counsel to the effect that, as a result of the occurrence of a change in law or regulation or a written change in interpretation or application of law or regulation by any legislative body, court, governmental agency or regulatory authority, there is more than an insubstantial risk that the Securities Trust is or will be considered an "investment company" that is required to be registered under the Investment Company Act of 1940, as amended, which change becomes effective on or after the Original Issue Date.

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

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

  • 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.

  • Holding Company Act means the Public Utility Holding Company Act of 1935, as amended.

  • 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;

  • Bank Holding Company Act means the Bank Holding Company Act of 1956, as amended.

  • 2000 Act means the Local Government Act 2000;

  • 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).

  • BHCA means the Bank Holding Company Act of 1956, as amended.

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

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

  • 2012 Act means the Health and Social Care Act 2012;

  • regulated investment companies (as defined in Section 851 of the Code), all as from time to time in effect (collectively, the "Policies"), and with all applicable provisions of law, including without limitation all applicable provisions of the Investment Company Act of 1940 (the "1940 Act") and the rules and regulations thereunder. Subject to the foregoing, the Sub-Adviser is authorized, in its discretion and without prior consultation with the Manager, to buy, sell, lend and otherwise trade in any stocks, bonds and other securities and investment instruments on behalf of the Series, without regard to the length of time the securities have been held and the resulting rate of portfolio turnover or any tax considerations; and the majority or the whole of the Series may be invested in such proportions of stocks, bonds, other securities or investment instruments, or cash, as the Sub-Adviser shall determine.

  • 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:

  • the 2007 Act means the Local Government and Public Involvement in Health Act 2007;

  • Regulated investment company has the meaning set forth in Section 851 of the Code.

  • 40 Act means the Investment Company Act of 1940, as amended.

  • Investment Canada Act means the Investment Canada Act (Canada).