Investment Advisers Act of 1940 Sample Clauses

Investment Advisers Act of 1940. Investment Adviser covenants that it is duly registered as an Investment Adviser with the Securities and Exchange Commission pursuant to the Investment Advisers Act of 1940, as amended (the “Adviser Act”). The Division hereby acknowledges that, not less than 48 hours before the date it has executed this Agreement, it received from Investment Adviser a copy of Part II of Investment Adviser’s Form ADV. This Agreement shall not be assigned (as that term is used in the Advisers Act) by either party without the prior written consent of the other party.
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Investment Advisers Act of 1940. If the offering of the Asset Allocation Program to the Clients would require that a Company become a registered investment adviser pursuant to the Advisers Act, the parties agree to (i) restructure the Asset Allocation Program on mutually agreeable terms so that such registration would not be required or (ii) terminate this Agreement.
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Investment Advisers Act of 1940. Each Limited Partner agrees that it is not an advisory client of the General Partner or the Manager for purposes of the Advisers Act in connection with the decision to invest in, or otherwise in connection with its investment in, the Partnership. Each Limited Partner also agrees that the General Partner or the Manager, in its capacity as such, may consent to or approve any matter under or related to the Advisers Act on behalf of the Partnership. Nothing contained in this Agreement shall constitute a waiver by any Partner of any of its legal rights under applicable U.S. federal securities laws or any other laws whose applicability is not permitted to be contractually waived.
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Investment Advisers Act of 1940. Notwithstanding anything herein to the contrary, to the extent required by the Investment Advisers Act of 1940 or applicable state law, (i) no Incentive Allocation will be made from the Capital Account of any Limited Partner not eligible for such allocation, (ii) the General Partner will not assign this Agreement without the Partnership's consent, and
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Related to Investment Advisers Act of 1940

  • Margin Regulations; Investment Company Act (a) The Borrower is not engaged and will not engage, principally or as one of its important activities, in the business of purchasing or carrying margin stock (within the meaning of Regulation U issued by the FRB), or extending credit for the purpose of purchasing or carrying margin stock.

  • Investment Company Act The Company will conduct its affairs in such a manner so as to reasonably ensure that neither it nor its subsidiaries will be or become, at any time prior to the termination of this Agreement, an “investment company,” as such term is defined in the Investment Company Act, assuming no change in the Commission’s current interpretation as to entities that are not considered an investment company.

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