Private fund adviser definition

Private fund adviser means an investment adviser who provides advice solely to one or more qualifying private funds.
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Private fund adviser means an investment adviser who provides advice solely to one or more qualifying private funds, other than a private fund that qualifies for the exclusion from the definition of "investment company" provided in section 3(c)(1) of the Investment Company Act of 1940, 15 U.S.C. §80a-3(c)(1);
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Private fund adviser means an investment adviser whose only advisory clients are one or more qualifying private funds.
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Examples of Private fund adviser in a sentence

  • Private fund adviser CPOs are also required to file Form PF, which imposes additional duplicative burdens.

  • The Subcommittee will evaluate all proposals to ensure all requirements are met.

  • The triple interaction between Post, Madoff exposure, and Private fund adviser is significantly negative (both economically and statistically), implying that private fund advisers saw greater trust based withdrawals than did wealth managers.

  • Section 275.211(h)(2)-1 is added to read as follows:§ 275.211(h)(2)-1 Private fund adviser prohibitedrestricted activities.

  • Rule 211(h)(2)-1 Private fund adviser prohibitedrestricted activities.

  • Amend § 275.203(m)-1 by revising paragraph (d)(1) to read as follows: §275.203(m)-1 Private fund adviser exemption.

  • Review and document in writing, no less frequently than annually, annually, the adequacy of the policies and procedures established pursuant to this section and the effectiveness of their implementation; and * * * * * Rule 206(4)-10 Private fund adviser audits.


More Definitions of Private fund adviser

Private fund adviser means an investment adviser who pro- vides advice solely to one or more qualifying private funds.
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Private fund adviser means an investment adviser whose only advisory clients
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Private fund adviser means an investment adviser who provides advice solely to one or more qualifying private funds and has assets under management in the United States of less than $150,000,000.
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Private fund adviser means an investment adviser that provides advice solely to one or more qualifying private funds, as defined by the Securities and Exchange Commission.
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Private fund adviser means an investment adviser who provides advice solely
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Related to Private fund adviser

  • Private Fund means an issuer that would be an investment company as defined in section 3 of the Investment Company Act of 1940 but for Section 3(c)(1) or 3(c)(7) of that Act.

  • Investment Manager or “Manager” shall mean a party furnishing services to the Trust pursuant to any contract described in Section 4.8 hereof;

  • Investment adviser representative means an individual employed by or associated with an investment adviser or federal covered investment adviser and who makes any recommendations or otherwise gives investment advice regarding securities, manages accounts or portfolios of clients, determines which recommendation or advice regarding securities should be given, provides investment advice or holds herself or himself out as providing investment advice, receives compensation to solicit, offer, or negotiate for the sale of or for selling investment advice, or supervises employees who perform any of the foregoing. The term does not include an individual who:

  • Investment Consultant means PMA Asset Management, LLC, or such other Person who shall be acceptable to the Governing Board.