Services Agreements in the Capital Markets Industry

143 Contracts & Agreements

Browse by Company

AFFILIATED MANAGERS GROUP, INC. (1 contract)
ALTIMAR ACQUISITION CORP. (1)
Ascendant Digital Acquisition Corp. (3)
AssetMark Financial Holdings, Inc. (2)
BGC Partners, Inc. (14)
BlackRock (1)
Blucora, Inc. (17)
CERES ABINGDON L.P. (1)
CERES ORION L.P. (1)
Ceres Tactical Commodity L.P. (1)
CERES TACTICAL CURRENCY L.P. (1)
CERES TACTICAL SYSTEMATIC L.P. (1)
CME Group Inc. (3)
Cohen & Co Inc. (1)
E*Trade (1)
ENTERPRISE DIVERSIFIED, INC. (1)
FinTech Acquisition Corp. IV (2)
Franklin Resources (6)
GAIN Capital Holdings, Inc. (1)
GlassBridge Enterprises, Inc. (2)
Hercules Capital, Inc. (5)
Horizon Technology Finance Corp (8)
Indo Global Exchange(s) Pte, Ltd. (1)
Investment Technology Group, Inc. (1)
Janus Henderson Group plc (2)
KKR & Co. Inc. (2)
LADENBURG THALMANN FINANCIAL SERVICES INC. (2)
Lazard Ltd (1)
Legg Mason Inc (2)
LPL Financial Holdings Inc. (3)
Main Street Capital CORP (1)
Medley Capital Corp (3)
Moelis & Co (6)
MORGAN STANLEY SMITH BARNEY CHARTER ASPECT L.P. (1)
MORGAN STANLEY SMITH BARNEY CHARTER CAMPBELL LP (1)
MORGAN STANLEY SMITH BARNEY CHARTER WNT L.P. (1)
MORGAN STANLEY SMITH BARNEY SPECTRUM SELECT LP (1)
MORGAN STANLEY SMITH BARNEY SPECTRUM STRATEGIC LP (1)
MORGAN STANLEY SMITH BARNEY SPECTRUM TECHNICAL LP (1)
Morningstar, Inc. (1)
MSCI Inc (5)
MVC CAPITAL, INC. (2)
Nasdaq, Inc. (3)
NATIONAL HOLDINGS CORP (2)
Newtek Business Services Corp. (5)
Solar Capital Ltd. (1)
Solar Senior Capital Ltd. (1)
TD AMERITRADE HOLDING CORP (1)
The Bank of New York Mellon Corp. (2)
TPG Partners, LLC (1)
U S GLOBAL INVESTORS INC (3)
VPC Impact Acquisition Holdings (5)
Waddell & Reed Financial, Inc. (6)
WisdomTree Investments, Inc. (1)

Recent Contracts

Amendment No. 4 to Sale and Servicing Agreement, dated as of May 24, 2023, by and among Horizon Funding I, LLC, the issuer, Horizon Secured Lending Fund I LLC, the originator and... (Horizon Technology Finance Corp, Filed With SEC on May 25, 2023)
Contract Services Agreement, dated February 1, 2023, between Morningstar, Inc. and Bevin Desmond (Morningstar, Inc., Filed With SEC on February 2, 2023)
Services Agreement, dated August 9, 2022, by and between PhenixFIN Corp. and SS&C Technologies, Inc (Medley Capital Corp, Filed With SEC on December 16, 2022)
Sale and Servicing Agreement, dated as of November 9, 2022, by and among the Company, as the seller and as the servicer, Horizon Funding Trust 2022-1, as the issuer, Horizon... (Horizon Technology Finance Corp, Filed With SEC on November 14, 2022)
Amendment No. 4 to Digital Currency Trading, Clearing, and Warehouse Services Agreement, dated as of July 21, 2022, by and among ICE Futures U.S., Inc., ICE Clear US, Inc. and... (VPC Impact Acquisition Holdings, Filed With SEC on July 25, 2022)
Amendment to Incedo Master Services Agreement (AssetMark Financial Holdings, Inc., Filed With SEC on May 9, 2022)
Service Agreement between Henderson Administrative Limited and Georgina Fogo, effective from March 15, 2018 (Janus Henderson Group plc, Filed With SEC on May 4, 2022)
Administrative Services Agreement, dated as of December 31, 2021, between TPG Global, LLC and Tarrant Remain Co GP, LLC (TPG Partners, LLC, Filed With SEC on March 29, 2022)
Amendment No. 3 to Sale and Servicing Agreement, dated as of February 25, 2022, by and among Horizon Funding I, LLC, the issuer, Horizon Secured Lending Fund I LLC, as originator... (Horizon Technology Finance Corp, Filed With SEC on February 28, 2022)
Form of Services Agreement by and between CBA and the CBA Member (ENTERPRISE DIVERSIFIED, INC., Filed With SEC on February 3, 2022)
Third Amended and Restated Intercompany Services Agreement, dated April 1, 2019 by and between ICE and Bakkt, LLC (VPC Impact Acquisition Holdings, Filed With SEC on October 21, 2021)
Digital Currency Trading, Clearing and Warehouse Services Agreement, dated August 29, 2019, by and among ICE Futures U.S., Inc., ICE Clear US, Inc. and Bakkt Trust Company LLC,... (VPC Impact Acquisition Holdings, Filed With SEC on October 21, 2021)
Beta Services Master Subscription Agreement by and between Refinitiv US LLC and AssetMark Financial Holdings, Inc., dated May 21, 2020 (AssetMark Financial Holdings, Inc., Filed With SEC on August 6, 2021)
First Amendment to Business Combination Agreement, dated as of May 21, 2021, by and among Ascendant Digital Acquisition Corp., Beacon Street Group, LLC and Shareholder... (Ascendant Digital Acquisition Corp., Filed With SEC on May 27, 2021)
BETA Services First Amended and Restated Master Subscription Agreement, dated as of January 29, 2021, between LPL Financial LLC and Refinitiv US LLC (LPL Financial Holdings Inc., Filed With SEC on May 4, 2021)
Form of Restricted Holdings Unit Agreement of KKR & Co. Inc. (Executive Officers) (Service Vesting) (KKR & Co. Inc., Filed With SEC on February 19, 2021)
Administration Servicing Agreement, dated November 19, 2020, by and between Medley Capital Corporation and U.S. Bancorp Fund Services, LLC (Medley Capital Corp, Filed With SEC on December 11, 2020)
Fund Accounting Servicing Agreement, dated November 19, 2020, by and between Medley Capital Corporation and U.S. Bancorp Fund Services, LLC (Medley Capital Corp, Filed With SEC on December 11, 2020)
Amendment, dated November 5, 2020, to the Consultancy Agreement, dated February 24, 2017, between Sean A. Windeatt and BGC Services (Holdings) LLP (BGC Partners, Inc., Filed With SEC on November 6, 2020)
Investment Advisory and Administrative Services Agreement dated October 30, 2020 by and between MSC Income Fund, Inc. and MSC Adviser I, LLC (Main Street Capital CORP, Filed With SEC on November 3, 2020)
Administrative Services Agreement between the Company and the Sponsor (ALTIMAR ACQUISITION CORP., Filed With SEC on October 28, 2020)
Administrative Services Agreement, dated September 24, 2020, between the Company and FinTech Masala, LLC (FinTech Acquisition Corp. IV, Filed With SEC on September 30, 2020)
Administrative Services Agreement, dated September 22, 2020, by and between the Company and VPC Impact Acquisition Holdings Sponsor, LLC (VPC Impact Acquisition Holdings, Filed With SEC on September 28, 2020)
Form of Administrative Services Agreement between the Registrant and VPC Impact Acquisition Holdings Sponsor, LLC (VPC Impact Acquisition Holdings, Filed With SEC on September 16, 2020)
Form of Administrative Services Agreement (FinTech Acquisition Corp. IV, Filed With SEC on September 11, 2020)
Third Amendment , dated June 16, 2020, to the Clearing Services Agreement, dated May 9, 2006, between Cantor Fitzgerald & Co. and BGC Financial, Inc (BGC Partners, Inc., Filed With SEC on August 10, 2020)
Second Amendment, dated August 16, 2010, to the Clearing Services Agreement, dated May 9, 2006, between Cantor Fitzgerald & Co. and BGC Financial, Inc (BGC Partners, Inc., Filed With SEC on August 10, 2020)
Administrative Services Agreement, dated July 23, 2020, by and between the Company and Ascendant Sponsor LP (Ascendant Digital Acquisition Corp., Filed With SEC on July 28, 2020)
Form of Administrative Services Agreement between the Registrant and Ascendant Sponsor LP (Ascendant Digital Acquisition Corp., Filed With SEC on July 2, 2020)
Amendment No. 2 to Sale and Servicing Agreement, dated as of June 5, 2020, by and among Horizon Funding I, LLC, the issuer, Horizon Secured Lending Fund I LLC, as originator and... (Horizon Technology Finance Corp, Filed With SEC on June 26, 2020)
Amendment No. 1 to Sale and Servicing Agreement, dated as of June 19, 2019, by and among Horizon Funding I, LLC, the issuer, Horizon Secured Lending Fund I LLC, as originator and... (Horizon Technology Finance Corp, Filed With SEC on June 26, 2020)
Sale and Servicing Agreement, dated as of June 1, 2018, by and among Horizon Funding I, LLC, the issuer, Horizon Secured Lending Fund I LLC, as originator and seller, Horizon... (Horizon Technology Finance Corp, Filed With SEC on June 26, 2020)
Sale and Servicing Agreement, dated as of February 20, 2020, by and among Hercules Funding IV LLC, as borrower, Hercules Capital, Inc., as originator and servicer, and MUFG Union... (Hercules Capital, Inc., Filed With SEC on February 20, 2020)
Professional Services Agreement between the Company and David Abner, effective August 1, 2019 (WisdomTree Investments, Inc., Filed With SEC on August 29, 2019)
Sale and Servicing Agreement, dated as of August 13, 2019, by and among the Company, as the Seller and as the Servicer, Horizon Funding Trust 2019-1, as the Issuer, Horizon... (Horizon Technology Finance Corp, Filed With SEC on August 13, 2019)
Intercreditor Agreement, dated as of July 2, 2019, by and among Wells Fargo Capital Finance, LLC, as arranger and administrative agent, MUFG Union Bank, N.A., as arranger and... (Hercules Capital, Inc., Filed With SEC on July 3, 2019)
Amended and Restated Services Agreement between GlassBridge Enterprises, Inc. and Clinton Group, Inc., dated March 29, 2019 (GlassBridge Enterprises, Inc., Filed With SEC on April 2, 2019)
Thomson Transaction Services Master Subscription Agreement dated as of January 5, 2009 between LPL Financial Corporation and Thomson Financial LLC, as amended (LPL Financial Holdings Inc., Filed With SEC on February 26, 2019)
Scottrade Appreciation Right Award Agreement Letter, dated September 29, 2016, between Peter J. deSilva and Scottrade Financial Services, Inc (TD AMERITRADE HOLDING CORP, Filed With SEC on January 31, 2019)
Letter Agreement, dated December 24, 2018, by and between Ladenburg Thalmann Financial Services Inc. and Frost Gamma Investments Trust (LADENBURG THALMANN FINANCIAL SERVICES INC., Filed With SEC on December 26, 2018)