Investment Company Client definition

Investment Company Client means any Investment Company (or series thereof ) as to which the Firm is an investment adviser or investment sub-adviser.
Investment Company Client means any registered Investment Company managed, advised and/or sub-advised by the Firm.

Examples of Investment Company Client in a sentence

  • A trustee of an open-end or closed-end fund which is an Investment Company Client who is not an “interested person” of the open-end or closed-end fund within the meaning of Section 2(a)(19) of the 1940 Act.

  • Independent Trustees of an Investment Company Client who are subject to a separate code of ethics adopted by that Investment Company Client (that is not the same as the form of this Code), which code complies with the requirements of Section 17 and Rule 17j-1 of the 1940 Act, shall not be subject to compliance with the terms of this Code with respect to that Investment Company Client.

  • A director of the Adviser who would not be an “interested person” of the Adviser or any Investment Company Client within the meaning of Section 2(a)(19) of the 1940 Act and who does not have day-to-day involvement with the operations of the Adviser or any Investment Company Client.

  • The Code does not attempt to identify all possible conflicts of interest, and literal compliance with the Code will not shield Access Persons from liability for personal trading or other conduct that violates a fiduciary duty owed to an Investment Company Client.

  • Any Access Person who, in connection with his or her regular functions or duties, makes or participates in making recommendations regarding the purchase or sale of securities for a client, and (2) any natural person who controls an Investment Company Client or Claymore and who obtains information concerning recommendations made to a client regarding the purchase or sale of securities by the client.


More Definitions of Investment Company Client

Investment Company Client means any registered Investment Company managed, advised and/or subadvised by the Adviser.
Investment Company Client means an Investment Company (or any series or portion thereof) as to which the Firm is an investment adviser or investment subadviser.
Investment Company Client means any Investment Company (or series thereof) as to which TIM is an investment adviser or investment sub-adviser.
Investment Company Client means any registered investment company managed, advised and/or subadvised by the Adviser.
Investment Company Client means any Investment Company (or series thereof ) as to which the Firm is an investment adviser or investment sub-adviser. Thornburg Investment Management, Inc. Policies and Procedures Manualrevised and re-adopted March 1, 2011