regulated investment companies definition

regulated investment companies. (as defined in Section 851 of the Code), all as from time to time in effect (collectively, the "Policies"), and with all applicable provisions of law, including without limitation all applicable provisions of the Investment Company Act of 1940 (the "1940 Act") and the rules and regulations thereunder. Subject to the foregoing, the Sub-Adviser is authorized, in its discretion and without prior consultation with the Manager, to buy, sell, lend and otherwise trade in any stocks, bonds and other securities and investment instruments on behalf of the Series, without regard to the length of time the securities have been held and the resulting rate of portfolio turnover or any tax considerations; and the majority or the whole of the Series may be invested in such proportions of stocks, bonds, other securities or investment instruments, or cash, as the Sub-Adviser shall determine.
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regulated investment companies. (as defined in Section 851 of the Code), as amended from time to time. In accordance with Section VII, Sub-Adviser shall arrange for the execution of all orders for the purchase and sale of securities and other investments for the Portfolio's account and will exercise full discretion and act for the Fund in the same manner and with the same force and effect as the Fund might or could do with respect to such purchases, sales, or other transactions, as well as with respect to all other things necessary or incidental to the furtherance or conduct of such purchases, sales, or other transactions, including without limitation, management of cash balances in the Portfolio.
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regulated investment companies. (as defined in Section 851 of the Code), applicable provisions of Section 817(h) of the Code, and with all applicable laws governing such Portfolio's operations and investments including without limitation the 1940 Act, and rules adopted thereunder and applicable federal and state securities laws. Investment Manager acknowledges that JCM has authority to trade every day the market is open. JCM makes no representation or warranty, express or implied, that any level of performance or investment results will be achieved by the Portfolio or that the Portfolio will perform comparably with any standard or index, including other clients of JCM, whether public or private. JCM acknowledges that the Investment Manager has the right to instruct JCM to effect any transaction necessary to ensure compliance with the Portfolio's investment policies and restrictions as well as the requirements of Subchapter M of the Code and the provisions of Section 817(h) of the Code and the regulations promulgated thereunder.
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More Definitions of regulated investment companies

regulated investment companies means any regulated investment company or companies within the meaning of Section 851(a) of the Code or any series issued by such company which has an investment advisory agreement and/or a distribution agreement with the sponsor, or any of its affiliated or associated companies and which has agreed to offer shares for use as funding vehicles for the Account. If the investment instructions provided by the Employee/Participant to the Custodian are not received by the Custodian or are, in the opinion of the Custodian, ambiguous, the Custodian may hold or return all or a portion of the contribution uninvested without liability for loss of income or appreciation, without liability for interest, dividends or any other gain whatsoever, pending receipt of proper instructions or clarification. The Custodian shall advise the Employee/Participant of the form and manner in which investment instructions must be given.
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regulated investment companies. (as defined in Section 851 of the Code), all as from time to time in effect (collectively, the "Policies"), and with all applicable provisions of law, including without limitation all applicable provisions of the Investment Company Act of 1940 (the "1940 Act") and the rules and
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regulated investment companies. (as defined in Section 851 of the Code), all as from time to time in effect, and (d) all applicable federal and state laws governing such Series' operations and investments, including, without limitation, the provisions of the Act and rules adopted thereunder and applicable federal and state securities, tax and banking laws. For purposes of compliance with the foregoing, the Subadviser shall be entitled to treat each such portion of the assets of each such Series set forth in Schedule A managed by the Subadviser as though such portion of the assets constituted the entire Series, and the Subadviser shall not be responsible in any way for the compliance of any assets of the Series, other than such portion of the assets of such Series managed by the Subadviser, with any of the foregoing or for the compliance of the Series, taken as a whole, with any of the foregoing. The Subadviser further represents and warrants that to the extent that any statements or omissions made in any Registration Statement for shares of the Corporation, or any amendment or supplement thereto, are made in reliance upon and in conformity with information furnished in writing by the Subadviser expressly for use therein, such parts of such Registration Statement and any amendments or supplements thereto consisting of such statements or omissions will, when they become effective, conform in all material respects to the requirements of the Securities Act of 1933 and the rules and regulation thereunder (the "1933 Act") and the Act and will not contain any untrue statement of a material fact or fail to state any material fact required to be stated therein or necessary to make the statements therein not misleading. The Subadviser accepts such employment and agrees, at its own expense, to render the services set forth herein and to provide the office space, furnishings, equipment and personnel required by it to perform such services on the terms and for the compensation provided in this Agreement. Except for expenses specifically assumed or agreed to be paid by the Subadviser pursuant hereto, the Subadviser shall not be liable for any organizational, operational or business expenses of the Adviser or the Corporation, including without limitation, brokerage commissions and other costs in connection with the purchase or sale of securities or other investment instruments with respect to the Series.
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Related to regulated investment companies

  • Regulated investment company has the meaning set forth in Section 851 of the Code.

  • U.S. Investment Company Act means the United States Investment Company Act of 1940, as amended;

  • Investment Company Act means the Investment Company Act of 1940, as amended.

  • Registered Investment Company means any one or more corporations, partnerships or trusts registered under the Investment Company Act of 1940 for which Fidelity Management and Research Company serves as investment advisor.

  • Investment Company Client means any Investment Company (or series thereof ) as to which the Firm is an investment adviser or investment sub-adviser.

  • Family of Investment Companies as used herein means two or more registered investment companies (or series thereof) that have the same investment adviser or investment advisers that are affiliated (by virtue of being majority owned subsidiaries of the same parent or because one investment adviser is a majority owned subsidiary of the other).

  • Approved Investment means any type of investment permitted for Cash Collateral under the Securities Lending Guidelines.

  • Investment Company Act Event means that the Company shall have received an Opinion of Counsel to the effect that, as a result of the occurrence of a change in law or regulation or a written change in interpretation or application of law or regulation by any legislative body, court, governmental agency or regulatory authority, there is more than an insubstantial risk that the Securities Trust is or will be considered an "investment company" that is required to be registered under the Investment Company Act of 1940, as amended, which change becomes effective on or after the Original Issue Date.

  • Restricted Investment means an Investment other than a Permitted Investment.

  • Investment Canada Act means the Investment Canada Act (Canada).

  • Investment Entity means any Entity that conducts as a business (or is managed by an entity that conducts as a business) one or more of the following activities or operations for or on behalf of a customer:

  • Investment Client means (i) any investment company registered as such under the Investment Company Act, any series thereof, or any component of such series for which the Adviser acts as investment adviser; or (ii) any private account for which the Adviser acts as investment adviser.

  • Prohibited Investment means Property (other than prescribed excluded Property as that term is defined in the Tax Act) that is:

  • Investment Company means an investment company as defined in the Investment Company Act.

  • Investment Company Event means the receipt by the Debenture Issuer and the Trust of an opinion of counsel experienced in such matters to the effect that, as a result of the occurrence of a change in law or regulation or written change (including any announced prospective change) in interpretation or application of law or regulation by any legislative body, court, governmental agency or regulatory authority, there is more than an insubstantial risk that the Trust is or, within 90 days of the date of such opinion, will be considered an Investment Company that is required to be registered under the Investment Company Act which change or prospective change becomes effective or would become effective, as the case may be, on or after the date of the issuance of the Debentures.

  • Widely Held Fixed Investment Trust as that term is defined in Treasury Regulations section 1.671-5(b)(22) or successor provisions.

  • Asset Management Company means an asset Management Company as defined in the Rules and Regulations.

  • Investment Club means a group of individuals who combine their funds for the purpose of making investments and advancing their investment education.

  • Permitted Investment means an Investment by the Company or any Restricted Subsidiary in:

  • Restricted Investments means all Investments except the following:

  • UCITS management company means a management company as defined in Directive 2009/65/EC of the European Parliament and of the Council of 13 July 2009 on the coordination of laws, regulations and administrative provisions relating to undertakings for collective investment in transferable securities (UCITS)1;

  • Investment Company Act of 1940 means the Investment Company Act of 1940, as amended, and the rules and regulations thereunder.

  • Qualified investment has the meaning set forth in Section 313.021(1) of the TEXAS TAX CODE, as interpreted by the Comptroller’s Rules.

  • Asset Management Company/UTI AMC/AMC/Investment Manager means the UTI Asset Management Company Limited incorporated under the Companies Act, 1956, (1 of 1956) [replaced by The Companies Act, 2013 (No.18 of 2013)] and approved as such by Securities and Exchange Board of India (SEBI) under sub-regulation (2) of Regulation 21 to act as the Investment Manager to the schemes of UTI Mutual Fund.

  • Qualified Investments means any and all securities, obligations or accounts in which municipalities may invest their funds under applicable Maine law.