Third party solicitor definition
Third party solicitor means a person soliciting clients on behalf of a licensed investment adviser or a federal covered adviser who is neither a partner, officer, director, or employee of the adviser, nor a supervised person of that adviser.
Third party solicitor means a third-party placement agent or lobbyist who solicits investment management business through direct or indirect communication with a State officer, employee, or official on behalf of an investment management firm, but does not include any person whose sole basis of compensation from the investment management firm is the actual provision of legal, accounting, engineering, real estate, or other professional advice, services, or assistance. The term “third-party solicitor,” when used with respect to a particular investment management firm, shall not include a person that directly or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with, the investment management firm; a third-party placement agent or lobbyist who solicits clients other than the PFRSNJ to engage that investment management firm to provide investment management services; or a third-party placement agent or lobbyist who solicits the PFRSNJ on behalf of another investment management firm.
Third party solicitor means a person who solicits the engagement or retention of investment management or other business through direct or indirect communication with NHRS on behalf of or in the interest of a Vendor. For the purposes of this paragraph 3.18, “communication” with NHRS includes communication with its Trustees, IIC members, employees, consultants or other professional advisers, or any State Official, labor union, or employee association authorized to nominate or appoint members to the Board or IIC, or officer, director, executive, agent or employee acting in behalf of such union or employee association.
More Definitions of Third party solicitor
Third party solicitor means any person or entity that receives payment, as defined above, from the adviser for the purposes of soliciting advisory business, including, but not limited to, placement agents and consultants.
Third party solicitor means a person soliciting others to become clients on behalf of a registered investment adviser or a federal covered investment adviser who is neither a partner, offi-
Third party solicitor means a third party lobbyist who solicits investment management business through direct or indirect communication with the State or a State official on behalf of an investment management firm, but does not include any person whose sole basis of compensation from the investment management firm is the actual provision of legal, accounting, engineering, real estate or other professional advice, services or assistance.
Third party solicitor means a person that, for
Third party solicitor means a third party placement agent or lobbyist who solicits investment management business through direct or indirect communication with a State officer, employee, or official on behalf of an investment management firm, but does not include any person whose sole basis of compensation from the investment management firm is the actual
Third party solicitor means a person soliciting clients on behalf of a licensed investment adviser or a federal covered advis- er who is neither a partner, officer, director, or employee of the ad- viser, nor a supervised person of that adviser.
Third party solicitor means a person that, for compensation, directly or indirectly, solicits a client for or refers a client to an investment adviser, a federal covered investment adviser, or an investment adviser representative. The term does not include the following: