Examples of Associated Persons in a sentence
In addition, Adviser and Sub-Adviser further warrant and represent that neither is (nor any of their respective Associated Persons are) subject to any statutory disqualification set forth in Sections 203(e) and 203(f) of the Investment Advisers Act of 1940 (or any successor Advisers Act sections or rules), nor are they currently the subject of any investigation or proceeding which could result in statutory disqualification.
We are relying on Rule 3a4-1 of the Securities Exchange Act of 1934, Associated Persons of an Issuer Deemed not to be Brokers.
Associated Persons include anyone who would otherwise be categorized as an Access Person under the Policy but is not a Covered Person.
Associated Persons are subject to the respective Code of Ethics of the Affiliate with whom they are employed (collectively “Associated Person Codes”).
Any sales materials created by General Agent or its Associated Persons that refer to Life Company, Allianz, or Life Company products must be submitted to Allianz for prior review and approval.