Brokerage / Custody Accounts Sample Clauses

Brokerage / Custody Accounts. Name of Institution and Account Holders' Name (i.e., you, spouse , child) Account Number Have you requested duplicate statments (Fund Access Persons only)? Signed By: ______________________________________________________ Print Name: ______________________________________________________ Reviewed By: ______________________________________________________ (compliance officer signature) Date: _______________ XXXXXX/XXXXXXX REPORT ON EXECUTION OF RESTRICTED LIST EMPLOYEE PERSONAL TRADES Print Name: _____________________________________________________ Date: ________________________ On the date above the undersigned sold the Restricted List Securities described below: Number of Shares Name of Security Ticker/Cusip Price Name of Broker, Dealer or Bank Signed By: ______________________________________________________ Print Name: ______________________________________________________ Reviewed By: ______________________________________________________ (compliance officer signature) Date: _______________ Time: _______________ XXXXXX/XXXXXXX EMPLOYEE INTENTION TO PARTICIPATE IN A LIMITED INVESTMENT OPPORTUNITY Print Name: Account Name: Estimated Date of Intended Transaction Number of Shares or Amount Name of Security Name of Broker, Dealer, Bank or Investment Company I confirm that I am not in possession of any Inside Information (as defined in Xxxxxx/Xxxxxxx Fund Advisors, LLC and Xxxxxx/Xxxxxxx Asset Management, LLC’s Code of Ethics) concerning this security or its issuer. ________________________________________________________ Signature of Employee or Employee’s Spouse Trade Approved by: Note: Time and Date Stamp Required · This form must be prepared and submitted to Xxxxx Xxxxxx, or in his absence, Xxxxxxxx Xxxxxxxxxx, for each Private Placement or other transaction in a Limited Investment Opportunity you want to make prior to placing an order for any personal account. · Personal accounts include each and every account for which an employee of Xxxxxx/Xxxxxxx Asset Management, LLC (“the Company”), an employee’s spouse, minor child or other dependent influences or controls investment decisions. Personal accounts also include any other account in which an employee of the Company has a beneficial interest. · No transaction shall be executed in any employee personal account until the employee has received a copy of the approved form, or received verbal or electronic messaging confirmation of approval. Regardless of the type of confirmation, a copy of the approved fo...
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Related to Brokerage / Custody Accounts

  • Custody Account The Custodian shall open and maintain in its trust department a custody account in the name of each Fund, subject only to draft or order of the Custodian, in which the Custodian shall enter and carry all Securities, cash and other assets of the Fund which are delivered to it.

  • Fund Custody Accounts As to each Fund, the Custodian shall open and maintain in its trust department a custody account in the name of the Trust coupled with the name of the Fund, subject only to draft or order of the Custodian, in which the Custodian shall enter and carry all Securities, cash and other assets of such Fund which are delivered to it.

  • Brokerage Accounts The Advisor authorizes and empowers the Subadvisor to direct the Fund's custodian to open and maintain brokerage accounts for securities and other property, including financial and commodity futures and commodities and options thereon (all such accounts hereinafter called "brokerage accounts") for and in the name of the Fund and to execute for the Fund as its agent and attorney-in-fact standard customer agreements with such broker or brokers as the Subadvisor shall select as provided above. The Subadvisor may, using such of the securities and other property in the Fund as the Subadvisor deems necessary or desirable, direct the Fund's custodian to deposit for the Fund original and maintenance brokerage and margin deposits and otherwise direct payments of cash, cash equivalents and securities and other property into such brokerage accounts and to such brokers as the Subadvisor deems desirable or appropriate.

  • Depository Accounts Except to the extent that Manager has not complied with its obligations under Sections 2.4 and 5.2, Owner and Manager agree that Manager shall have no liability for loss of funds of Owner contained in the bank accounts for the Property maintained by Owner or Manager pursuant to this Agreement due to insolvency of the bank or financial institution in which its accounts are kept, whether or not the amounts in such accounts exceed the maximum amount of federal or other deposit insurance applicable with respect to the financial institution in question.

  • Transactions in Foreign Custody Account (a) Except as otherwise provided in paragraph (b) of this Section 3.8, the provision of Sections 2.2 and 2.7 of this Contract shall apply, mutatis mutandis to the foreign securities of the Fund held outside the United States by foreign sub-custodians.

  • Depository Account A trust fund account for the benefit of Owner established and maintained in an FDIC insured or guaranteed account to be opened by the Owner.

  • Custody Account Transactions (a) Securities will be transferred, exchanged or delivered by the Bank or its Subcustodian upon receipt by the Bank of Instructions which include all information required by the Bank. Settlement and payment for Securities received for, and delivery of Securities out of, the Custody Account may be made in accordance with the customary or established securities trading or securities processing practices and procedures in the jurisdiction or market in which the transaction occurs, including, without limitation, delivery of Securities to a purchaser, dealer or their agents against a receipt with the expectation of receiving later payment and free delivery. Delivery of Securities out of the Custody Account may also be made in any manner specifically required by Instructions acceptable to the Bank.

  • Disbursement of Moneys from Fund Custody Account Upon receipt of Proper Instructions, the Custodian shall disburse moneys from the Fund Custody Account but only in the following cases:

  • Depository Bank With respect to any Deposit Accounts, (i) maintain the Deposit Accounts at the banks (a “Depository Bank”) described on Annex B-1 or such additional depository banks as described in the notices given pursuant to clause (iv) of this Section 6(q) as have complied with item (iv) hereof, (ii) upon request of the Secured Party, deliver to each depository bank a letter in the form of Annex C hereto with respect to Secured Party’s Rights in such Deposit Account (or on such other reasonable form as may be provided by the Depository Bank) and use commercially reasonable efforts to obtain the execution of such letter by each Depository Bank that the pledge of such Deposit Account has been recorded in the books and records of such bank and that Secured Party shall have dominion and control over such Deposit Account; (iii) upon request of the Secured Party, deliver to Secured Party all certificates or instruments, if any, now or hereafter representing or evidencing the Deposit Accounts, accompanied by duly executed instruments of transfer or assignment in blank, all in form and substance reasonably satisfactory to Secured Party; and (iv) notify Secured Party upon establishing any additional Deposit Accounts and, at the request of Secured Party, use commercially reasonable efforts to obtain from such depository bank an executed letter substantially in the form of Annex C (or on such other reasonable form as may be provided by the Depository Bank) and deliver the same to Secured Party. Secured Party agrees not to exercise control over such Deposit Account unless an Event of Default shall have occurred and be continuing.

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