Frequent Trading. As among the Customer, the IBD, the Funds, and the Distributor, each shall have access to: (i) Customer account numbers, (ii) an IBD identifier, (iii) an investment professional identifier, and (iv) tax identification numbers on transactions and the amounts and dates of those transactions; transmitted by the Clearing Broker to the Distributor. Clearing Broker shall abide by written instructions to block accounts from trading in Shares at the written request of the Distributor, a Fund, or an IBD in order to assist such party in preventing market timing.
Frequent Trading a. The Fund Company may, from time to time, in its sole discretion, restrict certain Investors from purchasing Shares of the Funds. The Fund Company must notify Broker-Dealer in writing, in a form required by Broker-Dealer, of any such restriction, and Broker-Dealer agrees to implement such restriction as soon as practically possible, after its receipt of notification of such restriction from the Fund Company according to the provisions of Exhibit B-1 or B-2, as applicable. If the Fund Company wishes to reinstate the Investor, the Fund Company must notify the Broker-Dealer in writing as soon as practically possible.
b. Upon request, Broker-Dealer will provide the Fund Company with a copy of the current FundAccess frequent trading policy. The Parties agree that Broker-Dealer will not be responsible for monitoring the frequent trading policy of any Fund.
Frequent Trading. Frequent trading can be time consuming and distracting, and frequent trading of Company Securities can create an appearance of wrongdoing even if the decision to trade was based solely on public information. Therefore, we strongly discourage frequent trading of Company Securities and encourage our employees not to trade Company Securities for short-term trading profit. • Short Sales. Short sales of Company Securities (i.e., the sale of a security that the seller does not own) by any officer, director or employee are prohibited. Short sales may evidence an expectation on the part of the seller that the securities will decline in value and therefore have the potential to signal to the market that the seller lacks confidence in the Company’s prospects. Short sales may also reduce a seller’s incentive to seek to improve the Company’s performance. In addition, Section 16(c) of the Securities Exchange Act of 1934, as amended, and the rules and regulations thereunder (the “Exchange Act”) prohibit officers and directors of the Company from engaging in short sales. (Short sales arising from certain types of hedging transactions are governed by the paragraph below captioned “Hedging Transactions.”)
Frequent Trading. NFS makes and will continue to make available to Fund/Agent tools for monitoring of disruptive trading practices and for communication to NFS as to which accounts to provide warnings and/or blocks from trading. NFS will execute instructions to restrict or prohibit further purchases or exchanges by any Shareholder identified by the Funds as having engaged in trading that violates the Funds’ market timing policies. In addition, NFS will reasonably cooperate with the funds to investigate and address transactions identified by the Funds as being disruptive.
Frequent Trading. MassMutual shall abide by requirements of the Funds’ frequent trading policy as described in the Series’ Prospectus and statement of additional information. k.
Frequent Trading. A. The Trust has adopted policies concerning the frequent trading of Fund Shares. For the purpose of implementing Rule 22c-2, the Trust has adopted policies and procedures designed to detect frequent trading activity ("Frequent Trading Procedures") and will provide a copy of such Frequent Trading Procedures to UMBFS prior to commencement of a Fund's operations.
B. The Trust hereby instructs and directs UMBFS to implement the Monitoring Procedures on its behalf, as such may be amended or revised from time to time.
Frequent Trading. A Second Round Trip (as defined below) within the same Fund within 90 (ninety) calendar days after the completion of a Round Trip within that Fund.
Frequent Trading. As among the Client, the IBD, the Funds, and the Fund Agent, each shall have access to: (i) Client account numbers; (ii) an IBD identifier; (iii) an investment professional identifier; and (iv) tax identification numbers on transactions and the amounts and dates of those transactions, transmitted by Recordkeeping Agent to Fund Agent or its designated agent. Recordkeeping Agent shall abide by written instructions to block accounts from trading in Shares at the written request of the Fund Agent, its designated agent, a Fund, or an IBD in order to assist such party in preventing market timing.
Frequent Trading. In limited circumstances, IAR or outside money manager may engage in a strategy involving frequent trading. Active trading can be extremely risky and is not appropriate for someone of limited resources, limited investment experience or low risk tolerance. Client should carefully examine the disclosures provided in the APA ADV Part 2 or disclosure brochure for additional information regarding frequent or active trading strategies.
Frequent Trading. C.M. Life shall abide by requirements of the Funds’ frequent trading policy as described in the Series’ Prospectus and statement of additional information.
