Form Pf - Reporting Form For Investment Advisers To Private Funds And Certain Commodity Pool Operators And Commodity Trading Advisors Page 57
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64Form PF: Glossary of Terms
Page 3
managed accounts that pursue substantially the same investment objective and
strategy and invest side by side in substantially the same positions) has a gross
asset value greater than the gross asset value of such private fund (or, if such
private fund is a parallel fund, the gross asset value of the parallel fund structure
of which it is a part).
Derivative
All synthetic or derivative exposures to equities, including preferred equities, that
exposures to
are not listed on a regulated exchange. Include single stock futures, equity index
unlisted equities
futures, dividend swaps, total return swaps (contracts for difference), warrants and
rights.
EEA
The European Economic Area. As of the effective date of this Form PF, the EEA
is comprised of: (i) the European Union member states, which are Austria,
Belgium, Bulgaria, Cyprus, the Czech Republic, Denmark, Estonia, Finland,
France, Germany, Greece, Hungary, Ireland, Italy, Latvia, Lithuania,
Luxembourg, Malta, the Netherlands, Poland, Portugal, Romania, Slovakia,
Slovenia, Spain, Sweden and the United Kingdom; and (ii) Iceland, Liechtenstein
and Norway.
ETF
Exchange-traded fund.
Exempt reporting
Has the meaning provided in Form ADV.
adviser
Exotic CDS
CDSs referencing bespoke baskets or tranches of CDOs, CLOs and other
structured investment vehicles, including credit default tranches.
Feeder fund
See master-feeder arrangement.
Financial industry
Any of the following: (i) a nonbank financial company, as defined in the
portfolio company
Financial Stability Act of 2010; or (ii) any bank, savings association, bank
holding company, financial holding company, savings and loan holding company,
credit union or other similar company regulated by a federal, state or foreign
banking regulator, including the Federal Deposit Insurance Corporation, the
Board of Governors of the Federal Reserve System, the Office of the Comptroller
of the Currency, the National Credit Union Administration or the Farm Credit
Administration.
Firm
The private fund adviser completing or amending this Form PF.
Foreign exchange
Any derivative whose underlying asset is a currency other than U.S. dollars or is
derivative
an exchange rate. Cross-currency interest rate swaps should be included in
foreign exchange derivatives and excluded from interest rate derivatives.
Only one currency side of every transaction should be counted.
Form ADV
Form ADV, as promulgated and amended by the SEC.
Form ADV Section
Section 7.B.1 of Schedule D to Form ADV.
7.B.1
G10
The Group of Ten. As of the effective date of this Form PF, the G10 is comprised
of: Belgium, Canada, France, Germany, Italy, Japan, the Netherlands, Sweden,
Switzerland, the United Kingdom and the United States.
Gold
For questions regarding gold derivatives, provide the value of all exposure to gold
that you do not hold physically, whether held synthetically or through derivatives
(whether cash or physically settled).
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