Illegal Activity
none
Blackmail
none
Date
1934
Document Type
legal filing
Model
gemini-2.0-flash-001
Processed
2026-02-07T18:41
Summary
This document outlines the legal and regulatory framework for the Access Fund, detailing exemptions from the Securities Exchange Act, Investment Company Act, and Commodity Exchange Act. It also addresses compliance with anti-money laundering requirements and restrictions on the offer and sale of interests in certain jurisdictions.
Metadata
- Subject
- U.S Securities Exchange Act of 1934
- Sender
- —
- Recipients
- —
- Document ID
- DB-SDNY-0088368
- Date
- 1934
Relationships 2
| Entity 1 | Relationship | Entity 2 | Description |
|---|---|---|---|
| General Partner | Business | Access Fund | The General Partner manages the Access Fund and must comply with regulations. |
| Investment Manager | Business | Access Fund | The Investment Manager manages investments for the Access Fund and must comply with regulations. |
Notable Quotes 2
The Access Fund does not expect to have any class of equity security held of record by two thousand (2,000) or more persons and expects to meet the other exemptions available under the Exchange Act.
The General Partner reserves the right to prevent the ownership of Interests by any person if the effect of such ownership would preclude the Access Fund from relying on Section 3(cX7) of the Investment Company Act or otherwise require the Access Fund to register as an 'investment company' under the Investment Company Act.
Financial Information
Assets:
- Interests
Public Knowledge
- Context
- Legal and regulatory compliance information for investment funds is generally not public knowledge unless disclosed in official filings.
Legal Compliance
- Compliance with U.S. Securities Exchange Act of 1934
- Compliance with Investment Company Act of 1940
- Compliance with Commodity Exchange Act of 1974
- Compliance with Anti-Money Laundering Requirements
Raw Analysis JSON
click to expand
Themes
Financial transactions/money flowLegal matters/litigationCompliance/regulatory
Organizations 4
SOUTHERN FINANCIAL LLCAccess FundNational Futures Association (NFA)CFTC
Locations 1
U.S.
Text Analysis
- Tone
- Formal, legal
- Purpose
- To outline the legal and regulatory framework under which the Access Fund operates, including exemptions from certain regulations.
- Significance
- This document is significant because it details the legal and compliance considerations for the Access Fund, including exemptions from various regulatory requirements.
File Info
- File Name
- EFTA01386602.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:41:03.292064
- DOJ Source
- View on DOJ