Adviser Code definition

Adviser Code means the code of practice in relation to the register of advice organisations for the time being in force under Schedule 1A to this Act;”;
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Adviser Code means the Code of Ethics adopted by the Adviser and attached as Appendix F.7 to this Code of Ethics.
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Adviser Code means the Code of Ethics adopted by the Adviser and approved by the Board.
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Examples of Adviser Code in a sentence

  • The Investment Adviser Code of Ethics (“Code”), as adopted by Prudential’s registered investment advisers, includes the Personal Securities Trading Policy and the Statement of Policy Restricting Communication and the Use of Issuer-Related Information by Prudential Investment Associates (“Chinese Wall Policy”).

  • The Exchange notes that paragraph 4.4 of the Corporate Finance Adviser Code of Conduct requires that all requirements applicable to sponsors as set out in the Exchange Listing Rules be satisfied.

  • In addition, this Policy together with a separately adopted Investment Adviser Code of Business Conduct and Ethics, is intended to comprise TIM’s code of ethics described in Rule 204A-1 under the Investment Advisers Act of 1940.

  • Insofar as the GEM Listing Rules impose a higher standard of conduct on independent financial advisers than that set out in the Commission’s Corporate Finance Adviser Code of Conduct, the Code of Conduct, the Takeovers Code, the Share Buy-backs Code and all other relevant codes and guidelines applicable to them, the GEM Listing Rules will prevail.

  • The company shall submit to Treasury with its initial application for a certificate of authority, and annually thereafter, a written statement signed by such State official attesting to the current market value of the deposit (not less than $100,000) and that the legal invest- ments remain on deposit with the State under the terms specified.[36 FR 9630, May 27, 1971, as amended at 79FR 62000, Oct.

  • Each of the Non-BISYS Employee Registered Representatives identified in the attached report have received and are subject to the [Insert Investment Adviser] Code of Ethics.

  • The Exchange notes that paragraph 4.4 of the Corporate Finance Adviser Code of Conduct requires that all requirements applicable to Sponsors as set out in the GEM Listing Rules be satisfied.

  • Examples: ● If there are some minimal core metadata elements, such as the dataset title, data source, publication date and format, answer YES.

  • Application of other rules 6A.28 Insofar as the GEM Listing Rules impose a higher standard of conduct on Sponsors or Compliance Advisers than that set out in the Commission’s Corporate Finance Adviser Code of Conduct, the Code of Conduct, the Takeovers Code, the Share Buy-backs Code and all other relevant codes and guidelines applicable to them, the GEM Listing Rules will prevail.

  • The Registrant does not issue any “reportable funds” or “reportable securities” as defined in SEC Final Rule: Investment Adviser Code of Ethics, Rel.


More Definitions of Adviser Code

Adviser Code means the Code of Ethics adopted by the Adviser as described in Appendix C to this Code of Ethics.
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Adviser Code means the Code of Ethics adopted by any Adviser.
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Adviser Code means the Employee Investment Transaction Policy adopted by the Adviser and approved by the Board.
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Adviser Code means the Employee Investment Transaction Policy in the form most recently adopted by the Adviser.
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Adviser Code means the code of ethics adopted by the Adviser and approved by the Board of Directors of the Company.
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Adviser Code means the Code of Ethics adopted by the Adviser.
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Related to Adviser Code

  • QR Code means a matrix barcode that links to information about a battery model;

  • IBC Code means Insolvency and Bankruptcy Code, 2016 as amended from time to time;

  • Investment Advisers Act means the Investment Advisers Act of 1940, as amended.

  • The revised school code means 1976 PA 451, MCL 380.1 to 380.1852.

  • STCW Code means the Seafarers’ Training, Certification and Watchkeeping Code as adopted by resolution 2 of the 1995 Conference of Parties to the STCW Convention, in its up-to-date version;

  • Investment adviser representative means an individual employed by or associated with an investment adviser or federal covered investment adviser and who makes any recommendations or otherwise gives investment advice regarding securities, manages accounts or portfolios of clients, determines which recommendation or advice regarding securities should be given, provides investment advice or holds herself or himself out as providing investment advice, receives compensation to solicit, offer, or negotiate for the sale of or for selling investment advice, or supervises employees who perform any of the foregoing. The term does not include an individual who:

  • Investment Adviser or "Adviser" means a party furnishing services to the Trust pursuant to any contract described in Article IV, Section 7(a) hereof;

  • Polar Code means the International Code for ships operating in polar waters, consisting of an introduction, part I-A and part II-A and parts I-B and II-B, as adopted by resolutions MSC.385(94) and MEPC.264(68), as may be amended, provided that:.1 amendments to the environment-related provisions of the introduction and chapter 4 of part II-A of the Polar Code are adopted, brought into force and take effect in accordance with the provisions of article 16 of the present Convention concerning the amendment procedures applicable to an appendix to an annex; and.2 amendments to part II-B of the Polar Code are adopted by the Marine Environment Protection Committee in accordance with its Rules of Procedure.

  • Adviser means a party furnishing services to the Trust pursuant to any contract described in Article IV, Section 7(a) hereof;

  • Takeover Code means the City Code on Takeovers and Mergers.

  • Administrative Code means the San Francisco Administrative Code.

  • Independent Adviser means an independent financial institution of international repute or an independent financial adviser with appropriate expertise appointed by the Issuer under Condition 5(j)(i).

  • Investment Advisor means, in relation to a Portfolio, the investment manager or investment advisor of the Portfolio.

  • Expert Advisor means a mechanical online trading system designed to automate trading activities on an electronic trading platform such as the Company’s Trading Platform. It can be programmed to alert the Client of a trading opportunity and can also trade his Trading Account automatically managing all aspects of trading operations from sending orders directly to the Trading Platform to automatically adjusting stop loss, Trailing Stops and take profit levels.

  • Investment Company Act of 1940 means the Investment Company Act of 1940, as amended, and the rules and regulations thereunder.

  • Investment Advisory Services means (a) advice with respect to the desirability of investing in, purchasing or selling securities or other property, including the power to determine what securities or other property shall be purchased or sold, but not including furnishing only statistical and other factual information (such as economic factors and trends); and (b) the provision of financial, economic or investment management services, but only if ancillary and related to the advice referred to in clause (a) above.

  • Federal covered investment adviser means a person registered under the Investment Advisers Act of 1940.

  • IMDG Code means the International Maritime Dangerous Goods Code, for the implementation of Chapter VII, Part A, of the International Convention for the Safety of Life at Sea, 1974 (SOLAS Convention), published by the International Maritime Organization (IMO), London;

  • Italian Civil Code means the Italian civil code, as approved by Royal Decree no. 262 of 16 March 1942, as subsequently amended and supplemented;

  • Civil Code the Civil Code of Québec, or any successor statute, as amended from time to time, and includes all regulations thereunder.

  • Erasmus Code A unique identifier that every higher education institution that has been awarded with the Erasmus Charter for Higher Education receives. It is only applicable to higher education institutions located in Programme Countries. 5 Country code: ISO 3166-2 country codes available at: xxxxx://xxx.xxx.xxx/obp/ui/#search. 6 Any Programme Country enterprise or, more generally, any public or private organisation active in the labour market or in the fields of education, training and youth (training of staff members from Programme Country HEIs in Partner Country non-academic partners is not eligible).

  • Advisers Act means the Investment Advisers Act of 1940, as amended.

  • Independent Advisor means an independent, nationally recognized accounting firm approved by the Parties, where such approval shall not be unreasonably withheld by either Party.

  • Independent Financial Adviser means an independent financial institution of international repute appointed by the Company at its own expense.