Investment Company Act Compliance. The Borrower is not, nor is the Borrower directly or indirectly controlled by or acting on behalf of any Person which is, an "investment company" or an "affiliated person" of an "investment company" within the meaning of the Investment Company Act of 1940, as amended.
Investment Company Act Compliance. Seller is not required to be registered as an “investment company” as defined under the Investment Company Act nor as an entity under the control of an “investment company” as defined under the Investment Company Act.
Investment Company Act Compliance. Neither Borrower nor Guarantor is required to be registered as an “investment company” as defined under the Investment Company Act nor as an entity under the control of an “investment company” as defined under the Investment Company Act.
Investment Company Act Compliance. 47 4.17 Public Utility Holding Company Act Compliance................... 47 4.18 Proper Filing of Tax Returns; Payment of Taxes Due.............. 47 4.19 Refunds......................................................... 47 4.20
Investment Company Act Compliance. In performing services hereunder, the Distributor shall at all times comply with the applicable provisions of the Investment Company Act of 1940, as amended (the "1940 Act") and any other federal or state securities laws.
Investment Company Act Compliance. In performing services hereunder, TFS shall at all times comply with applicable provisions of the Investment Company Act of 1940, as amended (the “1940 Act”) and any other federal or state securities laws. In addition, and without limiting the foregoing, this Agreement is subject to the 1940 Act and rules thereunder; to the extent that any provision of this Agreement would require a party to take any action prohibited by the 1940 Act and rules thereunder, or would preclude a party from taking any action required by the 1940 Act and rules thereunder, then it is the intention of the parties hereto that such provision shall be enforced only to the extent permitted under the 1940 Act and rules thereunder; and that all other provisions of this Agreement shall remain valid and enforceable as if the provision at issue had never been a part hereof.
Investment Company Act Compliance a. Assist in updating and monitoring compliance with the Fund’s policies and procedures adopted pursuant to Rule 38a-l of the Investment Company Act (the “Fund’s Policies and Procedures”).
Investment Company Act Compliance. After giving effect to the proposed Borrowing, each Initial Borrower shall be in compliance with all applicable limitations on Indebtedness under the Investment Company Act and its Constituent Documents.
Investment Company Act Compliance. 28 4.13 Public Utility Holding Company Act Compliance . . . . . . . 28 4.14 Refunds . . . . . . . . . . . . . . . . . . . . . . . . . . 28 4.15
Investment Company Act Compliance. Neither the Borrower nor any Subsidiary Guarantor is, or is directly or indirectly controlled by or acting on behalf of any Person which is, an "investment company" or an "affiliated person" of an "investment company" within the meaning of the Investment Company Act of 1940, as amended.
