Associated Persons. Neither the Selling stockholder nor any of its affiliates (within the meaning of FINRA Rule 5121(f)(1)) directly or indirectly controls, is controlled by, or is under common control with, or is an associated person (within the meaning of Article I, Section 1(ee) of the By-laws of FINRA) of, any member firm of FINRA. Any certificate signed by or on behalf of a Selling stockholder and delivered to the Underwriter or to counsel for the Underwriter shall be deemed to be a representation and warranty by such Selling stockholder to the Underwriter as to the matters covered thereby.
Associated Persons. Each Limited Partner acknowledges that the provisions of this Agreement were drafted with the assumption that each beneficial owner of Interests (other than the General Partner) would be a natural person who will be providing services to the Oaktree Group. Accordingly, and notwithstanding anything herein to the contrary, to the extent any such natural person (each, an “Associated Person”) holds Interests through one or more entities, references herein to a Partner or former Partner shall be interpreted in good faith by the General Partner to include reference to such Associated Person to the extent necessary, appropriate, advisable or convenient to ensure that such entity is not treated more favorably as a Partner than such natural person would have been treated had the Interests held by such entity been held by such natural person directly and such natural person had been admitted as a Limited Partner in lieu of such entity.
Associated Persons. Neither such Selling Stockholder nor any of its affiliates (within the meaning of FINRA Rule 5121(f)(1)) directly or indirectly controls, is controlled by, or is under common control with, or is an associated person (within the meaning of Article I, Section 1(ee) of the By-laws of FINRA) of, any member firm of FINRA, other than as described on the FINRA Questionnaire previously completed and executed by such Selling Stockholder, a copy of which has been provided to the Underwriters. Any certificate signed by or on behalf of a Selling Stockholder and delivered to the Representatives or to counsel for the Underwriters shall be deemed to be a representation and warranty by such Selling Stockholder to each Underwriter as to the matters covered thereby.
Associated Persons. Neither such Selling Stockholder nor any of its affiliates (within the meaning of FINRA Rule 5121(f)(1)) directly or indirectly controls, is controlled by, or is under common control with, or is an associated person (within the meaning of Article I, Section 1(ee) of the By-laws of FINRA) of, any member firm of FINRA.
Associated Persons. Each Limited Partner acknowledges that the provisions of this Agreement were drafted with the assumption that each beneficial owner of Interests (other than the General Partner) would be a natural person who will be providing (or formerly provided) services to the Oaktree Group. Accordingly, and notwithstanding anything herein to the contrary, to the extent any such natural person (each, an “Associated Person”) holds Interests through one or more trusts or entities, or has transferred Interests to a spouse, former spouse, child (natural or adopted), or any other lineal descendant or family member, in each case, in accordance with the terms and conditions of this Agreement, references herein to a Partner or former Partner shall be interpreted in good faith by the General Partner to include reference to such Associated Person to the extent necessary, appropriate, advisable or convenient to ensure that such trust or entity, spouse, former spouse, child (natural or adopted), or any other lineal descendant or family member, is not treated more favorably as a Partner than such natural person would have been treated had the Interests held by such entity been held by such natural person directly (or had never transferred such Interests) and such natural person had been admitted as a Limited Partner in lieu of such trust or entity or had remained as a Limited Partner in lieu of such transferee.
Associated Persons. Neither the Company nor any of its affiliates (within the meaning of FINRA Rule 5121(f)(1)) directly or indirectly controls, is controlled by, or is under common control with, or is an associated person (within the meaning of Article I, Section 1(ee) of the By-laws of FINRA) of, any member firm of FINRA.
Associated Persons. The benefit of the limitations and exclusions in this clause 18 is intended to each Party’s Associated Persons, and to be enforceable by, and for their claims to be limited and excluded by, them pursuant to the Contracts (Privity) Xxx 0000. Accordingly, each reference to the liability of a Party will be read as a reference to the combined liability of that Party and its Associated Persons to the other Party and its Associated Persons. Except to the extent prohibited by that Act, the Parties will not be required to obtain the consent of any Associated Persons in order to amend this clause 18 or any other part of this AES Agreement.
Associated Persons. The Trust agrees that any entity or person associated with the Manager which is a member of a national securities exchange is authorized to effect any transaction on such exchange for the account of any Series that is permitted by Section 11(a) of the Securities Exchange Act of 1934 and Rule 11a2-2(T) thereunder, and the Trust has consented to the retention of compensation for such transactions in accordance with Rule 11a2-2(T) (a) (2) (iv).
Associated Persons. Broker acknowledges that CIGNA employees who are not CIGNA RRs may be deemed to be associated persons of Broker within the meaning of NASD Membership and Registration Rule 1011(b). CG agrees that it shall be solely responsible for the activities of any such associated persons, and that the CIGNA SSP, CIGNA SPs and CIGNA RRs shall supervise their activities in accordance with the policies and procedures of BROKER and NASD Conduct Rule 3010 and other applicable law. Upon Broker's request, CG will provide a list of all such associated persons and cause such associated persons to be fingerprinted. The Broker shall subsequently submit such fingerprints to the NASD as a non-registered associate.
Associated Persons. Clauses 20.1 and 20.2 of this agreement are intended to benefit and are to be interpreted as benefiting AN and each of the Associated Persons and to be enforceable by AN and each of the Associated Persons. To that extent, the Commonwealth has entered this agreement on its own behalf and on behalf of AN and each Associated Person.
