Examples of Investment Personnel in a sentence
All Investment Personnel and Portfolio Managers require PRIOR written approval from the Legal or Compliance Department before they may serve on the board of directors of any public company.
Investment Personnel who wish to participate in an investment club must request Chief Investment Officer approval prior to joining in the club activity.
Violations of Investment Personnel and proposed sanctions will be reported to the responsible Chief Investment Officer and/or Manager.
Nevertheless, a personal trade by any Investment Personnel shall not prevent a Fund in the same Complex from trading in the same or an equivalent security.
Such approval will take into account, among other factors, whether the investment opportunity should be reserved for the Fund and its shareholders and whether the opportunity is being offered to the Investment Personnel by virtue of his or her position with the Fund.