Supervised Person: Any of your officers, partners, directors (or other persons occupying a. similar status or performing similar functions), or employees, or any other person who. provides investment advice on your behalf and is subject to your supervision or control. [
What is the definition of supervised person?
The Advisers Act defines “Supervised Person” to mean any partner, officer, director (or other person occupying a similar status or performing similar functions), or employee of an investment adviser, or other person who provides investment advice on behalf of the investment adviser and is subject to the supervision and
What is the definition of an access person?
“Access persons” are defined in Rule 204A-1 as. supervised persons who have access to nonpublic. information regarding clients’ purchase or sale of. securities, are involved in making securities.
Who supervises an RIA?
A supervised person is any partner, officer, director, or employee of an RIA who provides investment advice on behalf of the firm.
What is Rule 204 a1?
Under Rule 204A-1, SEC registered investment advisory firms are required to establish and enforce standards of conduct expected of employees as part of its Code of Ethics.
May 28, 2005
What is a supervised person under the Advisers Act?
“Supervised person” means any partner, officer, director (or other person occupying a similar status or performing similar functions), or employee of an investment adviser, or other person who provides investment advice on behalf of the investment adviser and is subject to the supervision and control of the investment
Who is an access person in insider trading?
“Access Person” means any director, officer, general partner, or Advisory Person of a Fund or of a Fund’s investment adviser. For purposes of this Code, a director, officer, general partner or Advisory Person is deemed an Access Person as to the particular Fund for which he or she serves in that capacity.
What is an access employee?
Access Employee means any employee or prospective employee who might reasonably be expected in the course of his employment to have regular contact with children and young people under the age of 18, the elderly, sick and disabled persons; Sample 1Sample 2.
What does access yourself mean?
/ˌselfˈæk.ses/ a method of learning in which students use books, videos, etc. to study on their own: self-access material.
Feb 1, 2023
What does access mean in business?
Market access refers to the ability of a company or country to sell goods and services across borders. Market access can be used to refer to domestic trade as well as international trade, although the latter is the most common context. Market access is not the same as free trade.