Looking for a Sec Forms And Templates? Download it for free!

Form Sec 1707 - Uniform Application For Investment Adviser Registration - Securities And Exchange Commission Page 48

Form ADV (Paper Version)

UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION

NON-RESIDENT INVESTMENT ADVISER EXECUTION

PAGE 1

You must complete the following Execution Page to Form ADV. This execution page must be signed and

attached to your initial application for SEC registration and all amendments to registration.

1. Appointment of Agent for Service of Process

By signing this Form ADV Execution Page, you, the undersigned adviser, irrevocably appoint each of the

Secretary of the SEC, and the Secretary of State or other legally designated officer, of any other state in

which you are submitting a notice filing, as your agents to receive service, and agree that such persons may

accept service on your behalf, of any notice, subpoena, summons, order instituting proceedings, demand

for arbitration, or other process or papers, and you further agree that such service may be made by

registered or certified mail, in any federal or state action, administrative proceeding or arbitration brought

against you in any place subject to the jurisdiction of the United States, if the action, proceeding or

arbitration (a) arises out of any activity in connection with your investment advisory business that is

subject to the jurisdiction of the United States, and (b) is founded, directly or indirectly, upon the

provisions of: (i) the Securities Act of 1933, the Securities Exchange Act of 1934, the Trust Indenture Act

of 1939, the Investment Company Act of 1940, or the Investment Advisers Act of 1940, or any rule or

regulation under any of these acts, or (ii) the laws of any state in which you are submitting a notice filing.

2. Appointment and Consent: Effect on Partnerships

If you are organized as a partnership, this irrevocable power of attorney and consent to service of process

will continue in effect if any partner withdraws from or is admitted to the partnership, provided that the

admission or withdrawal does not create a new partnership. If the partnership dissolves, this irrevocable

power of attorney and consent shall be in effect for any action brought against you or any of your former

partners.

3. Non-Resident Investment Adviser Undertaking Regarding Books and Records

By signing this Form ADV, you also agree to provide, at your own expense, to the U.S. Securities and

Exchange Commission at its principal office in Washington D.C., at any Regional or District Office of the

Commission, or at any one of its offices in the United States, as specified by the Commission, correct,

current, and complete copies of any or all records that you are required to maintain under Rule 204-2 under

the Investment Advisers Act of 1940. This undertaking shall be binding upon you, your heirs, successors

and assigns, and any person subject to your written irrevocable consents or powers of attorney or any of

your general partners and managing agents.

Form Sec 1707 - Uniform Application For Investment Adviser Registration - Securities And Exchange Commission Page 48