Business Operations Contracts & Agreements in the Capital Markets Industry
1,088 Contracts & Agreements
- Administration Agreements (41 contracts from 25 companies)
- Advisory Agreements (105 | 27)
- Agency Agreements (21 | 15)
- Code of Ethics (5 | 3)
- Cooperation Agreements (3 | 3)
- Development Agreements (1 | 1)
- Distribution Agreements (44 | 17)
- Indemnification Agreements (161 | 71)
- Management Agreements (375 | 86)
- Marketing Agreements (1 | 1)
- MOUs (2 | 1)
- Operating Agreements (40 | 16)
- Power of Attorney (2 | 1)
- Proxy Agreements (2 | 1)
- Sales Agreements (47 | 15)
- Services Agreements (149 | 55)
- Settlement Agreements (35 | 22)
- Supply Agreements (1 | 1)
- Termination Agreements (24 | 19)
- Voting Agreements (29 | 17)
- AFFILIATED MANAGERS GROUP, INC. (2 contracts)
- ALLIANCEBERNSTEIN HOLDING L.P. (18)
- ALTIMAR ACQUISITION CORP. (2)
- Ameriprise Financial (1)
- Apollo Global Management LLC (8)
- APOLLO INVESTMENT CORP (8)
- ARES CAPITAL CORP (4)
- Ares Management Corp (8)
- Artisan Partners Asset Management Inc. (20)
- Ascendant Digital Acquisition Corp. (7)
- Ashford Inc. (26)
- AssetMark Financial Holdings, Inc. (5)
- Associated Capital Group, Inc. (1)
- B. Riley Financial, Inc. (7)
- Bain Capital Specialty Finance, Inc. (2)
- Barings BDC, Inc. (7)
- BC Partners Lending Corp (2)
- BGC Partners, Inc. (16)
- BlackRock (3)
- BlackRock Capital Investment Corp (9)
- BlackRock Private Credit Fund (3)
- BlackRock TCP Capital Corp. (1)
- BLACKSTAR ENTERPRISE GROUP, INC. (2)
- Blackstone Group L.P. (3)
- Blackstone Private Credit Fund (9)
- Blackstone Private Equity Strategies Fund L.P. (1)
- Blucora, Inc. (22)
- Bridge Investment Group Holdings Inc. (2)
- BrightSphere Investment Group Inc. (3)
- CAPITAL SOUTHWEST CORP (3)
- Capitala Finance Corp. (2)
- Carlyle Group L.P. (1)
- Cboe Global Markets (4)
- CERES ABINGDON L.P. (4)
- CERES ORION L.P. (22)
- Ceres Tactical Commodity L.P. (17)
- CERES TACTICAL CURRENCY L.P. (17)
- CERES TACTICAL SYSTEMATIC L.P. (49)
- Charles Schwab Corporation (3)
- CION Investment Corp (17)
- CM Finance Inc (2)
- CME Group Inc. (5)
- Cohen & Co Inc. (19)
- COHEN & STEERS INC (1)
- Coinbase Global, Inc. (1)
- CONCIERGE TECHNOLOGIES INC (1)
- ContextLogic Inc. (4)
- COWEN INC. (1)
- Crescent Capital BDC, Inc. (5)
- DIAMOND HILL INVESTMENT GROUP INC (2)
- Donnelley Financial Solutions, Inc. (2)
- E*Trade (9)
- ENDI Corp. (4)
- ENTERPRISE DIVERSIFIED, INC. (9)
- EQUUS TOTAL RETURN, INC. (7)
- Evercore (1)
- Federated Investors (1)
- FIDUS INVESTMENT Corp (2)
- FinTech Acquisition Corp. IV (3)
- Firsthand Technology Value Fund, Inc. (1)
- Focus Financial Partners Inc. (18)
- Franklin Resources (28)
- Freedom Holding Corp. (1)
- FS KKR Capital Corp (21)
- GAIN Capital Holdings, Inc. (1)
- GAMCO INVESTORS, INC. ET AL (1)
- Garrison Capital Inc. (5)
- GCM Grosvenor Inc. (3)
- GLADSTONE CAPITAL CORP (9)
- GLADSTONE INVESTMENT CORPORATION (14)
- GlassBridge Enterprises, Inc. (16)
- Goldman Sachs (3)
- GOLUB CAPITAL BDC, Inc. (4)
- Great Elm Capital Corp. (3)
- Great Elm Capital Group, Inc. (3)
- Greenpro Capital Corp. (5)
- GSV Capital Corp. (6)
- Hamilton Lane INC (1)
- HENNESSY ADVISORS INC (13)
- Hercules Capital, Inc. (8)
- Heritage Global Inc. (3)
- Horizon Technology Finance Corp (12)
- HOULIHAN LOKEY, INC. (3)
- Indo Global Exchange(s) Pte, Ltd. (3)
- Interactive Brokers (3)
- INTL FCStone Inc. (1)
- Investment Technology Group, Inc. (2)
- Janus Henderson Group plc (4)
- KCAP Financial, Inc. (6)
- KKR & Co. Inc. (13)
- LADENBURG THALMANN FINANCIAL SERVICES INC. (3)
- Lazard Ltd (9)
- Legg Mason Inc (4)
- LPL Financial Holdings Inc. (5)
- Main Street Capital CORP (2)
- Manning & Napier, Inc. (7)
- MarketAxess Holdings Inc (2)
- Medley Capital Corp (7)
- MEDLEY MANAGEMENT INC. (4)
- Moelis & Co (17)
- MONROE CAPITAL Corp (4)
- Moody's Corp (4)
- MORGAN STANLEY ABS CAPITAL I INC CDC MOR CAP TR 2004-HE2 (1)
- MORGAN STANLEY SMITH BARNEY CHARTER ASPECT L.P. (2)
- MORGAN STANLEY SMITH BARNEY CHARTER CAMPBELL LP (3)
- MORGAN STANLEY SMITH BARNEY CHARTER WNT L.P. (3)
- MORGAN STANLEY SMITH BARNEY SPECTRUM SELECT LP (5)
- MORGAN STANLEY SMITH BARNEY SPECTRUM STRATEGIC LP (11)
- MORGAN STANLEY SMITH BARNEY SPECTRUM TECHNICAL LP (8)
- Morningstar, Inc. (3)
- MSCI Inc (6)
- MVC CAPITAL, INC. (6)
- Nasdaq, Inc. (6)
- NATIONAL HOLDINGS CORP (8)
- Nebula Parent Corp. (3)
- New Mountain Finance Corp (3)
- NewHold Investment Corp. II (3)
- Newtek Business Services Corp. (12)
- Oaktree Specialty Lending Corp (14)
- Oaktree Strategic Income Corp (9)
- Och-Ziff Capital Management Group LLC (33)
- OFS Capital Corp (2)
- Owl Rock Capital Corp (6)
- Oxford Square Capital Corp. (8)
- P10, Inc. (1)
- PennantPark Floating Rate Capital Ltd. (15)
- PENNANTPARK INVESTMENT CORP (9)
- Piper Jaffray Companies (10)
- PJT Partners Inc. (2)
- PRINCETON CAPITAL CORP (11)
- PROSPECT CAPITAL CORP (3)
- Pzena Investment Management, Inc. (22)
- RAND CAPITAL CORP (5)
- Raymond James Financial Inc. (3)
- Robinhood Markets, Inc. (5)
- Runway Growth Credit Fund Inc. (1)
- S&P Global, Inc. (2)
- SAFEGUARD SCIENTIFICS INC (4)
- SIEBERT FINANCIAL CORP (2)
- Silvercrest Asset Management Group Inc. (8)
- Solar Capital Ltd. (4)
- Solar Senior Capital Ltd. (3)
- State Street Corp. (6)
- StepStone Group Inc. (1)
- Stifel Financial Corp (2)
- T. Rowe Price Group (1)
- Tango Holdings, Inc. (2)
- TCG BDC, INC. (1)
- TD AMERITRADE HOLDING CORP (6)
- The Bank of New York Mellon Corp. (7)
- TPG Partners, LLC (13)
- TPG Specialty Lending, Inc. (3)
- Tradeweb Markets Inc. (1)
- Trinity Capital Inc. (2)
- TriplePoint Venture Growth BDC Corp. (2)
- U S GLOBAL INVESTORS INC (7)
- ValueSetters Inc. (1)
- Victory Capital Holdings, Inc. (2)
- Virtu Financial, Inc. (4)
- Virtus Investment Partners, Inc. (1)
- VPC Impact Acquisition Holdings (9)
- Waddell & Reed Financial, Inc. (31)
- WESTWOOD HOLDINGS GROUP INC (5)
- WhiteHorse Finance, Inc. (6)
- WisdomTree Investments, Inc. (4)
- Wright Investors Service Holdings, Inc. (4)
Recent Contracts
Category
Company
Industry
Jur.
Filed
Capital Markets
NY
2011
2024
2024
2024
2024
2024
2024
2024
2024
2024
2024
2024
2024
2024
2024
2024
2024
2024
2024
2024
2024
2024
2024
2024
2024
2024
2024
2024
2024
2024
2024
2024
2024
2024
2024
2024
