Investment Management Services definition

Investment Management Services means any services which involve: (i) the management of an investment account or Fund (or portions thereof or a group of investment accounts or Funds); (ii) the giving of advice with respect to the investment and/or reinvestment of assets or funds (or any group of assets or funds); or (iii) otherwise acting as an “investment adviser” within the meaning of the Investment Advisers Act of 1940, as amended, including, without limitation, in each of the foregoing cases, performing activities related or incidental thereto.

Investment Management Services means any services which involve (a) the management of an investment account or fund (or portions thereof or a group of investment accounts or funds), or (b) the giving of advice with respect to the investment and/or reinvestment of assets or funds (or any group of assets or funds), and activities related or incidental thereto.

Investment Management Services means any services which involve (a) the ------------------------------ management, for a fee or other remuneration, of an investment account or fund (or portions thereof or a group of investment accounts or funds), or (b) the giving of advice, for a fee or other remuneration, with respect to the investment of specific assets or funds (or any specific group of assets or funds). Notwithstanding the foregoing, it is intended that Investment Management Services shall not include the giving of general investment advice that is not related to an identifiable investment account or fund (or group of investment accounts or funds) for which the advisor receives no remuneration.

Examples of Investment Management Services in a sentence

• Since January 1, 2019, the Seller has rendered Investment Management Services to the Newbury Funds in material compliance with applicable Law, the applicable Fund Document(s) and each other applicable Contract relating to the rendering of Investment Management Services and any other written instructions from such client, in each case as in effect at the time.

• Except as set forth on Schedule 3.20(a) of the Disclosure Letter, the Seller does not provide Investment Management Services to any other Person than the Newbury Funds, and no Newbury Fund has an investment adviser (including in the capacity of primary adviser, sub-adviser or any other advisory role), general partner, managing member, sole stockholder or equivalent Person other than the Seller and the Newbury Fund Upper-Tier Entities, as applicable.

• The Seller does not act as investment adviser to any “client” (within the meaning of the Advisers Act), otherwise act as a general partner, managing member or sponsor to any pooled investment vehicle or otherwise provide investment advisory or Investment Management Services to any Person, in each case other than to the Newbury Funds.

• The Seller has provided to the Buyer prior to the date hereof true and complete copies of each Contract relating to the rendering of Investment Management Services.

• For the avoidance of doubt, amounts paid to Prudential Investment Management Services LLC (“PIMS”) shall not be deemed to violate this paragraph.

More Definitions of Investment Management Services

Investment Management Services means any services that involve (a) the management of a Company Account (or portions thereof or a group of investment accounts or Company Funds) for compensation, (b) the giving of advice with respect to the investment and/or reinvestment of assets or Company Funds (or any group of assets or Company Funds) for compensation or (c) otherwise acting as an “investment adviser” within the meaning of the Investment Advisers Act or analogous foreign Law, and performing activities related or incidental thereto.

Investment Management Services means investment management or investment advisory services, including sub-advisory services, administrative services, underwriting, distribution or marketing services or any other services related to the provision of investment management or investment advisory services including any similar services deemed to be “investment advice” pursuant to the Advisers Act.

Investment Management Services means any services (including sub-advisory services) that involve (a) the management of an investment account or fund (or portions thereof), or a group of investment accounts or funds, of any Person for compensation or (b) the rendering of advice with respect to the investment and reinvestment of assets or funds (or any group of assets or funds) of any Person for compensation (but excluding the rendering of such advice to any subsequent employer of Employee that is not in the business of managing investment accounts or funds or rendering advice to or for the benefit of third parties with respect to investment or reinvestment of assets or funds, where such advice is rendered solely for such employer’s own proprietary use and the only compensation received by Employee is in the form of salary, wages or bonus paid by such employer), and, in the case of both (a) and (b), performing activities related or incidental thereto.

Investment Management Services means investment research,

Investment Management Services means advising with respect to and/or supervising the purchase or sale of “securities” or other investments for a “client” by a “registered investment adviser” or “associated person” pursuant to an “investment management contract”.

Investment Management Services means providing a substantial

Investment Management Services means managing the collective assets of a collective investment fund by engaging, either directly or indirectly through such person's affiliated group, in all of the following activities: (i) Portfolio management; (ii) fund administration; (iii) fund distribution; and (iv) transfer agent services.