Registered Investment Advisor. Vendor hereby represents that it is, and for so long as this Agreement is in force shall remain, a registered investment advisor under the Investment Advisors Act of 1940 as amended and that it has completed, obtained and performed all registrations, filings, approvals, authorizations, consents or examinations required by any governmental authority for its services contemplated by this Agreement. Vendor shall immediately notify LACERA if at any time during the term of this Agreement it is not so registered or if its registration is suspended.
Registered Investment Advisor. Consultant hereby represents that it is, and for so long as this Agreement is in force shall remain, a registered investment advisor under the Investment Advisors Act of 1940 as amended and that it has completed, obtained and performed all registrations, filings, approvals, authorizations, consents or examinations required by any governmental authority for its services contemplated by this Agreement. Consultant shall immediately notify LACERA if at any time during the term of this Agreement it is not so registered or if its registration is suspended.
Registered Investment Advisor. Manager hereby represents that it is a registered investment advisor under the Investment Advisers Act of 1940, and that it has completed, obtained, and performed all registrations, filings, approvals, authorizations, consents, or examinations required by any governmental authority for its services contemplated by this Agreement. Manager shall immediately notify LACERA if at any time during the term of this Agreement it is not so registered or if its registration is suspended.
Registered Investment Advisor. Manager hereby represents that it is a registered investment advisor under the Investment Advisers Act of 1940, and that it has completed, obtained, and performed all registrations, filings, approvals, authorizations, consents, or examinations required by any governmental authority for its services contemplated by this Agreement. Manager shall immediately notify LACERA if at any time during the term of this Agreement it is not so registered or if its registration is suspended. Investment Manager Manager hereby represents that it is an “Investment Manager”, as that term is defined in Section 3(38) of the Employee Retirement Income Security Act of 1974, as amended, for LACERA with respect to the Managed Assets allocated to Manager for investment, and that Manager will maintain that status as long as this Agreement is in effect. Manager’s Agents The Agents of Manager who will be responsible for performing under this Agreement are individuals experienced in the performance of the various functions contemplated by this Agreement and have not been convicted of any felony, found liable in a civil or administrative proceeding, pleaded no contest, or agreed to any consent decree with respect to any matter involving breach of trust, breach of fiduciary duty, fraud, securities law violations, or bankruptcy law violations. Disclosure Statement Manager warrants that it has delivered to LACERA, at least five (5) business days prior to the execution of this Agreement, Manager’s current Disclosure Statement, unless it is exempt from such requirement, in which case Manager has provided LACERA with a letter from its counsel explaining the basis for such exemption. During the term of this Agreement, Manager agrees to provide LACERA with a copy of each Disclosure Statement it files with the SEC, within ten (10) days of filing. Certification Regarding Financial Contacts and Solicitations Manager represents that during the twelve (12) months preceding the effective date of this Agreement, no member of the LACERA Boards or key staff of the Boards or any elected or appointed official of Los Angeles County, or any person claiming to represent or have influence with either Board or with any member of the Boards contacted Manager with respect to a financial transaction or solicitation which was not solely on behalf of XXXXXX’s business with Manager. In addition, Manager shall immediately advise LACERA if any member of the LACERA Boards or key staff of the Boards (as such Board membe...
Registered Investment Advisor. Tectonic is and shall remain at all times during the Term of this Agreement registered as an investment adviser with the SEC.
Registered Investment Advisor. Investment Manager meets all qualifications set forth in the Guidelines to act as an investment advisor to the Plan and further Investment Manager meets all qualifications required of investment advisors by law, including but not limited to, the Investment Company Act of 1940, as amended, the Advisers Act, as amended, and 15 U.S.C. §§ 80b-1 et seq., as amended; and it has completed, obtained and performed all registrations, filings, approvals, authorizations, consents, and examinations required by any governmental authority for its services contemplated by this Agreement. Investment Manager shall immediately notify the Plan if at any time during the term of this Agreement it is not so registered or if its registration is suspended.
Registered Investment Advisor. The Trust Administrator hereby represents that it is a registered investment advisor under the Investment Advisers Act of 1940. The Trust Administrator shall immediately notify every Employer and the Trustee if at any time during the term of this Agreement it is not so registered or if its registration is suspended. The Trust Administrator agrees to perform its duties and responsibilities under this Agreement with reasonable care as provided by law. The federal securities laws impose liabilities under certain circumstances on persons who are required to act in good faith. Nothing in this Agreement shall in any way constitute a waiver or limitation of any rights which the Employers, the Trust Administrator, or the Trustee may have under any federal securities laws.
Registered Investment Advisor. The Company’s wholly-owned Subsidiary, Institutional Shareholder Services Inc. (“ISS”), is duly registered with the SEC as an investment adviser and is an investment adviser notice filer in the States of Maryland, New York and Illinois and in the District of Columbia. ISS has no investment adviser representatives, as such term is defined in Rule 203A-3(a) under the Investment Advisers Act of 1940 (“Advisers Act”). ISS has delivered or made available to RMG a true and complete copy of its most recent Form ADV, as amended to date. The information contained in such form was true and complete, in all material respects, at the time of filing and ISS has made all amendments to such form as it is required to make under the Advisers Act. The information contained in such recent Form ADV, as amended to date, is true and complete on the date hereof, in all material respects.
Registered Investment Advisor. Xxxx Xxxxxxx is and shall remain at all times during the term of this Agreement registered as an investment adviser with the US Securities and Exchange Commission (the “SEC”).
Registered Investment Advisor. Each Subsidiary of the Buyer that will serve as an investment advisor to the Buyer Funds or Advisory Accounts post-Closing, is registered as an investment adviser under the Investment Advisers Act. The Buyer and its Affiliates have not received any written notice by any state in which registration is required to conduct their advisory business or the Buyer Funds that any such registration is, is to be, or will be restricted or terminated.
