Covered Associates means, as it relates to the Firms, any:
Covered Associates means (i) the Adviser’s general partners, managing members, executive officers and other individuals with a similar status or function; (ii) the Adviser’s employees who solicit a government entity for the Adviser and persons who supervise, directly or indirectly, such employees; and (iii) any political action committee controlled by the Adviser or by any person described in (i) or (ii) above. An “executive officer” of the Adviser means the president, any vice president in charge of a principal business unit, division or function (such as sales, administration or finance), any other officer of the Adviser who performs a policy-making function or any other person who performs similar policy-making functions for the Adviser.
Covered Associates means (i) Finisterre’s general partners, managing members, executive officers and other individuals with a similar status or function; (ii) Finisterre’s employees who solicit a government entity for Finisterre and persons who supervise, directly or indirectly, such employees; and (iii) any political action committee controlled by Finisterre or by any person described in (i) or (ii) above. An “executive officer” of Finisterre means the president, any vice president in charge of a principal business unit, division or function (such as sales, administration or finance), any other officer of Finisterre who performs a policy-making function or any other person who performs similar policy-making functions for Finsiterre.
Examples of Covered Associates in a sentence
The Advisers must look-back in time to determine whether a Covered Associate has made a triggering prohibited contribution within the previous two years for new Covered Associates who solicit clients, and six months for new Covered Associates who do not solicit clients.
Covered Associates will disclose such political contributions using the Political Contribution Report.
All Covered Associates (upon hire or otherwise) will also be required to disclose all political contributions made during the two years prior to becoming a Covered Associate.
A record of any and all direct or indirect contributions made by the investment adviser or any of its Covered Associates to an official of a government entity, or direct or indirect payments to a political party or to a political action committee under Rule 204-2.
Certain Supervised Persons are also considered Covered Associates, as defined in Rule 206(4)-5, and must disclose political contributions.
More Definitions of Covered Associates
Covered Associates means (i) the Advisor’s general partners, managing members, executive officers and other individuals with a similar status or function; (ii) the Advisor’s employees who solicit a government entity for the Advisor and persons who supervise, directly or indirectly, such employees; and (iii) any political action committee controlled by the Advisor or by any person described in (i) or (ii) above. An “executive officer” of the Advisor means the president, any vice president in charge of a principal business unit, division or function (such as sales, administration or finance), any other officer of the Advisor who performs a policy-making function or any other person who performs similar policy-making functions for the Advisor.
Covered Associates means (i) the Firm’s general partners, managing members, executive officers and other individuals with a similar status or function; (ii) the Firm’s employees who solicit a government entity for the Firm and persons who supervise, directly or indirectly, such employees; and (iii) any political action committee controlled by the Firm or by any person described in (i) or (ii) above. An “executive officer” of the Firm means the president, any vice president in charge of a principal business unit, division or function (such as sales, administration or finance), any other officer of the Firm who performs a policy-making function or any other person who performs similar policy-making functions for the Firm.
Covered Associates means (i) any general partner, managing member or executive officer of the Forward Management, or other individual with similar status or function, (ii) any employee who solicits a government entity for Forward Management and any person who supervises, directly or indirectly, such employee, (iii) any political action committee controlled by any person described in clauses (i) and (ii), above, and (iv) any other supervised person of Forward Management.
Covered Associates means the chief executive officer (or an individual acting in such capacity) as of the end of the Fiscal Year and any other employee whose total compensation for the Fiscal Year is required to be reported to stockholders under the Securities Exchange Act of 1934 by reason of such employee being among the four highest compensated officers (other than the chief executive officer or other individual acting in such capacity) for the Fiscal Year.
Covered Associates means any Employees who are specifically subject to the regulatory restrictions governing Contributions under the Pay-to-Play Rule. Covered Associates include: (i) any partner, managing member or “executive officer,” or an individual with a similar status or function; (ii) any employee who Solicits a government entity for the Firm (and any person who directly or indirectly supervises such employee); and (iii) any Political Action Committee (“PAC”) controlled by the Firm or a Covered Associate. For purposes of the Code and specifically in reference to political contribution, Covered Associates shall include any person(s) designated as such by Mariner’s General Counsel or Chief Compliance Officer. This shall include any Employee who is Managing Director level or above or who serves in a marketing (e.g., MGCM Registered Representatives), or sales support capacity as further described in the Pay-to-Play section of this Code.
Covered Associates means (i) Aksia’s general partners, managing members, executive officers and other individuals with a similar status or function; (ii) Aksia’s Supervised Persons and any immediate family members living in their households; and (iii) any political action committee controlled by Aksia or by any person described in (i) or (ii) above. An “executive officer” of Aksia means the president, any vice president in charge of a principal business unit, division or function (such as sales, administration or finance), any other officer of Aksia who performs a policy-making function or any other person who performs similar policy-making functions for Aksia.
Covered Associates means any (A) general partner, managing member or executive officer of the Dealer, as well as any person with a similar status or function, (B) any associated person of the Dealer who engages in distribution or solicitation activities with a government entity, (C) any associated person of the Dealer who supervises, directly or indirectly, the government entity distribution or solicitation activities of a person in (B) above, and (D) any political action committee controlled by the Dealer or one of its Covered Associates.