Investment Company Act definition: Copy, customize, and use instantly
Introduction
The term "Investment Company Act" refers to the Investment Company Act of 1940, a U.S. federal law that regulates the organization, operation, and oversight of investment companies, including mutual funds, closed-end funds, and exchange-traded funds (ETFs). The Act aims to protect investors by imposing strict disclosure, compliance, and fiduciary requirements on investment companies and their managers.
Below are various examples of how "Investment Company Act" can be defined in different contexts. Copy the one that fits your needs, customize it, and use it in your contract.
Definition of "Investment Company Act" in mutual fund agreements
This definition ties "Investment Company Act" to fund operations.
"Investment Company Act" refers to the Investment Company Act of 1940, as amended, which governs the registration, regulation, and operations of mutual funds and other investment companies in the United States.
Definition of "Investment Company Act" in private fund exemptions
This definition connects "Investment Company Act" to regulatory exclusions.
"Investment Company Act" means the Investment Company Act of 1940, as amended, and its provisions that provide exemptions for private investment funds from registration requirements.
Definition of "Investment Company Act" in investment adviser agreements
This definition links "Investment Company Act" to fiduciary duties.
"Investment Company Act" includes the Investment Company Act of 1940, as amended, which establishes fiduciary obligations and compliance standards for investment advisers managing regulated funds.
Definition of "Investment Company Act" in ETF prospectuses
This definition applies "Investment Company Act" to disclosure obligations.
"Investment Company Act" refers to the Investment Company Act of 1940, as amended, which mandates the preparation and filing of prospectuses, financial statements, and other disclosures for ETFs.
Definition of "Investment Company Act" in closed-end fund agreements
This definition ties "Investment Company Act" to non-redeemable funds.
"Investment Company Act" means the Investment Company Act of 1940, as amended, which governs the registration, regulation, and operations of closed-end investment funds in the United States.
Definition of "Investment Company Act" in hedge fund documentation
This definition connects "Investment Company Act" to exemption provisions.
"Investment Company Act" refers to the Investment Company Act of 1940, as amended, including its provisions that exempt certain hedge funds from registration requirements.
Definition of "Investment Company Act" in fund administration agreements
This definition links "Investment Company Act" to operational compliance.
"Investment Company Act" includes the Investment Company Act of 1940, as amended, which establishes operational, reporting, and compliance standards for investment companies and their administrators.
Definition of "Investment Company Act" in securities regulation
This definition ties "Investment Company Act" to investor protections.
"Investment Company Act" means the Investment Company Act of 1940, as amended, which regulates the structure, operations, and disclosures of investment companies to ensure investor protections.
Definition of "Investment Company Act" in business development companies
This definition connects "Investment Company Act" to BDCs.
"Investment Company Act" refers to the Investment Company Act of 1940, as amended, which governs business development companies (BDCs) and establishes rules for their registration and compliance.
Definition of "Investment Company Act" in fund distribution agreements
This definition links "Investment Company Act" to marketing activities.
"Investment Company Act" includes the Investment Company Act of 1940, as amended, which regulates the distribution and marketing of shares in registered investment companies.
Definition of "Investment Company Act" in financial reporting
This definition ties "Investment Company Act" to disclosure requirements.
"Investment Company Act" means the Investment Company Act of 1940, as amended, which mandates financial reporting and transparency requirements for registered investment companies.
Definition of "Investment Company Act" in governance documents
This definition connects "Investment Company Act" to board oversight.
"Investment Company Act" refers to the Investment Company Act of 1940, as amended, which imposes governance standards, including board composition and oversight, for registered investment companies.
Definition of "Investment Company Act" in fund merger agreements
This definition links "Investment Company Act" to consolidation.
"Investment Company Act" includes the Investment Company Act of 1940, as amended, which governs the merger, consolidation, or reorganization of investment companies under regulatory approval.
Definition of "Investment Company Act" in interval funds
This definition ties "Investment Company Act" to redemption structures.
"Investment Company Act" means the Investment Company Act of 1940, as amended, which provides regulatory guidance for interval funds, including their redemption policies and operational compliance.
Definition of "Investment Company Act" in compliance audits
This definition connects "Investment Company Act" to regulatory inspections.
"Investment Company Act" refers to the Investment Company Act of 1940, as amended, which sets standards for compliance audits and regulatory reviews of investment companies.
Definition of "Investment Company Act" in fund-of-funds agreements
This definition links "Investment Company Act" to layered investments.
"Investment Company Act" includes the Investment Company Act of 1940, as amended, which governs the operations and compliance of funds investing in other investment companies.
Definition of "Investment Company Act" in international fund operations
This definition ties "Investment Company Act" to cross-border compliance.
"Investment Company Act" means the Investment Company Act of 1940, as amended, which provides guidelines for U.S.-based investment companies operating in international markets.
Definition of "Investment Company Act" in investor disclosures
This definition connects "Investment Company Act" to transparency.
"Investment Company Act" refers to the Investment Company Act of 1940, as amended, which mandates specific disclosures to investors regarding fees, risks, and fund objectives.
Definition of "Investment Company Act" in liquidity management
This definition links "Investment Company Act" to asset availability.
"Investment Company Act" includes the Investment Company Act of 1940, as amended, which establishes rules for liquidity management and portfolio diversification in investment companies.
Definition of "Investment Company Act" in custody agreements
This definition ties "Investment Company Act" to asset protection.
"Investment Company Act" means the Investment Company Act of 1940, as amended, which governs the custody and safekeeping of assets held by registered investment companies.
Definition of "Investment Company Act" in fund advisory contracts
This definition connects "Investment Company Act" to adviser obligations.
"Investment Company Act" refers to the Investment Company Act of 1940, as amended, which imposes fiduciary and disclosure obligations on advisers to investment companies.
Definition of "Investment Company Act" in transfer agency services
This definition links "Investment Company Act" to shareholder records.
"Investment Company Act" includes the Investment Company Act of 1940, as amended, which governs the operations and compliance of transfer agents maintaining shareholder records for investment companies.
Definition of "Investment Company Act" in regulatory filings
This definition ties "Investment Company Act" to SEC submissions.
"Investment Company Act" means the Investment Company Act of 1940, as amended, which requires the filing of registration statements, prospectuses, and other disclosures with the Securities and Exchange Commission (SEC).
Definition of "Investment Company Act" in fund termination agreements
This definition connects "Investment Company Act" to dissolution processes.
"Investment Company Act" refers to the Investment Company Act of 1940, as amended, which regulates the termination and liquidation of registered investment companies, ensuring compliance with investor protections.
Definition of "Investment Company Act" in risk management policies
This definition ties "Investment Company Act" to compliance oversight.
"Investment Company Act" means the Investment Company Act of 1940, as amended, which establishes guidelines for risk management practices and compliance programs in registered investment companies.
Definition of "Investment Company Act" in fund restructuring agreements
This definition connects "Investment Company Act" to organizational changes.
"Investment Company Act" refers to the Investment Company Act of 1940, as amended, which governs the restructuring or reorganization of investment companies, including changes in fund structure or operations.
Definition of "Investment Company Act" in exchange-traded funds (ETFs)
This definition links "Investment Company Act" to market-traded funds.
"Investment Company Act" includes the Investment Company Act of 1940, as amended, which regulates the operations, compliance, and disclosure requirements for exchange-traded funds (ETFs).
Definition of "Investment Company Act" in institutional investment agreements
This definition ties "Investment Company Act" to large-scale investors.
"Investment Company Act" means the Investment Company Act of 1940, as amended, which provides a regulatory framework for institutional investors managing or investing in regulated funds.
Definition of "Investment Company Act" in derivative usage policies
This definition connects "Investment Company Act" to financial instruments.
"Investment Company Act" refers to the Investment Company Act of 1940, as amended, which outlines the conditions under which investment companies may use derivatives or leverage.
Definition of "Investment Company Act" in proxy voting agreements
This definition links "Investment Company Act" to shareholder rights.
"Investment Company Act" includes the Investment Company Act of 1940, as amended, which establishes rules for proxy voting and other shareholder rights within registered investment companies.
Definition of "Investment Company Act" in alternative investment strategies
This definition ties "Investment Company Act" to non-traditional funds.
"Investment Company Act" means the Investment Company Act of 1940, as amended, which sets standards for the regulation and operation of alternative investment vehicles offered by registered funds.
Definition of "Investment Company Act" in joint account agreements
This definition connects "Investment Company Act" to co-investment structures.
"Investment Company Act" refers to the Investment Company Act of 1940, as amended, which governs joint accounts or co-investment arrangements between registered investment companies.
Definition of "Investment Company Act" in leveraged fund structures
This definition links "Investment Company Act" to borrowing rules.
"Investment Company Act" includes the Investment Company Act of 1940, as amended, which sets limits on borrowing and leverage for registered investment companies.
Definition of "Investment Company Act" in compliance reporting
This definition ties "Investment Company Act" to oversight documentation.
"Investment Company Act" means the Investment Company Act of 1940, as amended, which mandates compliance reporting and record-keeping standards for investment companies.
Definition of "Investment Company Act" in board fiduciary duties
This definition connects "Investment Company Act" to governance.
"Investment Company Act" refers to the Investment Company Act of 1940, as amended, which defines the fiduciary duties and responsibilities of the boards governing registered investment companies.
Definition of "Investment Company Act" in capital structure regulation
This definition links "Investment Company Act" to fund capitalization.
"Investment Company Act" includes the Investment Company Act of 1940, as amended, which regulates the capital structure and permissible securities issuances by investment companies.
Definition of "Investment Company Act" in tax-advantaged funds
This definition ties "Investment Company Act" to tax compliance.
"Investment Company Act" means the Investment Company Act of 1940, as amended, which governs the tax-exempt status and compliance requirements for regulated investment companies.
Definition of "Investment Company Act" in expense allocation policies
This definition connects "Investment Company Act" to cost management.
"Investment Company Act" refers to the Investment Company Act of 1940, as amended, which establishes rules for expense allocation and cost-sharing arrangements within investment companies.
Definition of "Investment Company Act" in redemption rights agreements
This definition links "Investment Company Act" to investor liquidity.
"Investment Company Act" includes the Investment Company Act of 1940, as amended, which regulates the redemption rights and processes for shareholders in open-end investment companies.
Definition of "Investment Company Act" in cross-border fund agreements
This definition ties "Investment Company Act" to global operations.
"Investment Company Act" means the Investment Company Act of 1940, as amended, which applies to U.S.-registered investment companies operating in cross-border or international markets.
Definition of "Investment Company Act" in socially responsible funds
This definition connects "Investment Company Act" to ESG compliance.
"Investment Company Act" refers to the Investment Company Act of 1940, as amended, which governs the operations and disclosures of funds focusing on socially responsible or environmental, social, and governance (ESG) investments.
Definition of "Investment Company Act" in fee structures
This definition links "Investment Company Act" to fund costs.
"Investment Company Act" includes the Investment Company Act of 1940, as amended, which regulates the fee structures and expense ratios for registered investment companies.
Definition of "Investment Company Act" in performance reporting
This definition ties "Investment Company Act" to transparency.
"Investment Company Act" means the Investment Company Act of 1940, as amended, which mandates performance reporting and disclosure standards for investment companies.
Definition of "Investment Company Act" in custodial services
This definition connects "Investment Company Act" to asset security.
"Investment Company Act" refers to the Investment Company Act of 1940, as amended, which establishes standards for the custody and safekeeping of assets held by registered investment companies.
This article contains general legal information and does not contain legal advice. Cobrief is not a law firm or a substitute for an attorney or law firm. The law is complex and changes often. For legal advice, please ask a lawyer.