Ineligible Persons. Neither Opgroup nor any "affiliated person" (as defined in the Investment Company Act) thereof is ineligible pursuant to Section 9(a) or 9(b) of the Investment Company Act to serve as an investment adviser (or in any other capacity contemplated by the Investment Company Act) to a registered investment company. Neither Opgroup nor any "associated person" (as defined in the Advisers Act) thereof is ineligible pursuant to Section 203 of the Advisers Act to serve as an investment adviser or as an associated person to a registered investment adviser. Neither Opgroup nor any "associated person" (as defined in the Exchange Act) thereof is ineligible pursuant to Section 15(b) of the Exchange Act to serve as a broker-dealer or as an associated person to a registered broker-dealer.
Appears in 2 contracts
Sources: Agreement and Plan of Merger (Pimco Advisors L P /), Merger Agreement (Pimco Advisors L P /)
Ineligible Persons. Neither Opgroup Parent, nor any "affiliated person" (as defined in the Investment Company Act) thereof thereof, is ineligible pursuant to Section 9(a) or 9(b) of the Investment Company Act to serve as an investment adviser (or in any other capacity contemplated by the Investment Company Act) to a registered investment company. Neither Opgroup Parent nor any "associated person" (as defined in the Advisers Act) thereof thereof, is ineligible pursuant to Section 203 of the Advisers Act to serve as an investment adviser or as an associated person to a registered investment adviser. Neither Opgroup Parent nor any "associated person" (as defined in the Exchange Act) thereof thereof, is ineligible pursuant to Section 15(b) of the Exchange Act to serve as a broker-dealer or as an associated person to a registered broker-dealer.
Appears in 2 contracts
Sources: Share Acquisition Agreement (Franklin Resources Inc), Share Acquisition Agreement (Franklin Resources Inc)
Ineligible Persons. Neither Opgroup 1838 nor any "affiliated person" (as defined in the Investment Company Act) thereof thereof, is ineligible pursuant to Section 9(a) or 9(b) of the Investment Company Act to serve as an investment adviser advisor (or in any other capacity contemplated by the Investment Company Act) to a registered investment company. Neither Opgroup 1838 nor any "associated person" (as defined in the Advisers Act) thereof thereof, is ineligible pursuant to Section 203 of the Advisers Act to serve as an investment adviser or as an associated person to a registered investment adviser. Neither Opgroup 1838 nor any "associated person" (as defined in the Exchange Act) thereof thereof, is ineligible pursuant to Section 15(b) of the Exchange Act to serve as a broker-dealer or as an associated person to a registered broker-dealer.
Appears in 1 contract
Sources: Merger Agreement (Mbia Inc)
Ineligible Persons. Neither Opgroup Opgroup, nor any "affiliated person" (as defined in the Investment Company Act) thereof is ineligible pursuant to Section 9(a) or 9(b) of the Investment Company Act to serve as an investment adviser (or in any other capacity contemplated by the Investment Company Act) to a registered investment company. Neither Opgroup nor any "associated person" (as defined in the Advisers Act) thereof thereof, is ineligible pursuant to Section 203 of the Advisers Act to serve as an investment adviser or as an associated person to a registered investment adviser. Neither Opgroup nor any "associated person" (as defined in the Exchange Act) thereof thereof, is ineligible pursuant to Section 15(b) of the Exchange Act to serve as a broker-dealer or as an associated person to a registered broker-dealer.
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Ineligible Persons. Neither Opgroup Buyer nor any "affiliated ------------------ person" (as defined in the Investment Company Act) thereof thereof, as applicable, is ineligible pursuant to Section 9(a) or 9(b) of the Investment Company Act to serve as an investment adviser (or in any other capacity contemplated by the Investment Company Act) to a registered investment company. Neither Opgroup Buyer nor any "associated person" (as defined in the Advisers Act) thereof thereof, as applicable, is ineligible pursuant to Section 203 of the Advisers Act to serve as an investment adviser or as an associated person to a registered investment adviser. Neither Opgroup Buyer nor any "associated person" (as defined in the Exchange Act) thereof thereof, as applicable, is ineligible pursuant to Section 15(b) of the Exchange Act to serve as a broker-dealer or as an associated person to a registered broker-dealer.
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