Investment professionals definition

Investment professionals means - (a) an authorised person; (b) an exempt person where the communication relates to a controlled activity which is a regulated activity in relation to which the person is exempt; (c) any other person - (i) whose ordinary activities involve him in carrying on the controlled activity to which the communication relates for the purpose of a business carried on by him; or (ii) who it is reasonable to expect will carry on such activity for the purposes of a business carried on by him; (d) a government, local authority (whether in the United Kingdom or elsewhere) or an international organisation; (e) a person ("A") who is a director, officer or employee of a person ("B") falling within any of sub-paragraphs (a) to (d) where the communication is made to A in that capacity and where A's responsibilities when acting in that capacity involve him in the carrying on by B of controlled activities.
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Investment professionals means people or firms whose primary business is bringing together institutional funds and investment opportunities. They must (1) be registered or licensed as broker-dealers or investment advisors under Connecticut law or under federal law with the Securities and Exchange Commission or the National Association of Securities Dealers, as appropriate; (2) be licensed as real estate brokers or sales people in Connecticut or in the jurisdiction where the investment property is located; or (3) furnish an investment manager with “marketing services” and meet the criteria in the Ethics Commission regulations or the treasurer's interim requirements.
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Investment professionals means investment professionals of the Management Company (including Key Executives) actively participating in the management of the Partnership or its Investments or other funds managed by the Management Company.
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Examples of Investment professionals in a sentence

  • Investment professionals all northrup nda non compete agreement, partners or others with whom we work to comply with these laws and regulations could result in administrative, or which is rightfully received by Seller from a third party without obligation of confidence.

  • Investment professionals around the world use MSCI data for many purposes, including performance measurement.

  • Investment professionals mentioned include portfolio managers, research analysts/associates, traders, product specialists, and team-specific economists/strategists.

  • Investment professionals of a Participating Affiliate may render substantially similar portfolio management research or trading services to their own advisory clients and the performance achieved may be better or worse than that achieved on behalf of the Adviser’s clients.


More Definitions of Investment professionals

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Related to Investment professionals

  • Agent Professionals means attorneys, accountants, appraisers, auditors, business valuation experts, liquidation agents, collection agencies, auctioneers, environmental engineers or consultants, turnaround consultants, and other professionals and experts retained by Agent.

  • Qualified professional means, for the purposes of OAR 411-320- 0080, any of the following licensed professionals trained to make a diagnosis of a specific intellectual or developmental disability:

  • Health professional means that term as defined in section 5883 of the public health code, 1978 PA 368, MCL 333.5883.

  • Professionals means those Persons (a) employed pursuant to an order of the Bankruptcy Court in accordance with Sections 327 or 1103 of the Bankruptcy Code and to be compensated for services pursuant to Sections 327, 328, 329, 330 and 331 of the Bankruptcy Code, or (b) for which compensation and reimbursement has been allowed by the Bankruptcy Court pursuant to Section 503(b)(4) of the Bankruptcy Code.

  • Medical professional means a person licensed to practice