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Frequent Trading Policy Sample Clauses

Frequent Trading Policy. In order to comply with the prohibitions on market timing and frequent trading enforced by the managers of certain Investment Options or their underlying investments, MassMutual applies controls that prohibit Plan Sponsors and participants from transferring into certain Investment Options if the Plan Sponsor or participant has transferred into and out of the Investment Option within the previous sixty (60) days (the “Frequent Trading Policy”). The Plan Sponsor directs MassMutual to apply the Frequent Trading Policy to the Plan and to revise the Frequent Trading Policy as described above. A description of the Frequent Trading Policy is available to the Plan Sponsor upon request. In addition, the Plan Sponsor agrees and acknowledges that the managers of mutual funds and other Investment Options may require MassMutual to impose different or additional trading restrictions or to prohibit further trading by a plan or participant at any time. MassMutual may revise the Frequent Trading Policy, as necessary, to comply with new investment manager or legal requirements.
Sample 1Sample 2See All (4)
Frequent Trading Policy. CHOOSE ONE OF THE FOLLOWING AND INITIAL ON BEHALF OF THE AGENT ON THE APPROPRIATE LINE.
Sample 1Sample 2
Frequent Trading Policy. CHOOSE ONE OF THE FOLLOWING AND INITIAL ON BEHALF OF THE INTERMEDIARY ON THE APPROPRIATE LINE.
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Frequent Trading Policy. Fund/Agent directs FIIOC to monitor, and where appropriate restrict, the frequency of transactions in the Funds executed by participants in the FIIOC Plans. Fund/Agent represents that it has received and reviewed the document entitled “Frequent Trading Policy” and Fund/Agent directs FIIOC to monitor, and where appropriate restrict, participant transactions in the Funds in accordance with the Frequent Trading Policy. Fund/Agent further represents that FIIOC’s actions, in monitoring and restricting the ability of participants to effect transactions in the Funds in accordance with the Frequent Trading Policy, are in compliance with the terms and conditions of each Fund’s Prospectus. Each party acknowledges that the Frequent Trading Policy may be amended from time to time upon provision of written notice from FIIOC and further, that the indemnities available in Article Three of this Agreement apply to the failure to satisfy any obligation hereunder, or the breach of any warranty or representation made herein.
Sample 1Sample 2
Frequent Trading Policy. In order to comply with the prohibitions on market timing and frequent trading enforced by the managers of certain Investment Options or their underlying investments, MassMutual applies controls that prohibit Plan Sponsors and participants from transferring into certain Investment Options if the Plan Sponsor or participant has transferred into and out of the Investment Option within the previous sixty (60) days (the “Frequent Trading Policy”). The Plan Sponsor directs MassMutual to apply the Frequent Trading Policy to the Plan and agrees that MassMutual may revise the Frequent Trading Policy as described above, in its sole discretion. A description of the Frequent Trading Policy is available to the Plan Sponsor upon request. In addition,
Sample 1
Frequent Trading Policy. With respect to Section 6(f) (Frequent Trading Policy) (and Exhibit C) of the Agreement, the Intermediary will apply a frequent trading policy (specified in the modified Exhibit C below) at the VantageTrust Fund product level (i.e., with respect to purchases by Plan participants of units of the VantageTrust Fund), rather than applying the frequent trading policy specified in Exhibit C of the Agreement at the Plan participant level with respect to the applicable Vanguard Fund(s). Solely for these purposes, Exhibit C of the Agreement shall be replaced with the following: For purposes of this Exhibit C, references to “Fund” shall mean the VantageTrust Fund. Beginning on the effective date of this Agreement, under terms of the applicable Contract, Plan participants who exchange any amount out of the Fund prior to Lock-in or take Excess Withdrawals after Lock-in must wait 90 calendar days before exchanging back into the Fund. For purposes of this policy, “exchange out” means a transaction in which proceeds from a redemption of units of the Fund are used to purchase another investment offered within the Plan. This frequent trading policy will not apply to purchases of units of the Fund with Plan participant payroll or employer contributions or loan repayments.”
Sample 1
Frequent Trading Policy. The Company agrees that it will apply the frequent trading policy described in or attached as Exhibit C to this Agreement to Contract owners transacting in the Vanguard Funds through the Accounts, as such Exhibit may be modified by the Company upon reasonable advance written notice to Vanguard. For clarity, the Company and Vanguard agree that the Company will not apply the Vanguard Fund’s frequent trading policy to Contract owner transactions, but instead will apply the policy specified in Exhibit C to Contract owner transactions, as such Exhibit C may be modified by the Company from time to time in its discretion upon at least 60 days prior written notice to Vanguard. In addition, the Company will take action as specified in Section 6(l)(ii).
Sample 1
Frequent Trading Policy. The Intermediary agrees that it will apply the frequent trading policy described in or attached as Exhibit C to this Agreement to Plan participants and Contract owners investing in the Vanguard Funds through the Separate Accounts, as such Exhibit may be modified by the Intermediary upon reasonable advance written notice to Vanguard.
Sample 1

Related to Frequent Trading Policy

  • Pricing Policy Prices and price guarantees exclude taxes and fees, however designated, including but not limited to applicable regulatory, PEG and franchise fees, and regulatory recovery fees, cost recovery charges, Subscriber Line Charges, Network Line Fees, PRI charges, other carrier access fees and/or access fees, Carrier Service Fees, surcharges, the Broadcast TV Fee, Sports Surcharge, excises, program related fees (such as universal service, telecom relay services for the visually/hearing impaired, rights-of-way access, and programs supporting the 911/E911 system), additional equipment, installation, late fee, service call and repair charges, and measured, per call or other usage-based or separately billed charges (collectively, the “Separate Fees and Charges”). The Separate Fees and Charges will vary depending upon your service location and the services to which you subscribe. Not all of the Separate Fees and Charges apply to all services. Customers who participate in a promotional offer with a discount on monthly service fees will revert back to the standard monthly fee for the service at the end of the promotional period, unless the customer’s service is earlier terminated for any reason. Any promotional, discounted or guaranteed price for service applies only to the price of the particular service or services identified, and excludes the Separate Fees and Charges.

  • NON-SMOKING POLICY CONTRACTOR shall establish a written non-smoking policy 11 shall specify that the facility is “smoke free” and that designated smoking areas are outside the visiting 12 areas at the facility.

  • SMOKING POLICY Smoking on the Premises is: (check one)

  • Funding Policy The funding policy for this Split Dollar Plan shall be to maintain the subject policy in force by paying, when due, all premiums required.

  • Investment Policies The Borrower shall at all times be in compliance in all material respects with its Investment Policies (after giving effect to any Permitted Policy Amendments).

  • SIGNIFICANT ACCOUNTING POLICIES The significant accounting policies used in preparing the interim financial statements are the same accounting policies used in the preparation of the annual financial statements for the year ended December 31, 2020.

  • Release Schedule for an Established Issuer Escrow securities will not be released under this Part until the Issuer has delivered to the Escrow Agent a certificate specifying the release schedule, and any other information which the Escrow Agent reasonably requires.

  • Investment Policy Investment objectives, policies and other restrictions for the management of the Investment Assets, including requirements as to diversification, are set forth in Exhibit A to this Agreement. The Sub-Advisor must discharge its duties hereunder in accordance with Exhibit A as revised or supplemented in separate written instructions provided from time to time by the Advisor or the Fund’s Board of Directors.

  • Disclosure Controls and Procedures; Deficiencies in or Changes to Internal Control Over Financial Reporting The Company has established and maintains disclosure controls and procedures (as defined in Rules 13a-15 and 15d-15 under the Exchange Act), which (i) are designed to ensure that material information relating to the Company, including its consolidated subsidiaries, is made known to the Company’s principal executive officer and its principal financial officer by others within those entities, particularly during the periods in which the periodic reports required under the Exchange Act are being prepared; (ii) have been evaluated by management of the Company for effectiveness as of the end of the Company’s most recent fiscal quarter; and (iii) are effective in all material respects to perform the functions for which they were established. Since the end of the Company’s most recent audited fiscal year, there have been no significant deficiencies or material weakness in the Company’s internal control over financial reporting (whether or not remediated) and no change in the Company’s internal control over financial reporting that has materially affected, or is reasonably likely to materially affect, the Company’s internal control over financial reporting. The Company is not aware of any change in its internal control over financial reporting that has occurred during its most recent fiscal quarter that has materially affected, or is reasonably likely to materially affect, the Company’s internal control over financial reporting.

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