Fairness Policy. In bulk fills, the following procedure is followed:
Fairness Policy a) In allocating investment opportunities among clients, we will seek to ensure that all clients are dealt with in a fair manner. All accounts receive similar treatment and no accounts are given special preference. Securities are allocated to accounts for which trade orders are initiated. In situations where purchases or sales of securities are pooled or blocked for multiple client portfolios, partial fills will be allocated on a pro rata basis, considering factors such as cash position, asset mix and policy guidelines. However, if such prorating should result in an inappropriately small portion for the Account, the allotment will be reallocated to another account. No odd lots will be allocated;
Fairness Policy. In order to ensure fairness in the allocation of investment opportunities among the XXX Managed Accounts and the XXX Investment Funds (each a “XXX Client”), XXX will allocate investment opportunities with consideration to the suitability of such investments to each XXX Client’s investment objectives and strategies, portfolio composition, restrictions and cash availability (even though the investment objectives and strategies are substantially the same for some of the XXX Clients and cash flows of each XXX Client can be substantially different given daily/monthly subscriptions and redemptions/withdrawals). As well, cash flows (subscription inflows and redemptions/withdrawals) and investment strategies can influence the allocation process in order to maintain property weightings in each XXX Client account. If an investment opportunity is suitable for more than one XXX Client, XXX will allocate such investment opportunities equitably in order to ensure that each XXX Client has equal access to the same quality and quantity of investment opportunities. To ensure fairness in the allocation of investment opportunities as between each XXX Client, XXX will ensure:
Fairness Policy. No employee of MTC shall be admitted to any share or part of this Continuation Agreement or to any benefit that may arise therefrom that is not available to the general public.
Fairness Policy. Worldsource shall carry out its duties hereunder in accordance with its fairness policy, a copy of which is attached hereto as Schedule “A”.
Fairness Policy. Before we take the decision to accept your offer, we are required by law to check the fairness of the price proposed to you by gathering market data used in the estimation of the price of such product and, where possible, by comparing with similar or comparable products.
Fairness Policy. (a) In allocating investment opportunities among clients, BPICI will seek to ensure that all clients are dealt with in a fair manner . All accounts receive similar treatment and no accounts are given special preference . Securities are allocated to accounts for which trade orders are initiated . In situations where purchases or sales of securities are pooled or blocked for multiple client portfolios, partial fills will be allocated on a pro rata basis, considering factors such as cash position, asset mix and policy guidelines . However, if such prorating should result in an inappropriately small portion for the account, the allotment will be reallocated to another account . No odd lots will be allocated;
Fairness Policy. In the course of acting for its clients, there may arise occasions when the quantity of a security available at the same price is insufficient to satisfy the requirements of every account, or the quantity of a security to be sold is too large to be completed at the same price. Similarly, new issues of a security (i.e., an initial public offering) which may be a suitable investment for one or more accounts may be insufficient to satisfy the total requirements of all accounts. Under such conditions, Globevest has adopted a Fairness Policy as part of its Internal Controls Handbook to ensure the fair and equitable participation of client portfolios in investment opportunities where the transaction is consistent with the client’s mandate. A copy of this policy is provided with this Statement of policies. Any terms used herein and defined under National Instrument 31-103 Registration Requirement and Exemptions shall have the meaning herein ascribed to them by such National Instrument. SCHEDULE D TO BE COMPLETED BY ACCREDITED INVESTORS TO: GLOBEVEST CAPITAL LTD. (“GLOBEVEST”) AND TO: (AS THE CASE MAY BE) THE GLOBEVEST CAPITAL POOLED FUNDS RE: PURCHASE OF SECURITIES IN THE ACCOUNT By signing below, the Client, who is resident of Canada, represents and warrants to Globevest and any applicable Fund(s), that he, she or it is purchasing securities or units of a Fund(s) as principal and under one or more of the following categories of accredited investor (xxxx applicable categories):
