Adviser Personnel means: (1) any employee of the Trust or an Adviser who, in connection with his or her regular functions or duties, makes, participates in or obtains information regarding the purchase or sale of Securities by any Fund, or whose functions relate to the making of any recommendations with respect to the purchase or sale of Securities by any Fund; (2) any officer, general partner or director of an Adviser; and (3) any natural person in a control relationship to any Fund or any Adviser who obtains information concerning recommendations made to a Fund with regard to the purchase or sale of a Security by a Fund. Any provisions of this Code that apply directly to Adviser Personnel equally apply to accounts in the names of other persons in which Adviser Personnel have Beneficial Ownership.
Adviser Personnel means any person employed by SouthernSun Asset Management or any person who, for value received, provides services to or on behalf of SouthernSun Asset Management, including, but not limited to, consultants, and any person who is an Access Person. Any provisions of this Code that apply directly to Adviser Personnel apply equally to all accounts in the names of the other persons in which Adviser Personnel have Beneficial Ownership.
Adviser Personnel means any person employed by SouthernSun or SSAM UK, or any person who is classified as a Supervised Person (as defined below). Any provisions of this Code that apply directly to Adviser Personnel apply equally to all accounts in the names of the other persons in which Adviser Personnel have Beneficial Ownership.
Examples of Adviser Personnel in a sentence
Complaints submitted by non-Investment Adviser Personnel on an anonymous basis may not be reviewed.
The Compliance Officer shall review the transaction information supplied by Adviser Personnel who are not affiliated with an Adviser, by Trust Personnel and by their affiliates.
Trust Personnel and Adviser Personnel shall also identify any trading account established by the person during the previous quarter with a broker, dealer or bank.
Adviser Personnel and Trust Personnel need not make such a report with respect to transactions effected for any account in which they may have Beneficial Ownership, but over which they do not have any direct or indirect influence or control (for example, a blind trust).
ENFORCEMENT AND PENALTIES With respect to Adviser Personnel affiliated with an Adviser, each Compliance Officer shall identify all Adviser Personnel, inform those persons of their reporting obligations, and maintain a record of all current and former Adviser Personnel.
More Definitions of Adviser Personnel
Adviser Personnel means all employees, whether full-time or part-time, of the Advisers. Any provisions of this Code that apply directly to Adviser Personnel apply equally to accounts in the names of other persons in which Adviser Personnel have Beneficial Ownership.
Adviser Personnel means the officers, directors and employees of Weitz & Co.
Adviser Personnel means any person employed by New River Advisers LLC or any person who, for value received, provides services to or on behalf of New River Advisers LLC, including, but not limited to, consultants, and any person who is an Access Person. Any provisions of this Code that apply directly to Adviser Personnel apply equally to all accounts in the names of the other persons in which Adviser Personnel have Beneficial Ownership.
Adviser Personnel means any person employed by Howe & Rusling or any person who, for value received, provides services to or on behalf of Howe & Rusling, including, but not limited to, consultants, and any person who is an Access Person. Any provisions of this Code that apply directly to Adviser Personnel apply equally to all accounts in the names of the other persons in which Adviser Personnel have Beneficial Ownership.
Adviser Personnel means any person employed by Magnet Investment Group, LLC or any person who, for value received, provides services to or on behalf of Magnet Investment Group, LLC, including, but not limited to, consultants, and any person who is an Access Person. Any provisions of this Code that apply directly to Adviser Personnel apply equally to all accounts in the names of the other persons in which Adviser Personnel have Beneficial Ownership.
Adviser Personnel means all employees, whether full-time or part-time, of Howe & Rusling. Adviser Personnel also includes Decision Making Advisory Persons such as any member of the Howe & Rusling Equity Portfolio Management Committee or the Fixed Income Management Committee. Any provisions of this Code that apply directly to Adviser Personnel apply equally to all accounts in the names of the other persons in which Adviser Personnel have Beneficial Ownership.
Adviser Personnel means any person employed by Cook Mayer Taylor or any person who, for value received, provides services to or on behalf of Cook Mayer Taylor, including, but not limited to, consultants, and any person who is an Access Person. Any provisions of this Code that apply directly to Adviser Personnel apply equally to all accounts in the names of the other persons in which Adviser Personnel have Beneficial Ownership.