ADDITIONAL INVESTMENT RESTRICTIONS Clause Samples

The "Additional Investment Restrictions" clause sets out specific limitations or conditions on how and where investments can be made under an agreement. This may include prohibiting investments in certain industries, geographic regions, or asset classes, or imposing caps on the amount that can be allocated to particular types of investments. By clearly defining these boundaries, the clause helps ensure that investments align with the parties' risk tolerance, regulatory requirements, or ethical considerations, thereby reducing the risk of disputes and maintaining compliance with agreed-upon investment strategies.
ADDITIONAL INVESTMENT RESTRICTIONS. The Sub-Advisor must comply with the following Additional Investment Restrictions unless it requests an exception and receives written consent from the Advisor or the Board of Directors of the Fund. To the extent that these Additional Investment Restrictions conflict with the Fundamental Investment Policies, the Additional Investment Restrictions shall govern. A. The Sub-Advisor should generally conform to these issuer guidelines with exceptions noted at the time of purchase and variances reviewed annually with the Board of Directors of the Fund. 1. A minimum market capitalization of one billion dollars ($1,000,000,000) at the time of purchase. 2. Audited financial statements for at least three (3) years of operation. 3. Fifty million dollars ($50,000,000) or more in stockholders equity. B. Lending of securities will not be permitted. C. The Fund will not invest in the securities of tobacco-producing companies. D. InvesTrust, N.A., or another custodian chosen by the Advisor, shall be the Custodian of all Investment Assets placed with the Sub-Advisor. The Sub-Advisor must ensure that duplicate brokerage confirmations of all transactions are sent to the Custodian and the Advisor. E. All money market funds used by the Sub-Advisor for a portion of Investment Assets placed with the Sub-Advisor must be approved in advance by the Advisor. F. The money market funds (cash) used by the Sub-Advisor for a portion of Investment Assets must have a balance at all times equal to at least one percent (1.0%), but not more than three percent (3.0%), of the market value of Investment Assets placed with the Sub-Advisor. G. All brokers used by the Sub-Advisor to execute transactions for the Fund must have a commercial paper rating of A1/P1 by Moody’s and Standard & Poor’s unless approved in advance by the Advisor.
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ADDITIONAL INVESTMENT RESTRICTIONS. The Sub-Advisor must comply with the Additional Investment Restrictions set forth below. To the extent that these Additional Investment Restrictions conflict with the Fundamental Investment Policies, the Additional Investment Restrictions shall govern. A. The Sub-Advisor shall conform to the following issuer guidelines at the time of purchase: 1. A minimum market capitalization of one billion dollars ($1,000,000,000). 2. Audited financial statements for at least three (3) years of operation. 3. Fifty million dollars ($50,000,000) or more in stockholders equity. B. Lending of securities will not be permitted. C. InvesTrust, N.A., or another custodian chosen by the Advisor, shall be the Custodian of all Investment Assets placed with the Sub-Advisor. The Sub-Advisor must ensure that duplicate brokerage confirmations of all transactions are sent to the Custodian and the Advisor. D. All money market funds used by the Sub-Advisor for a portion of Investment Assets placed with the Sub-Advisor must be approved in advance by the Advisor.
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ADDITIONAL INVESTMENT RESTRICTIONS. The Sub-Advisor must comply with the following Additional Investment Restrictions unless it requests an exception and receives written consent from the Advisor or the Board of Directors of the Fund. To the extent that these Additional Investment Restrictions conflict with the Fundamental Investment Policies, the Additional Investment Restrictions shall govern. A. The Sub-Advisor should generally conform to these issuer guidelines with exceptions noted at the time of purchase and variances reviewed annually with the Board of Directors of the Fund. 1. A minimum market capitalization of one billion dollars ($1,000,000,000) at the time of purchase. 2. Audited financial statements for at least three (3) years of operation. 3. Fifty million dollars ($50,000,000) or more in stockholders equity. B. Lending of securities will not be permitted. C. The Fund will not invest in the securities of tobacco-producing companies. D. InvesTrust, N.A., or another custodian chosen by the Advisor, shall be the Custodian of all Investment Assets placed with the Sub-Advisor. The Sub-Advisor must ensure that duplicate brokerage confirmations of all transactions are sent to the Custodian and the Advisor. E. All money market funds used by the Sub-Advisor for a portion of Investment Assets placed with the Sub-Advisor must be approved in advance by the Advisor.
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ADDITIONAL INVESTMENT RESTRICTIONS. The Sub-Advisor must comply with the Additional Investment Restrictions set forth below. To the extent that these Additional Investment Restrictions conflict with the Fundamental Investment Policies, the Additional Investment Restrictions shall govern.
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ADDITIONAL INVESTMENT RESTRICTIONS. The Sub-Advisor must comply with the following Additional Investment Restrictions unless it requests an exception and receives written consent from the Advisor or the Board of Directors of the Fund. To the extent that these Additional Investment Restrictions conflict with the Fundamental Investment Policies, the Additional Investment Restrictions shall govern. A. The Sub-Advisor should generally conform to these issuer guidelines with exceptions noted at the time of purchase and variances reviewed annually with the Board of Directors of the Fund. 1. A minimum market capitalization of one billion dollars ($1,000,000,000) at the time of purchase. 2. Audited financial statements for at least three (3) years of operation. 3. Fifty million dollars ($50,000,000) or more in stockholders equity. B. Lending of securities will not be permitted. C. The Fund will not invest in the securities of tobacco-producing companies, including, but not limited to those set forth on Appendix 1 attached hereto. D. InvesTrust, N.A., or another custodian chosen by the Advisor, shall be the Custodian of all Investment Assets placed with the Sub-Advisor. The Sub-Advisor must ensure that duplicate brokerage confirmations of all transactions are sent to the Custodian and the Advisor.
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ADDITIONAL INVESTMENT RESTRICTIONS. All assets deposited into the trusts required by this New York Reinsurance Agreement shall be invested in eligible assets subject to the following tables. If the guidelines set forth below are more restrictive than those set forth in Section A or B of this Exhibit C, then the provisions of this Section C will govern. Conversely, if the regulations set forth in Section A of this Exhibit C preclude certain assets classes below, then they may only be present in the Supplemental Trust Account.
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ADDITIONAL INVESTMENT RESTRICTIONS. All assets deposited into the trusts required by this New York Reinsurance Agreement shall be invested in eligible assets subject to the following tables. If the guidelines set forth below are more restrictive than those set forth in Section A or B of this Exhibit C, then the provisions of this Section C will govern. Conversely, if the regulations set forth in Section A of this Exhibit C preclude certain assets classes below, then they may only be present in the Supplemental Trust Account. Asset Class and Position Limits - Regulation 114 Statutory Trust All assets in the following table and held in the Regulation 114 trust account must comply with NY Insurance Law Section 1404(a): Section 1404(a) of NY Insurance Law Paragraph Number Tier 2 Asset Class Position Limit* Allocation Limit* (1) Government Obligations U.S. Government or Agency** 3.5% 35% U.S. Municipal Obligations 3.0% 25% (2) Obligations of American Institutions*** Investment Grade Public 3.0% 40% Investment Grade Private**** 3.0% 20% Senior Secured/Mortgages 5.0% 37.5% (3) Preferred or Guaranteed Shares of American Institutions 2.0% 15%
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ADDITIONAL INVESTMENT RESTRICTIONS. The Sub-Advisor must comply with the following Additional Investment Restrictions unless it requests an exception and receives written consent from the Advisor or the Board of Directors of the Fund. To the extent that these Additional Investment Restrictions conflict with the Fundamental Investment Policies, the Additional Investment Restrictions shall govern. A. The Sub-Advisor should generally conform to these issuer guidelines with exceptions noted at the time of purchase and variances reviewed annually with the Board of Directors of the Fund. 1. A minimum market capitalization of one billion dollars ($1,000,000,000) at the time of purchase. 2. Audited financial statements for at least three (3) years of operation. 3. Fifty million dollars ($50,000,000) or more in stockholders equity. B. Lending of securities will not be permitted. C. The Fund will not invest in the securities of tobacco-producing companies, including, but not limited to those set forth on Appendix 1 attached hereto.
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ADDITIONAL INVESTMENT RESTRICTIONS. The Sub-Advisor must comply with the Additional Investment Restrictions set forth below. To the extent that these Additional Investment Restrictions conflict with the Fundamental Investment Policies, the Additional Investment Restrictions shall govern. A. The Sub-Advisor shall conform to the following issuer guidelines at the time of purchase: 1. A minimum market capitalization of one billion dollars ($1,000,000,000). 2. Audited financial statements for at least three (3) years of operation. 3. Fifty million dollars ($50,000,000) or more in stockholders equity. B. Lending of securities will not be permitted.
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Related to ADDITIONAL INVESTMENT RESTRICTIONS

  • Investment Restrictions As described in Fund’s current prospectus and SAI provided by Manager and as agreed to by Sub-Adviser.

  • ACCOUNT RESTRICTIONS In order to receive and maintain a Secured VISA Platinum Rewards Credit Card, You agree to give Us a specific pledge of shares which will equal 105.00% of Your approved Credit Limit. In the event that You default on Your Secured VISA Platinum Rewards Credit Card, We may apply these shares toward the repayment of any amount owed on such Credit Card. You may cancel Your Secured VISA Platinum Rewards Credit Card at any time by paying any amounts owed on such Card. To be certain that Your entire balance and all advances are paid, any shares pledged may not be available to You for 30 days after You have cancelled and any outstanding balance is paid in full. LINE OF CREDIT LIMITS. You will be notified of each specific Credit Limit for which You are approved. Unless You are in default, the Credit Limits established for You will generally be self-replenishing as You make payments.

  • Additional Restrictions In addition to any other restrictions on Transfer contained in this Agreement, in no event may any Transfer of a Partnership Interest by any Partner or any redemption pursuant to Section 8.6 be made without the express consent of the General Partner, in its sole and absolute discretion, (i) to any person or entity who lacks the legal right, power or capacity to own a Partnership Interest; (ii) in violation of applicable law; (iii) of any component portion of a Partnership Interest, such as the Capital Account, or rights to distributions, separate and apart from all other components of a Partnership Interest; (iv) if in the opinion of the General Partner based on the advice of legal counsel, if appropriate, such Transfer would cause a termination of the Partnership for federal or state income tax purposes (except as a result of a redemption of all Partnership Units held by all Limited Partners); (v) if in the opinion of the General Partner based on the advice of legal counsel, if appropriate, such Transfer would cause the Partnership to cease to be classified as a partnership for federal income tax purposes (except as a result of a redemption of all Partnership Units held by all Limited Partners); (vi) if such Transfer requires the registration of such Partnership Interest pursuant to any applicable federal or state securities laws; (vii) if such Transfer would cause the Partnership to become a “publicly traded partnership,” as such term is defined in Section 7704(b) of the Code (provided that this clause (vii) shall not be the basis for limiting or restricting in any manner the exercise of the Redemption Right under Section 8.6 unless, and only to the extent that, outside tax counsel advises the General Partner that, in the absence of such limitation or restriction, there is a significant risk that the Partnership will be treated as a “publicly traded partnership” and, by reason thereof, taxable as a corporation); (viii) if such Transfer would cause the General Partner to own 10% or more of the ownership interests of any tenant of a property held by the Partnership within the meaning of Section 856(d)(2)(B) of the Code; (ix) if such Transfer would result in the General Partner being “closely held” within the meaning of Section 856(h) of the Code; or (x) if in the opinion of the General Partner based on the advice of legal counsel, if appropriate, such Transfer would adversely affect the ability of the General Partner to continue to qualify as a REIT or subject the General Partner to any additional taxes under Sections 857 or 4981 of the Code.

  • Distribution Restrictions The Employer must elect in Section 6.03 the Adoption Agreement the distribution events permitted under the Plan. The distribution events applicable to the Participant's Deferral Contributions Account, Qualified Nonelective Contributions Account and Qualified Matching Contributions Account must satisfy the distribution restrictions described in paragraph (m) of Section 14.03.

  • Restricted Securities Owners/Ownership Restrictions From time to time or upon request of the Depositary, the Company shall provide to the Depositary a list setting forth, to the actual knowledge of the Company, those persons or entities who beneficially own Restricted Securities and the Company shall update such list on a regular basis. The Depositary may rely on such list or update but shall not be liable for any action or omission made in reliance thereon. The Company agrees to advise in writing each of the persons or entities who, to the knowledge of the Company, holds Restricted Securities that such Restricted Securities are ineligible for deposit hereunder and, to the extent practicable, shall require each of such persons to represent in writing that such person will not deposit Restricted Securities hereunder. Holders and Beneficial Owners shall comply with any limitations on ownership of Shares under the Memorandum and Articles of Association or applicable Cayman Islands law as if they held the number of Shares their ADSs represent. The Company shall, in accordance with Article (24) of the Receipt, inform Holders and Beneficial Owners and the Depositary of any other limitations on ownership of Shares that the Holders and Beneficial Owners may be subject to by reason of the number of ADSs held under the Articles of Association or applicable Cayman Islands law, as such restrictions may be in force from time to time. The Company may, in its sole discretion, but subject to applicable law, instruct the Depositary to take action with respect to the ownership interest of any Holder or Beneficial Owner pursuant to the Memorandum and Articles of Association, including but not limited to, the removal or limitation of voting rights or the mandatory sale or disposition on behalf of a Holder or Beneficial Owner of the Shares represented by the ADRs held by such Holder or Beneficial Owner in excess of such limitations, if and to the extent such disposition is permitted by applicable law and the Memorandum and Articles of Association; provided that any such measures are practicable and legal and can be undertaken without undue burden or expense, and provided further the Depositary’s agreement to the foregoing is conditional upon it being advised of any applicable changes in the Memorandum and Articles of Association. The Depositary shall have no liability for any actions taken in accordance with such instructions.