Data Requirements means, collectively, all of the following to the extent
relating to any activity regarding personal, sensitive, or confidential information or data or otherwise relating to data privacy, protection, or security: (i) the Companys and its Subsidiaries own rules, policies and
procedures (whether physical or technical in nature, or otherwise); (ii) all Applicable Laws; (iii) binding industry standards applicable to the industries in which the Company or any of its Subsidiaries operates; and
(iv) Contracts into which the Company or any of its Subsidiaries has entered or is otherwise bound.
Data Security
Incident means any breach of security, phishing incident, ransomware or malware attack, unauthorized use, access, or processing of or to, or other cyber, security, or similar incident affecting any Systems or personal, sensitive, or
confidential data or information owned or processed by or for the Company or any of its Subsidiaries.
Delaware Law
means the General Corporation Law of the State of Delaware.
Environmental Laws means any and all statutes, laws,
regulations or rules that have as their principal purpose the protection of the environment.
ERISA means the Employee
Retirement Income Security Act of 1974.
Filing means any registration, petition, statement, application, schedule,
form, declaration, notice, notification, report, submission or other filing.
FINRA means the Financial Industry
Regulatory Authority.
GAAP means generally accepted accounting principles in the United States.
Governmental Authority means any transnational, domestic or foreign federal, state, provincial, local or other
governmental, quasi-governmental, regulatory, self-regulatory or administrative authority (including any applicable Self-Regulatory Organization), department, court, agency, commission or official, including any political subdivision thereof, or any
public or private arbitrator or arbitral body.
HSR Act means the Hart-Scott-Rodino Antitrust Improvements Act of 1976.
Intellectual Property means trademarks, service marks, trade names, trade dress, domain names, social media accounts
and handles, and other indications of origin, and the goodwill associated with the foregoing, mask works, inventions, patents, trade secrets, copyrights, know-how, and software (including in source and object
code form) (including any registrations or applications for registration of any of the foregoing) or any other similar type of proprietary intellectual property rights.
Investment Advisers Act means the Investment Advisers Act of 1940, as amended, and the rules and regulations promulgated
thereunder.
Investment Company Act means the Investment Company Act of 1940, as amended, and the rules and regulations
promulgated thereunder.
Investment Services means any discretionary or
non-discretionary investment advisory, investment management, investment or fund administration, and other related services, including (i) the management of an investment account or fund, (ii) the
giving of advice with respect to the investment or reinvestment of assets or funds, (iii) advisory and non-advisory services related to the delivery of an investment platform for Advisors and
(iv) services relating to managed account and practice solutions, including, for the avoidance of doubt, on a sub-advisory basis.
Investment Services Contracts means agreements and arrangements (including current fee schedules) pursuant to which an
Adviser Subsidiary provides Investment Services to, or otherwise manages any investment
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