Investment advisory, investment sub-advisory services and investment and fund management for registered investment vehicles, namely mutual funds, Exchange Traded Funds, Closed End Funds, Collective Investment Trusts, unit investment trusts, Exchange Traded Notes, C-Corp investment Vehicles, Business Development Companies, investment related vehicles that file under the 1933 Act; Investment advisory, investment sub-advisory services and investment and fund management for separately managed accounts, ERISA qualified vehicles, investment funds registered in Canada or regulated by the Canadian Securities Administrators (CSA) and Undertakings for the Collective Investment of Transferable Securities (UCITs Funds); none of the foregoing includes non-registered hedge funds and venture capital investing

'1933':50 'account':67 'act':51 'administr':82 'advisori':2,6,53,57 'busi':40 'c':36 'c-corp':35 'canada':75 'canadian':80 'capit':107 'close':23 'collect':26,88 'compani':42 'corp':37 'csa':83 'develop':41 'end':24 'erisa':68 'exchang':20,32 'file':47 'forego':98 'fund':11,19,22,25,62,72,94,104 'hedg':103 'includ':99 'invest':1,3,9,15,27,30,38,43,52,54,60,71,89,108 'manag':12,63,66 'mutual':18 'name':17 'non':101 'non-regist':100 'none':95 'note':34 'qualifi':69 'regist':14,73,102 'regul':77 'relat':44 'secur':81,92 'separ':65 'servic':7,58 'sub':5,56 'sub-advisori':4,55 'trade':21,33 'transfer':91 'trust':28,31 'ucit':93 'undertak':85 'unit':29 'vehicl':16,39,45,70 'ventur':106

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