Advisory Person

Example Definitions of "Advisory Person"
Advisory Person. Any (a) employee of the Fund who, in connection with his or her regular functions or duties, makes, participates in, or obtains current information regarding the purchase or sale of any security by the Fund, or which functions relate to the making of any recommendation concerning any security held or to be purchased or sold by the Fund, and (b) any natural person in a Control relationship to the Fund who obtains current information concerning recommendations made to the Fund with regard to the... purchase of sale of any Security. View More
Found in EQUUS TOTAL RETURN, INC. contract
Advisory Person. Any (a) employee of the Fund or MCCA who, in connection with his or her regular functions or duties, makes, participates in, or obtains current information regarding the purchase or sale of any security by the Fund, or which functions relate to the making of any recommendation concerning any security held or to be purchased or sold by the Fund, and (b) any natural person in a Control relationship to the Fund or MCCA who obtains current information concerning recommendations made to the Fund... with regard to the purchase of sale of any Security. View More
Found in EQUUS TOTAL RETURN, INC. contract
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