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Please note that the above summary is provided for information purposes only.

(4)a natural person resident in an EEA State that permits the authorisation of natural persons as qualified investors, who expressly asks to be treated as a professional client and a qualified investor and who meets at least two of the following criteria:(i)he/she has carried out transactions on securities markets at an average frequency of, at least, 10 per quarter over the previous four quarters before the application,(ii)the size of his/her financial instrument portfolio, defined as including cash deposits and financial instruments exceeds EUR 500.000,(iii)he/she works or has worked for at least one year in the financial sector in a professional position which requires knowledge of securities investment.

Please refer to information on How to Request Public Documents.

The following table provides a list of new liquid alternative mutual funds, ETFs, ETNs and closed-end funds that have been launched in 2014.

Important Note: This page contains Division of Investment Management no-action letters dated on or after January 1, 1993.

Division of Investment Management no-action letters issued before that date may be obtained for a copy and processing fee.

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