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What does 3C7 mean?

1. However, 3C7 is one of two exemptions in the Investment Company Act of 1940 that hedge funds, venture capital funds, and other private equity funds use to avoid SEC restrictions. This frees up these funds to use tools like leverage and derivatives that most publicly traded funds cannot.

What is the difference between 3C1 and 3c7 exemptions?

A 3(c)(1) fund allows only 100 accredited investors, or 250 accredited investors if the fund size is less than $10M. A 3(c)(7) fund can accept up to 2,000 qualified purchasers.

What are investment restrictions?

Definition. Investment Restriction. Limitations that apply to the fund as a whole, such as risk factors. these are used to determine whether the fund is appropriate for a given type of investor to invest in. These are defined by the overall Fund investment policy.

What is the SEC 3 C 7 exemption?

Section 3(c)(7) of the 1940 Act excludes privately held investment companies from falling within the definition of an investment company under the 1940 Act if: (1) it is not making or proposing to make a public offering, and (2) the companys outstanding securities are owned exclusively by qualified purchasers.

Can a 3C1 fund charge performance fees?

Generally, Section 3(c)(1) hedge funds accept both accredited investors and qualified clients as investors. And for a performance fee to be charged, a fund must limit its shareholders to qualified investors only.