entity · derived
Advisers act
Derived node: assembled mechanically from the claims carrying advisers-act. A roster, not an adjudicated definition.
Every claim under this term
- 2150377-003 : The client counting safe harbor, which let an adviser count a pooled entity rather than each investor as a single client, allowed advisers to manage large amounts of securities indirectly for several
- 2150377-005 : Losing the private adviser exemption imposed a bundle of obligations, disclosure duties and code of ethics requirements on top of inspections and record keeping, and the direct consequence was signifi
- 2389423-012 : Title IV mandates hedge fund adviser registration in order to increase record keeping and disclosure, requiring advisers above the statutory AUM threshold to register as investment advisers and to dis