Advisers Act definition
Examples of Advisers Act in a sentence
The Investment Adviser agrees that this Section 6 does not constitute a waiver by the Fund of the obligations imposed upon the Investment Adviser to comply with Sections 17(d) and 17(j) of the 1940 Act, and the rules thereunder, nor constitute a waiver by the Fund of the obligations imposed upon the Investment Adviser under Section 206 of the Investment Advisers Act of 1940 and the rules thereunder.
None of Parent, any of its Affiliates nor, to the knowledge of Parent, “persons associated with” (as defined in the Investment Advisers Act), Parent or any of its Affiliates is ineligible pursuant to Section 203(e) or 203(f) of the Investment Advisers Act to serve as a registered investment adviser or as a person associated with a registered investment adviser or is an ineligible person under Advisers Act Rule 206(4)-1.
In addition, Adviser and Sub-Adviser further warrant and represent that neither is (nor any of their respective Associated Persons are) subject to any statutory disqualification set forth in Sections 203(e) and 203(f) of the Advisers Act (or any successor Advisers Act sections or rules), nor are they currently the subject of any investigation or proceeding which could result in statutory disqualification.
In all matters relating to the performance of this Agreement, the Adviser will act in conformity with the Trust’s Trust Instrument, By-Laws and Registration Statement and with all written guidelines, policies and procedures adopted by the Trust and applicable to each Fund and will comply with the requirements of the 1940 Act, the Advisers Act and the rules under each, and all other applicable federal and state laws and regulations.
The Investment Adviser is registered under the Investment Advisers Act of 1940, as amended, and is engaged in the business of providing investment advisory and related services to the Fund and to other investment companies.