The Investment Adviser definition

The Investment Adviser has entered into a Sub-Advisory Agreement with the Sub-Adviser dated _____________ (the "Sub-Advisory Agreement"). This Underwriting Agreement is herein referred to as the "Agreement."
Sample 1
The Investment Adviser has entered into an Investment Sub-Advisory Agreement with the Subadviser dated July 24, 2003 (the "SUB-ADVISORY AGREEMENT"), a Letter Agreement with First Trust dated July 28, 2003 regarding compensation payable by the Adviser to First Trust (the "LETTER AGREEMENT") and an Underwriter Participation Agreement with First Trust and the Fund dated July 24, 2003 (the "UNDERWRITER PARTICIPATION AGREEMENT").
Sample 1
The Investment Adviser. Description of Shares," "The Offering" and "Taxation", to the extent that it constitutes matters of law or legal conclusions thereunder, has been reviewed by such counsel and is accurate and correct in all material respects.
Sample 1

Examples of The Investment Adviser in a sentence

  • The Investment Adviser accepts such appointment and agrees to render the services herein set forth for the compensation herein provided.

  • The Investment Adviser may terminate this agreement upon sixty (60) days’ prior written notice to the Fund.

  • The Investment Adviser further agrees that it will comply with all applicable rules and regulations of all federal regulatory agencies having jurisdiction over the Investment Adviser in the performance of its duties hereunder.

  • The Investment Adviser accepts such appointment and agrees to furnish the services herein set forth for the compensation herein provided.

  • The Investment Adviser further agrees to preserve for the periods prescribed by Rule 3la-2 under the 1940 Act the records required to be maintained by Rule 3la-1 under the 1940 Act.

  • The Investment Adviser agrees that this Section 6 shall be interpreted consistent with the provisions of Section 17(i) of the 1940 Act.

  • The Investment Adviser is registered under the Investment Advisers Act of 1940, as amended, and is engaged in the business of providing investment advisory and related services to the Fund and to other investment companies.

  • The Investment Adviser further agrees to preserve for the periods prescribed by Rule 31a-2 under the 1940 Act the records required to be maintained by Rule 31a-1 under the 1940 Act.

  • The Investment Adviser is not bound by the components or weighting of the Index when selecting investments.

  • The Investment Adviser shall monitor, coordinate and oversee the activities performed by the third parties with which its affiliates contract for the provision of sub-transfer agency services.


More Definitions of The Investment Adviser

The Investment Adviser has entered into an investment sub-advisory agreement with NFJ Investment Group L.P. ("NFJ"), a Delaware limited partnership, dated as of February 15, 2005, an investment sub-advisory agreement with Xxxxxxxx Xxxxxxxxx Capital Management LLC ("NACM"), a Delaware limited liability company, dated as of February 15, 2005, an investment sub-advisory agreement with PEA Capital LLC ("PEA"), a Delaware limited liability company, dated as of February 15, 2005, (each of NFJ, NACM and PEA is a "Subadviser" and together with the Investment Adviser, the "Advisers") an Additional Compensation Agreements with Xxxxxxx Xxxxx & Co., Xxxxxxx Lynch, Pierce, Xxxxxx & Xxxxx Incorporated dated as of February __, 2005, an additional Compensation Agreement with UBS Securities LLC dated as of February __, 2005 and a Structuring Fee Agreement with Citigroup Global Markets Inc. dated as of February __, 2005, and such agreements are herein referred to as the "Sub-Advisory Agreements," the "Additional Compensation Agreements" and the "Structuring Fee Agreement." In addition, the Fund has adopted a dividend reinvestment plan (the "Dividend Reinvestment Plan") pursuant to which holders of Common Shares shall have their dividends automatically reinvested in additional Common Shares of the Fund unless they elect to receive such dividends in cash.
Sample 1
The Investment Adviser has filed a Form ADV-Y2K with the Securities Exchange Commission, dated as of June 4, 1999 (the "Y2K FORM"). The information disclosed in the Y2K Form was true and correct as of such date, and as of the date hereof. The Borrower and the Investment Advisor are taking all necessary action to comply with the remaining deadlines and other requirements set forth in the Y2K Form in order to be in compliance therewith. Any failure to comply with the deadlines or other requirements of the Y2K Form is not expected to result in a Default or Event of Default or to have a material adverse effect on the business, assets, operations, prospects or condition (financial or othewise) of the Borrower.
Sample 1

Related to The Investment Adviser

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

  • 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:

  • 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;

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

  • 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.

  • Investment Manager or “Manager” shall mean a party furnishing services to the Trust pursuant to any contract described in Section 4.8 hereof;

  • portfolio adviser means a person or company that provides investment advice or portfolio management services under a contract with the investment fund or with the manager of the investment fund;

  • Adviser means a party furnishing services to the Trust pursuant to any contract described in Article IV, Section 7(a) hereof;

  • Investment Client means (i) any investment company registered as such under the Investment Company Act, any series thereof, or any component of such series for which the Adviser acts as investment adviser; or (ii) any private account for which the Adviser acts as investment adviser.

  • Sub-Investment Manager means for each Fund any sub-investment manager or sub-investment managers indicated in the relevant Supplement and any sub-investment manager that the relevant Investment Manager may appoint in the future to manage the Fund, provided that disclosure of any such sub-investment managers appointed by the Investment Managers will be provided to Shareholders upon request and details thereof will be disclosed in the periodic reports to Shareholders, and provided further that each Sub-Investment Manager may appoint a sub-investment manager/advisor to manage/advise any portion of the assets of any Fund to which it has been appointed Sub-Investment Manager in accordance with the requirements of the Central Bank Rules;

  • Private Investment means a securities offering that is exempt from registration under certain provisions of the U.S. securities laws and/or similar laws of non-U.S. jurisdictions. It includes investments in hedge funds, private equity funds, limited partnerships, real estate, peer to peer lending clubs and private businesses.

  • Adviser/Subadviser means the Adviser or a Subadviser, if any, of the Fund or both as the context may require.

  • Independent Adviser means an independent financial institution of international repute or other independent financial adviser experienced in the international debt capital markets, in each case appointed by the Issuer at its own expense;

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

  • Investment is any beneficial ownership interest in any Person (including stock, partnership interest or other securities), and any loan, advance or capital contribution to any Person.

  • Adviser/Subadviser means the Adviser or a Subadviser, if any, of the Fund or both as the context may require.

  • Independent Financial Adviser means an independent financial institution of international repute appointed by the Company at its own expense.

  • investment firm means any legal person whose regular occupation or business is the provision of one or more investment services to third parties and/or the performance of one or more investment activities on a professional basis;

  • Investment Entity means any Entity that conducts as a business (or is managed by an entity that conducts as a business) one or more of the following activities or operations for or on behalf of a customer:

  • 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.