Investment Laws and Regulations definition

Investment Laws and Regulations shall have the meaning specified in Section 3.17.
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Investment Laws and Regulations has the meaning set forth in Section 5.15(a).
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Investment Laws and Regulations means all applicable United States federal or state securities, commodities or other investment-related laws and governmental rules and regulations, including, without limitation, the Advisers Act, the Commodity Exchange Act, the Exchange Act, the Investment Company Act, and the Securities Act and the regulations promulgated under each of them, and the rules and regulations of self-regulatory organizations including, without limitation, FINRA and each applicable exchange (as defined under the Exchange Act), and all other federal or state securities laws and regulations applicable to the business or affairs or properties or assets of the Company.
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Examples of Investment Laws and Regulations in a sentence

  • There is no Action pending, or to the Knowledge of the Company, threatened, relating to the termination of, or limitation of, the Company’s rights under its registration under the Advisers Act as an investment adviser or any similar or related rights under any registrations or qualifications with various self-regulatory bodies, states or other jurisdictions or under any other Investment Laws and Regulations.

  • Therefore gains, losses or costs associated with index provider errors will be borne by the Index Funds and their Shareholders.

  • There is no Action pending or, to the Knowledge of the Sellers, threatened relating to the termination or limitation of any Seller’s rights under its registration under the Advisers Act as an investment adviser or any similar or related rights under any registrations or qualifications with various SROs, states or other jurisdictions or under any other Investment Laws and Regulations.

  • Each Offshore Fund and Offshore Related Partnership is and, since its inception has been, in compliance with all Investment Laws and Regulations and orders thereunder.

  • None of the Company nor any officer, director, member, stockholder or employee thereof, is charged or, to the knowledge of the Company or any of the Stockholders, under investigation with respect to, any violation of any provision of foreign, federal, state, municipal or other law or any administrative rule or regulation, domestic or foreign, including, without limitation, any Investment Laws and Regulations, affecting the Company or the transactions contemplated hereby.

  • Direct obligations of the U.S. Government, its agencies, or instrumentalities, to the payment of which the full faith and credit of the Government of the United States is pledged, or obligations to the payment of which the full faith and credit of this state is pledged; Note 2 - Stewardship, Compliance and Accountability (continued) 2.B. Deposit and Investment Laws and Regulations (continued) 2.

  • Each Private Fund is and, since its inception, has been in compliance with all Investment Laws and Regulations to the extent such laws and regulations are applicable to, or violation thereof could have a Material Adverse Effect on, such Private Fund.

  • Each Private Fund is and has, since its inception, been in compliance with all foreign, federal and state laws requiring registration, licensing or qualification as an investment company and all Investment Laws and Regulations.

  • Direct obligations of the U.S. Government, its agencies, or instrumentalities, to the payment of which the full faith and credit of the Government of the United States is pledged, or obligations to the payment of which the full faith and credit of this state is pledged; Note 2 - Stewardship, Compliance and Accountability (continued)‌ 2.B. Deposit and Investment Laws and Regulations (continued) 2.

  • Deposits and Investment Laws and Regulations In accordance with State law, all uninsured deposits of municipal funds in financial institutions must be secured with acceptable collateral valued at no more than market value.


More Definitions of Investment Laws and Regulations

Investment Laws and Regulations means the Securities Act, the Securities Exchange Act of 1934, as amended (the “Exchange Act”), state securities laws, the Investment Advisers Act of 1940, as amended (the “Advisers Act”), the Investment Company Act of 1940, as amended (the “Company Act”), the Commodity Exchange Act, as amended (“Commodity Exchange Act”), the Employee Retirement Income Security Act of 1974, as amended (“ERISA”), the Internal Revenue Code of 1986, as amended, the Uniting and Strengthening America by Providing Appropriate Tools Required to Intercept and Obstruct Terrorism Act of 2001, and the Office of Foreign Assets Control regulations and all applicable laws relating to anti-money-laundering and similar laws (including “know your customer” rules and regulations), and all rules promulgated under each of such laws.
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Investment Laws and Regulations means all Laws, domestic or foreign, applicable to the Investment Management Services business including, without limitation: (i) the Advisers Act, the Investment Company Act, the Exchange Act, ERISA, the Commodity Exchange Act and the Securities Act and the regulations promulgated under each of them; (ii) the bylaws, rules and regulations of applicable Self-Regulatory Authorities (as hereinafter defined in Section 3.23) and each applicable securities and commodities exchange on which AH or any of its affiliates is a member or on which any transactions for any account is effected for any of them; and (iii) all other foreign, federal or state securities laws and regulations applicable to the Investment Management Services business, affairs, properties or assets of AH and its Subsidiaries or any of the Private Funds.
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Related to Investment Laws and Regulations

  • Applicable Laws and Regulations means all duly promulgated applicable federal, State and local laws, regulations, rules, ordinances, codes, decrees, judgments, directives, or judicial or administrative orders, permits and other duly authorized actions of any Governmental Authority having jurisdiction over the relevant parties, their respective facilities, and/or the respective services they provide.

  • Laws and Regulations means federal, state, local and foreign statutes, laws, ordinances, regulations, rules, codes, orders, constitutions, treaties, principles of common law, judgments, decrees or other requirements;

  • Sanctions Laws and Regulations means any sanctions, prohibitions or requirements imposed by any executive order (an “Executive Order”) or by any sanctions program administered by OFAC.

  • Data Protection Laws and Regulations means all laws and regulations, including laws and regulations of the European Union, the European Economic Area and their member states, Switzerland and the United Kingdom, applicable to the Processing of Personal Data under the Agreement.

  • TUPE Regulations means the Transfer of Undertakings (Protection of Employment) Regulations 2006, as amended.

  • Applicable law and regulations means the Federal Credit Union Act and rules and regulations issued thereunder or other applicable federal and state statutes and rules and regulations issued thereunder as the context indicates.

  • Medicare Regulations means, collectively, (a) all Federal statues (whether set forth in Title XVIII of the Social Security Act or elsewhere) affecting the health insurance program for the aged and disabled established by Title XVIII of the Social Security Act and any statues succeeding thereto and (b) all applicable provisions of all rules, regulations, manuals and orders and administrative, reimbursement and other guidelines having the force of law of all Governmental Authorities (including CMS, the OIG, HHS or any person succeeding to the functions of any of the foregoing) promulgated pursuant to or in connection with any of the foregoing having the force of law, as each may be amended, supplemented or otherwise modified from time to time.

  • SAFE Rules and Regulations means collectively, the Circular 37 and any other applicable SAFE rules and regulations.

  • OFAC Regulations means the regulations promulgated by OFAC, as amended from time to time.

  • HIPAA Regulations means the regulations promulgated under HIPAA by the United States Department of Health and Human Services, including, but not limited to, 45 C.F.R. Part 160 and 45 C.F.R. Part 164.

  • EP Regulations means The Environmental Permitting (England and Wales) Regulations SI 2016 No.1154 and words and expressions used in this permit which are also used in the Regulations have the same meanings as in those Regulations.

  • UCITS Regulations means the European Communities (Undertakings for Collective

  • SBE Regulations means the written regulations and procedures adopted pursuant to this chapter for procurement of Supplies, Services and Public Works.

  • CFTC Regulations means the rules and regulations promulgated by the CFTC, as amended.

  • Medicaid Regulations means, collectively, (i) all federal statutes (whether set forth in Title XIX of the Social Security Act or elsewhere) affecting the medical assistance program established by Title XIX of the Social Security Act and any statutes succeeding thereto; (ii) all applicable provisions of all federal rules, regulations, manuals and orders of all Governmental Authorities promulgated pursuant to or in connection with the statutes described in clause (i) above and all federal administrative, reimbursement and other guidelines of all Governmental Authorities having the force of law promulgated pursuant to or in connection with the statutes described in clause (i) above; (iii) all state statutes and plans for medical assistance enacted in connection with the statutes and provisions described in clauses (i) and (ii) above; and (iv) all applicable provisions of all rules, regulations, manuals and orders of all Governmental Authorities promulgated pursuant to or in connection with the statutes described in clause (iii) above and all state administrative, reimbursement and other guidelines of all Governmental Authorities having the force of law promulgated pursuant to or in connection with the statutes described in clause (ii) above, in each case as may be amended, supplemented or otherwise modified from time to time.

  • SEBI Regulations means the Securities and Exchange Board of India (Listing Obligations and Disclosure Requirements) Regulations, 2015 together with the circulars issued thereunder, including any statutory modification(s) or re-enactment(s) thereof for the time being in force.

  • PPPFA Regulations means the Preferential Procurement Regulations, 2017 published in terms of the PPPFA.

  • Bye-laws means the bye-laws of the Company, as amended from time to time.

  • Governmental Regulations means all statutes, ordinances, rules and regulations of the Authorities applicable to Seller or the use or operation of the Real Property or the Improvements or any portion thereof.

  • FHA Regulations Regulations promulgated by HUD under the National Housing Act, codified in 24 Code of Federal Regulations, and other HUD issuances relating to FHA Loans, including the related handbooks, circulars, notices and mortgagee letters.

  • the 2000 Regulations means the Water Supply (Water Quality) Regulations 2000(b); "the 2001 Regulations" means the Water Supply (Water Quality) Regulations 2001(c);

  • TRADES Regulations means the regulations of the United States Department of the Treasury, published at 31 C.F.R. Part 357, as amended from time to time. Unless otherwise defined herein, all terms defined in the TRADES Regulations are used herein as therein defined.

  • FCC Regulations means the regulations duly and lawfully promulgated by the FCC, as in effect from time to time.

  • CSD Regulations means the CSD’s rules and regulations applicable to the Issuer, the Agent and the Notes from time to time.

  • the 2002 Regulations means the Traffic Signs Regulations and General Directions 2002;

  • Anti-Corruption Guidelines means the “Guidelines on Preventing and Combating Fraud and Corruption in Projects Financed by IBRD Loans and XXX Credits and Grants”, dated October 15, 2006.