DEFINITIONS Access Person definition

DEFINITIONS Access Person means any director, officer, general partner or Advisory Person of a fund or of a fund's investment adviser, or any employee of a fund or of a fund's investment adviser who, in connection with his or her regular functions or duties, participates in the selection of a fund's portfolio securities or who has access to information regarding a fund's future purchases or sales of portfolio securities. Those persons deemed Access Persons will be notified of this designation.
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DEFINITIONS Access Person means any (1) director, officer, or employee of Post, except directors who (i) do not devote substantially all working time to the activities of Post, and (ii) do not have access to information about the day-to- day investment activities of Post. Every employee should consider himself an Access Person unless otherwise specifically exempted by the Compliance Committee. “Access Person” and “Employee” have the same meaning and are used interchangeably in the Code.Adviser: means Post Advisory Group, LLCBeing Considered For Purchase Or Sale: A security is “being considered for purchase or sale” when a portfolio manager deems it probable that he/she will purchase or sell the security for a client account. The term “purchase or sale of a security” includes the writing of an option to purchase or sell a security or entering into a total return swap regarding such security.Beneficial Ownership: shall be interpreted in the same manner as it would be under Rule 16a-1(a)(2) under the Securities Exchange Act of 1934 when determining whether a person is a beneficial owner of a security for the purposes of Section 16 of the Securities Exchange Act of 1934 and the rules and regulations thereunder.For example, the term “Beneficial Ownership” shall encompass: securities in the person’s own account(s); securities owned by members of the person’s immediate family sharing the same household; a person’s proportionate interest in the portfolio of securities held by a partnership, trust, corporation or other arrangements; and securities a person might acquire or dispose of through the exercise or conversion of any derivative security (e.g. an option, whether presently exercisable or not). See Covered Accounts below.Covered Accounts: shall include any account that an Employee has, or acquires any direct or indirect beneficial ownership in a security held in the account. Generally, an Employee is regarded as having a beneficial ownership of securities held in an account in the name of: (1) the individual; (2) a spouse, minor child, immediate family member or dependent of the Employee sharing the same household; (3) a relative sharing the same house; (4) another person if (i) the Employee obtains benefits substantially equivalent to ownership of the securities; (ii) can obtain ownership of the securities immediately or at some future time; or (iii) can have investment discretion or otherwise exercise control.Covered Securities: shall include all securities, any option to purchase or...
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DEFINITIONS Access Person means any officer, director, employee or other person of the Firm, as well other any other person, who (i) has access to nonpublic information regarding any client’s purchase or sale of Securities; (ii) has access to nonpublic information regarding the portfolio holdings of any client or affiliated mutual funds; or (iii) is involved in making Security recommendations to clients or has access to such recommendations that are nonpublic. This includes positions held by consultants, contractors, temporary employees, interns, co-op students and Principal HR and legal staff supporting the Firm. All Firm employees are deemed to be Access Persons unless otherwise determined by Compliance to be specifically exempted as an Exempt Access Person. Beneficial Ownership
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Examples of DEFINITIONS Access Person in a sentence

  • DEFINITIONS Access Person of the Adviser means any Advisory Person of the Adviser.

  • DEFINITIONS Access Person - All Employees of PIA are deemed Access Persons.

  • DEFINITIONS Access Person means any director, officer, trustee, general partner, managing member, or Advisory Person (as defined below) of CCA.

  • DEFINITIONS Access Person of the Advisor means any Advisory Person of the Advisor.

  • DEFINITIONS Access Person is a supervised person who has access to nonpublic information regarding clients’ purchase or sale of securities, is involved in making securities recommendations to clients or who has access to such recommendations that are nonpublic.

  • If you have any doubt as to the propriety of any activity, you should consult with the Compliance Officer, who is charged with the administration of this Code.I. DEFINITIONS Access Person of the Advisor means any Advisory Person of the Advisor.

  • DEFINITIONS Access Person — All Employees of PIA are deemed Access Persons.


More Definitions of DEFINITIONS Access Person

DEFINITIONS Access Person means each supervised person who has access to nonpublic information regarding clients’ purchases or sales of securities and is involved in making securities recommendations to clients or who has access to such recommendations that are non public. OMGXT’s compliance department has designated the following Supervised Persons as Access Persons:
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Related to DEFINITIONS Access Person

  • Non-Access Person means and include:

  • Access Person means:

  • Access Persons means any employee, officer, or director (provided that directors may rebut the presumption of access established under Rule 17j-1(a)(1) by way of certification) of the Company. Contractors, interns, and other temporary staff are not generally included; however, we seek separate confidentiality representations from such persons.

  • Definition means a provision of this Law (however expressed) that —

  • Non-U.S. Person means a Person who is not a U.S. Person.

  • Permitted Purposes means evaluating the Project, preparing a Proposal, and any other use permitted by the RFP or this Participation Agreement;

  • Permitted Purpose means any activity or process to be undertaken or supervised by a Staff member of one Party during the term of this Agreement, for which purpose authorised disclosure of the other Party’s Confidential Information or Intellectual Property is a prerequisite in order to enable such activity or process to be accomplished;

  • Definitions In this Agreement:

  • Access Period has the meaning set forth in Section 8.1(a).

  • Other Definitional Provisions set forth in Section 1.2 of the Basic Servicing Agreement are incorporated by reference into this 2017-3 Servicing Supplement.

  • Original Term Loans means the "Term Loans" under, and as defined in, the Original Credit Agreement.

  • Specified US Person means a U.S. Person, other than: (i) a corporation the stock of which is regularly traded on one or more established securities markets; (ii) any corporation that is a member of the same expanded affiliated group, as defined in section 1471(e)(2) of the U.S. Internal Revenue Code, as a corporation described in clause (i); (iii) the United States or any wholly owned agency or instrumentality thereof; (iv) any State of the United States, any U.S. Territory, any political subdivision of any of the foregoing, or any wholly owned agency or instrumentality of any one or more of the foregoing; (v) any organization exempt from taxation under section 501(a) of the U.S. Internal Revenue Code or an individual retirement plan as defined in section 7701(a)(37) of the U.S. Internal Revenue Code; (vi) any bank as defined in section 581 of the U.S. Internal Revenue Code; (vii) any real estate investment trust as defined in section 856 of the U.S. Internal Revenue Code;

  • Control Eligible Certificates Any of the Class E, Class F and Class G Certificates.

  • Virtual Collocation shall have the meaning set forth in Sections 8.1.1.1 and 8.2.2.1.

  • Senior Accelerated Distribution Percentage With respect to any Distribution Date occurring on or prior to the 60th Distribution Date and, with respect to any Mortgage Pool comprised of two or more Loan Groups, any Loan Group, 100%. With respect to any Distribution Date thereafter and any such Loan Group, if applicable, as follows:

  • Additional Term Loans means any term loan added pursuant to Section 2.22, 2.23 or 9.02(c)(i).