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Investment Company Event definition: Copy, customize, and use instantly

Introduction

The term "Investment Company Event" refers to any occurrence that affects the legal, financial, or operational status of an investment company, including changes in regulation, restructuring, liquidation, mergers, or significant shifts in fund management. This term is crucial in investment agreements, regulatory compliance, and contractual obligations where investment companies are involved.

Below are various examples of how "Investment Company Event" 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 Event" in a regulatory compliance and SEC oversight context

This definition ties "Investment Company Event" to legal and regulatory requirements.

"Investment Company Event" refers to any change in law, rule, or regulation, or any directive issued by the U.S. Securities and Exchange Commission (SEC) or other regulatory authority, that affects the status, operations, or compliance obligations of an investment company.

Definition of "Investment Company Event" in a merger, acquisition, or fund restructuring context

This definition connects "Investment Company Event" to corporate actions.

"Investment Company Event" means any merger, consolidation, reorganization, or restructuring involving an investment company, including changes in ownership, management, or investment strategy that materially impact its operations or investors.

Definition of "Investment Company Event" in an insolvency and liquidation context

This definition links "Investment Company Event" to financial distress situations.

"Investment Company Event" refers to any occurrence of bankruptcy, insolvency, voluntary or involuntary liquidation, or similar financial distress affecting an investment company, requiring regulatory intervention or investor protections.

Definition of "Investment Company Event" in a material adverse change and investor protection context

This definition applies "Investment Company Event" to significant negative developments.

"Investment Company Event" means any material adverse change in the financial condition, governance, investment strategy, or regulatory standing of an investment company that could impact shareholder value or contractual obligations.

Definition of "Investment Company Event" in a fund liquidation and dissolution context

This definition ties "Investment Company Event" to fund closures.

"Investment Company Event" refers to the dissolution, termination, or winding up of an investment company, including the distribution of assets to investors and the cancellation of outstanding securities.

Definition of "Investment Company Event" in a regulatory enforcement and compliance action context

This definition connects "Investment Company Event" to legal enforcement.

"Investment Company Event" means any enforcement action, fine, or sanction imposed by a regulatory authority, including the SEC or FINRA, due to non-compliance with investment company regulations.

Definition of "Investment Company Event" in a material asset divestiture or portfolio restructuring context

This definition links "Investment Company Event" to significant portfolio changes.

"Investment Company Event" refers to any sale, divestiture, or restructuring of a substantial portion of an investment company’s portfolio, impacting investor rights or fund strategy.

Definition of "Investment Company Event" in a fund manager resignation or replacement context

This definition applies "Investment Company Event" to leadership changes.

"Investment Company Event" means the resignation, termination, or replacement of a key fund manager, portfolio manager, or executive responsible for investment decisions within an investment company.

Definition of "Investment Company Event" in an investor class action lawsuit or legal proceeding context

This definition ties "Investment Company Event" to litigation.

"Investment Company Event" refers to any lawsuit, arbitration, or regulatory investigation brought against an investment company, including shareholder class actions or fiduciary duty claims.

Definition of "Investment Company Event" in a breach of fiduciary duty or mismanagement context

This definition connects "Investment Company Event" to governance failures.

"Investment Company Event" means any finding or allegation of mismanagement, fraud, or breach of fiduciary duty by an investment company or its directors, leading to regulatory scrutiny or investor losses.

Definition of "Investment Company Event" in a capital call or liquidity crisis context

This definition links "Investment Company Event" to emergency funding needs.

"Investment Company Event" refers to any occurrence requiring an investment company to issue an emergency capital call, suspend redemptions, or take measures to address a liquidity shortfall.

Definition of "Investment Company Event" in an SEC registration suspension or revocation context

This definition applies "Investment Company Event" to regulatory status changes.

"Investment Company Event" means the suspension, revocation, or restriction of an investment company’s SEC registration or license to operate as a regulated entity.

Definition of "Investment Company Event" in a major shareholder redemption or capital outflow context

This definition ties "Investment Company Event" to significant investor withdrawals.

"Investment Company Event" refers to the redemption, withdrawal, or divestment by a major investor or group of investors that materially impacts the liquidity or valuation of an investment company.

Definition of "Investment Company Event" in a change in investment policy or fund mandate context

This definition connects "Investment Company Event" to strategic shifts.

"Investment Company Event" means any modification to the stated investment objectives, asset allocation strategy, or risk profile of an investment company that requires shareholder approval or regulatory notice.

Definition of "Investment Company Event" in a hostile takeover or activist investor intervention context

This definition links "Investment Company Event" to corporate control disputes.

"Investment Company Event" refers to any attempt by an activist investor, hedge fund, or external party to gain control, influence governance, or alter the management structure of an investment company.

Definition of "Investment Company Event" in a cybersecurity breach or data loss incident context

This definition applies "Investment Company Event" to technology risks.

"Investment Company Event" means any unauthorized access, cyberattack, or security breach affecting an investment company’s data, investor records, or financial systems.

Definition of "Investment Company Event" in an economic crisis or macroeconomic shock context

This definition ties "Investment Company Event" to global financial instability.

"Investment Company Event" refers to any economic downturn, recession, or systemic financial crisis that materially impacts the valuation, stability, or performance of an investment company’s assets.

Definition of "Investment Company Event" in a dividend suspension or distribution cut context

This definition connects "Investment Company Event" to investor returns.

"Investment Company Event" means any suspension, reduction, or deferral of dividend payments or fund distributions that materially affect investor expectations and returns.

Definition of "Investment Company Event" in an accounting restatement or financial misreporting context

This definition links "Investment Company Event" to financial reporting issues.

"Investment Company Event" refers to any requirement for an investment company to restate its financial statements due to errors, omissions, or regulatory non-compliance.

Definition of "Investment Company Event" in a leveraged buyout or private equity acquisition context

This definition applies "Investment Company Event" to ownership transitions.

"Investment Company Event" means any acquisition, leveraged buyout (LBO), or private equity takeover of an investment company, leading to changes in fund management or investment strategy.

Definition of "Investment Company Event" in an illiquidity event or fund redemption suspension context

This definition ties "Investment Company Event" to liquidity constraints.

"Investment Company Event" refers to any scenario in which an investment company imposes redemption gates, suspends withdrawals, or faces illiquidity issues due to market conditions.

Definition of "Investment Company Event" in a regulatory capital requirement breach context

This definition connects "Investment Company Event" to financial stability thresholds.

"Investment Company Event" means any failure by an investment company to meet regulatory capital adequacy or reserve requirements, triggering corrective action by financial regulators.

Definition of "Investment Company Event" in a compliance failure with anti-money laundering (AML) or know-your-customer (KYC) regulations context

This definition links "Investment Company Event" to financial crime prevention.

"Investment Company Event" refers to any violation of AML, KYC, or financial crime compliance laws, leading to penalties, investigations, or restrictions on an investment company’s operations.

This definition applies "Investment Company Event" to ethical investment breaches.

"Investment Company Event" means any deviation from an investment company’s stated ESG policies, including controversies related to environmental harm, governance failures, or social responsibility violations.

Definition of "Investment Company Event" in a fund conversion or reclassification context

This definition ties "Investment Company Event" to fund structure changes.

"Investment Company Event" refers to any conversion, reclassification, or restructuring of an investment company, including a shift from an open-end to a closed-end fund, or vice versa.

Definition of "Investment Company Event" in a capital raise or secondary offering context

This definition connects "Investment Company Event" to capital expansion.

"Investment Company Event" means any issuance of new shares, secondary offering, or other capital-raising activity that materially impacts an investment company’s structure and investor equity.

Definition of "Investment Company Event" in an exchange-traded fund (ETF) delisting or redemption event context

This definition links "Investment Company Event" to ETF changes.

"Investment Company Event" refers to the delisting, liquidation, or suspension of an exchange-traded fund (ETF), affecting investor redemptions and fund valuation.

This definition applies "Investment Company Event" to investor departures.

"Investment Company Event" means the withdrawal of a significant sponsor, institutional investor, or strategic partner, leading to material changes in fund management or capital structure.

Definition of "Investment Company Event" in a government intervention or nationalization context

This definition ties "Investment Company Event" to state control.

"Investment Company Event" refers to any government seizure, nationalization, or forced restructuring of an investment company due to financial instability or regulatory concerns.

Definition of "Investment Company Event" in a credit downgrade or bond rating change context

This definition connects "Investment Company Event" to credit risk.

"Investment Company Event" means any downgrade or revision of an investment company’s credit rating by a recognized rating agency, impacting borrowing costs and investor confidence.

Definition of "Investment Company Event" in a strategic partnership or joint venture formation context

This definition links "Investment Company Event" to cooperative investments.

"Investment Company Event" refers to any formalized partnership, joint venture, or strategic alliance that materially alters an investment company’s operations or asset management approach.

Definition of "Investment Company Event" in a trading suspension or market access restriction context

This definition applies "Investment Company Event" to restricted trading.

"Investment Company Event" means the temporary or permanent suspension of trading activities by an investment company due to regulatory concerns, market conditions, or liquidity constraints.

Definition of "Investment Company Event" in an index removal or benchmark exclusion context

This definition ties "Investment Company Event" to market benchmarks.

"Investment Company Event" refers to the removal of an investment company’s fund or stock from a major index, such as the S&P 500 or MSCI, impacting investor sentiment and valuation.

Definition of "Investment Company Event" in a private fund redemption lock-up or investor exit restriction context

This definition connects "Investment Company Event" to restricted liquidity.

"Investment Company Event" means any imposition of investor exit restrictions, lock-up periods, or redemption freezes in a private fund due to market volatility or capital preservation concerns.

This definition links "Investment Company Event" to tax implications.

"Investment Company Event" refers to the recognition of capital loss carryforwards, tax adjustments, or changes in tax treatment that materially affect investor distributions and fund performance.

Definition of "Investment Company Event" in a fund consolidation or amalgamation context

This definition applies "Investment Company Event" to fund mergers.

"Investment Company Event" means the consolidation or amalgamation of multiple funds within an investment company, resulting in reallocation of assets, share conversions, or operational restructuring.

Definition of "Investment Company Event" in an unauthorized trading or internal fraud discovery context

This definition ties "Investment Company Event" to compliance breaches.

"Investment Company Event" refers to any discovery of unauthorized trading, internal fraud, or misappropriation of assets within an investment company, leading to regulatory scrutiny or financial loss.

Definition of "Investment Company Event" in a derivative exposure or leverage limit breach context

This definition connects "Investment Company Event" to risk exposure.

"Investment Company Event" means any breach of leverage limits, derivative exposure caps, or margin requirements imposed on an investment company under regulatory guidelines.

Definition of "Investment Company Event" in an alternative investment strategy shift or hedge fund redirection context

This definition links "Investment Company Event" to fund strategy shifts.

"Investment Company Event" refers to a fundamental change in an investment company’s alternative investment strategy, including shifts in hedge fund focus, risk tolerance, or asset allocation.

This definition applies "Investment Company Event" to sustainability mandates.

"Investment Company Event" means any investment company’s loss of ESG certification, failure to meet sustainability criteria, or material misrepresentation of ESG compliance.

Definition of "Investment Company Event" in a digital asset or cryptocurrency investment policy shift context

This definition ties "Investment Company Event" to digital asset regulations.

"Investment Company Event" refers to any modification, restriction, or expansion of an investment company’s policies regarding cryptocurrency, blockchain investments, or tokenized assets.

Definition of "Investment Company Event" in a data privacy or investor information breach context

This definition connects "Investment Company Event" to cybersecurity risks.

"Investment Company Event" means any unauthorized disclosure, data breach, or violation of investor privacy regulations impacting an investment company’s data security framework.

Definition of "Investment Company Event" in a strategic divestiture or forced asset sale context

This definition links "Investment Company Event" to forced liquidations.

"Investment Company Event" refers to the divestiture, fire sale, or regulatory-forced liquidation of assets held by an investment company due to financial distress or legal mandates.

Definition of "Investment Company Event" in an AI-driven or algorithmic trading disruption context

This definition applies "Investment Company Event" to fintech risks.

"Investment Company Event" means any failure, malfunction, or regulatory restriction imposed on algorithmic trading, robo-advisory services, or AI-driven investment strategies within an investment company.

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.

Last updated 28 Mar 2025