kaal:claim:2337268-004

Investment adviser status under the IAA requires that the advice concern a security; without a security in the dealings between adviser and client the statutory definition does not apply.

Source quote, verbatim

Providing investment advice and being considered an investment adviser under the IAA requires that a person renders advice with regard to a security.

From

Wulf A. Kaal, Investment Adviser Regulation (2013), 1. Definitions, p. 5
https://ssrn.com/abstract=2337268 · source PDF

Cite as

Wulf A. Kaal, Investment Adviser Regulation (2013). SSRN: https://ssrn.com/abstract=2337268

Holds when

classification of a person as an investment adviser under the IAA

Classification

conditionsupport: arguedprivate-fundsconsensus-and-securitysecurities-law

Verify

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Attestation record: colloquium/attestations/1b28d36b72ecb6e9...json
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