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Affiliated Person Definition Investopedia

2019-6-26  An affiliated person is someone in a position to influence the actions of a corporation. This includes directors, officers, and certain shareholders. Depending on the context, an affiliated person...

Affiliated Person definition Law Insider

Affiliated Person means a Person (i) who in his individual capacity is a director, trustee, officer, partner or employee of the Manager or of a Person who controls, is controlled by or is under common control with the Manager or (ii) who controls, is controlled by or is under common control with the Manager.

Affiliated Persons (Securities) Law and Legal Definition

Affiliated Persons (Securities) Law and Legal Definition Affiliated Persons are individuals, corporations, trusts, etc. who are in a position to influence a corporation's decisions. It includes officers, directors, and principal stockholders (those with 10% ownership or more) of

15 U.S. Code § 80a–2 Definitions; applicability

1996-4-30  “Affiliated person” of another person means (A) any person directly or indirectly owning, controlling, or holding with power to vote, 5 per centum or more of the outstanding voting securities of such other person; (B) any person 5 per centum or more of whose outstanding voting securities are directly or indirectly owned, controlled, or held with power to vote, by such other person; (C) any

GLOSSARY OF TERMS SEC

2011-6-22  A person is presumed to control a trust if the person is a trustee or managing agent of the trust. [Used in: General Instructions; Part 1A, Instructions, Items 2, 7, 10, 11, 12, Schedules A, B, C, D; DRPs] 8. Custody: Holding, directly or indirectly, client funds or securities, or having any authority to obtain possession of them.

SEC Letter SEC.gov

2005-5-2  The term “affiliate” is defined in Rule 405 under the Act as a “person that directly, or indirectly through

Affiliated Person definition Law Insider

Affiliated Person of another person means (a) any person directly or indirectly owning, controlling, or holding with power to vote, five (5%) percent or more of the outstanding voting securities of such other person; (b) any person five (5%) percent or more of whose outstanding voting securities are directly or indirectly owned, controlled, or held with power to vote, by such other person; (c

Affiliated person Definition Nasdaq

2021-3-13  Affiliated person. An individual who possesses enough influence and control in a corporation as to be able to alter the actions of the corporation. Most Popular Terms: Earnings per share (EPS)

Affiliated person financial definition of affiliated person

A person who is in a position to influence a firm's management decisions. Affiliated persons usually include directors, officers, owners of more than 10% of the firm's outstanding stock, and family members or close associates of these groups.

Definition Of An Affiliate Sec Download or Try Out

Exhaustive information about Definition Of An Affiliate Sec,which includes the register guidance, paying, and all details will be provided while more affiliate programs are also suggested.

Board Director and Audit Committee Member

To answer the question about an “affiliated person”, the definition of an affiliated person by the SEC is “a person that directly, or indirectly through one or more intermediaries, controls or is controlled by, or is under common control with, [the issuer]”. The SEC defines control as

SEC Expands Definition of “Accredited Investor” — RM

2021-2-11  SEC Expands Definition of “Accredited Investor” fund or an affiliated person of the fund who oversees the fund’s investments. with respect to private funds, employees of the fund who, in connection with the employees’ regular functions and duties, have participated in the investment activities of such private fund for at least

Rule 144: Rule 144 -- Are You an Affiliate?

2020-10-22  However, the SEC in Rule 405 sets forth a definition of control as follows: "The term "control" (including the terms "controlling," "controlled by," and "under common control with," means the possession, direct or indirect, of the power to direct or cause the direction of the management and policies of a person, whether through the ownership of

SEC Expansion of Definitions of Accredited Investor

2020-12-8  The definition of “knowledgeable employees,” pursuant to Rule 3c-5(a)(4) under the Investment Company Act of 1940 (the “Investment Company Act”), includes “among other persons, trustees and advisory board members, or persons serving in a similar capacity, of a Section 3(c)(1) or 3(c)(7) fund or an affiliated person of the fund that

SEC Adopts Amendments to Disclosure of Related

2006-8-23  In doing so, companies are required to use the definition for independence for directors (and for committee members) of a national securities exchange or a national securities association, specified by the company. The SEC requires that the same “independence” definition has to be applied consistently to all directors and committee members.

17 CFR § 230.405 Definitions of terms. CFR US Law

2021-2-28  (2) In the case of a new registrant with the Commission, the determination of whether an issuer is a foreign private issuer shall be made as of a date within 30 days prior to the issuer's filing of an initial registration statement under either the Act or the Securities Exchange Act of 1934. (3) Once an issuer qualifies as a foreign private issuer, it will immediately be able to use the forms

Affiliated Persons (Securities) Law and Legal Definition

Affiliated Persons (Securities) Law and Legal Definition Affiliated Persons are individuals, corporations, trusts, etc. who are in a position to influence a corporation's decisions. It includes officers, directors, and principal stockholders (those with 10% ownership or more) of

Affiliated Person definition Law Insider

Affiliated Person of another person means (a) any person directly or indirectly owning, controlling, or holding with power to vote, five (5%) percent or more of the outstanding voting securities of such other person; (b) any person five (5%) percent or more of whose outstanding voting securities are directly or indirectly owned, controlled, or held with power to vote, by such other person; (c

SEC’s Expanded Definition of “Accredited Investor”

Definition of “Affiliated Management Persons” Expands Number of Persons Qualifying as Accredited Investors: For example, the SEC has concluded that persons who participate in the investment activities of “foreign or offshore investment companies” should be eligible for knowledgeable employee status, which would allow them to be

Legal Definition of Affiliate: Everything You Need to

Although the SEC's language may be sufficient for regulatory purposes but may become harder to define if litigation came to pass. If you need help with the legal definition of an affiliate, you can post your legal need on UpCounsel's marketplace. UpCounsel accepts only the top 5 percent of lawyers to its site.

SEC Expands Definition of “Accredited Investor” — RM

2021-2-11  SEC Expands Definition of “Accredited Investor” fund or an affiliated person of the fund who oversees the fund’s investments. with respect to private funds, employees of the fund who, in connection with the employees’ regular functions and duties, have participated in the investment activities of such private fund for at least

SEC Expands the Definition of Accredited Investor

SEC Expands the Definition of Accredited Investor. or person serving in a similar capacity of the private fund or an affiliated management person (i.e., the fund’s investment manager) of

SEC Provides Guidance Regarding Knowledgeable

2014-2-18  In the MFA letter, the SEC staff effectively expanded the types of clients an individual can serve in coming within the category of a knowledgeable employee. By its terms, Rule 3c-5 limits an affiliated management person to an “affiliated person,” as defined in the 1940 Act, who manages the investment activities of the private fund.

Affiliated Companies Definition

2020-11-14  Companies are affiliated when one company is a minority shareholder of another. In most cases, the parent company will own less than a 50% interest in its affiliated company.

SEC Clarifies Registration Obligations of Advisory Affiliates

2016-6-7  SEC Clarifies Registration Obligations of Advisory Affiliates . By . Jay G. Baris and Stephanie Thomas . In an interpretive letter dated January 18, 2012, the Office of Investment Adviser Regulation of the Division of Investment Management clarified the registration requirements of certain investment advisory affiliates. 1. The “no-action

SEC Expands Accredited Investor Definition

2020-8-28  On August 26, 2020, the Securities and Exchange Commission (SEC) approved Amendments to the definition of "accredited investor." This definition is a central component of several exemptions from Securities Act registration, including Rules 506(b) and 506(c) of Regulation D, and plays an important role in other federal and state securities law contexts.