Registered Adviser definition
Examples of Registered Adviser in a sentence
Except as would not, individually or in the aggregate, reasonably be expected to have a material negative impact on the Company and its Subsidiaries, taken as a whole, each Registered Adviser has adopted a written compliance program regarding such Registered Adviser’s satisfaction of the requirements of Rule 206(4)-7 under the Advisers Act.
Each Registered Adviser has adopted a written policy regarding ▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇ and a code of ethics, which complies in all material respects with all applicable provisions of the Advisers Act (including with respect to ▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇ and personal trading under Section 204A thereof and Rule 204A-1 thereunder), copies of which have been made available to Parent.
The Company has delivered to the Parent true and complete copies of the most recent Form ADV (including Part II) of each Registered Adviser, as amended to date, and any other applicable foreign and domestic registration forms, likewise as amended to date.
The Company has made available to Parent true and complete copies of the Form ADV (including Parts 2A, 2B and 3 thereof) of each Registered Adviser since January 1, 2020 through the date hereof, to the extent such Registered Adviser Regulatory Filings are not publicly available.
For Funds that permit redemptions, such Notice shall be sent (or caused to be sent) by the Non-SEC Registered Adviser within a time period that provides the Investors of such Fund with reasonable opportunity to request a redemption as of a date on or before the Initial Closing Date.
Each SEC Registered Adviser has delivered and/or made available to each Client or any other Person to whom such delivery or offer is required by Applicable Law Part II of Form ADV or any other disclosure document or other information required by the Advisers Act to be delivered and/or made available to any Client, potential Client or other Person to the extent required by the Advisers Act or other Applicable Law.
There are no third-party financial advisors, including any sponsor of a wrap program, for whom a Registered Adviser has agreed in writing to provide investment advisory services in connection with the provision of investment advisory services, by the Registered Adviser or such third party, to any Advisory Client.
Each Selling Registered Adviser has filed all material amendments required to be filed to its Form ADV.
Each Selling Registered Adviser has delivered to the Purchaser a true and complete copy of its Form ADV, as amended to date, filed by Selling Registered Adviser with the SEC, copies of all state notice filing forms, likewise as amended to date, and copies of all current reports required to be kept by Selling Registered Adviser pursuant to the Advisers Act.
There are no agreements by a Registered Adviser to rebate or reduce fees or expenses or to reimburse any or all fees of, or to reduce or rebate a performance allocation or provide preferential rights, preferential or “most favored client” treatment for, any such Advisory Client, except as would not be material and adverse to the Company and its Subsidiaries, taken as a whole, or any of the Registered Advisers individually.