entity · derived

Client definition

2 claims across 1 works, 2012–2012.

Derived node: assembled mechanically from the claims carrying client-definition. A roster, not an adjudicated definition.

Every claim under this term

• 2150377-003 2012 mechanism: 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
• 2150377-004 2012 failure: Before Dodd-Frank the perimeter of hedge fund regulation was set by SEC no-action letters on client counting and by courts that gave very limited and sometimes contradictory guidance, so compliance re

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