Investment Adviser and Other Registrations. Company is duly registered as an investment adviser under the Advisers Act. Except for such registration and the registrations listed on Schedule 3.1.15, neither Company nor any of its officers or Employees is, or is required to be, registered or appointed as an investment adviser, investment adviser representative, solicitor, broker-dealer, broker-dealer agent, commodity pool operator, commodity trading adviser, registered representative, sales person or transfer agent with the SEC or other Governmental Authority in connection with the services performed by that Person on behalf of Company.
Appears in 3 contracts
Samples: Sale and Purchase Agreement (Titanium Asset Management Corp), Sale and Purchase Agreement (Titanium Asset Management Corp), Call Agreement (Federated Investors Inc /Pa/)
Investment Adviser and Other Registrations. The Company is duly registered as an investment adviser under the Advisers Act. Except for such registration and the registrations listed on Schedule 3.1.154.19, neither the Company nor any of its officers or Employees employees is, or is required to be, registered or appointed as an investment adviser, investment adviser representative, solicitor, broker-dealer, broker-dealer agent, commodity pool operator, commodity trading adviser, registered representative, sales person or transfer agent with the SEC or other Governmental Authority Body in connection with the services performed by that Person on behalf of the Company.
Appears in 1 contract
Samples: Stock Purchase Agreement (Titanium Asset Management Corp)
