Employee Account definition
Employee Account means any brokerage account or unit investment trust account in which the Van Kampen Employee has any direct or indirect beneficial ownership.
Employee Account means the following securities Accounts: (i) any of your personal account(s); (ii) any joint or tenant-in-common account in which you have an interest or are a participant; (iii) any account for which you act as trustee, executor, or custodian; (iv) any account over which you have investment discretion or otherwise can exercise control, including the accounts of entities controlled directly or indirectly by you; (v) any account in which you have a direct or indirect interest through a contract, arrangement or otherwise (e.g., economic, voting power, power to buy or sell, or otherwise); (vi) any account held by pledges, or for a partnership in which you are a member, or by a corporation which you should regard as a personal holding company; (vii) any account held in the name of another person in which you do not have benefits of ownership, but which you can vest or revest title in yourself at once or some future time; (viii) any account of which you have benefit of ownership; and (ix) accounts registered by custodians, brokers, executors or other fiduciaries for your benefit.
Employee Account means any account in which an Employee has Beneficial Ownership, as defined above. Employee Accounts include accounts of the Employee’s spouse, his or her minor children or a relative who shares his or her home, or held by other persons who through any contract, arrangement, understanding or relationship provide him or her with sole or shared voting or investment power over such securities. Employee accounts shall not include accounts over which the Employee does not exercise investment discretion. Whenever a situation arises where an Employee gains sole or shared voting or investment power over securities or when an Employee gets married or shares primary residence with a relative, such Employee shall promptly take all necessary steps to bring such third-party in compliance with the provisions of this Code.
Examples of Employee Account in a sentence
No Employee may open a brokerage account unless a completed and signed copy of a Morgan Stanley Employee Account Request Form is submitted to the Local Compliance Group for approval.
No Employee may open an MSDW Online account unless a completed and signed copy of an MSDW Employee Account Request Form is submitted to the Local Compliance Group for approval.
No Employee may open a brokerage account unless a completed and signed copy of an MSDW Employee Account Request Form is submitted to the Local Compliance Group for approval.
An Investment Club account will be considered an Employee Account for purposes of this Policy and must be maintained at one of the authorized broker-dealers.
A copy of the Morgan Stanley Employee Account Request Form, which may be revised from time to time, is attached as EXHIBIT C.
More Definitions of Employee Account
Employee Account means all accounts in the name of or for the benefit of an Employee, his or her spouse, dependent children or any person living with an Employee or to whom an Employee contributes economic support, as well as any other non-Company client account with respect to which an Employee exercises investment discretion or provides investment advice.
Employee Account means securities trading accounts and privately placed securities owned by Access Persons and any other securities trading accounts in which the Access Person has direct or indirect Beneficial Ownership. Employee Accounts include accounts of your immediate family members and others. See the definition of “Beneficial Ownership.”
Employee Account means any account in which an Employee has beneficial ownership, as defined above. Employee Accounts include accounts of the Employee's spouse, his or her minor children or a relative who shares his or her home, or held by other persons who through any contract, arrangement, understanding or relationship provide him or her with sole or shared voting or investment power over such securities.
Employee Account means the following Securities accounts: any personal account of an Employee; any joint or tenant-in-common account in which the Employee has an interest or is a participant; any account for which the Employee acts as trustee, executor, or custodian; any account over which the Employee has investment discretion or otherwise can exercise control (except advisory client accounts that are not related accounts), including the accounts of entities controlled directly or indirectly by the Employee; and any other account in which the Employee has a direct or indirect Beneficial Interest (other than such accounts over which the Employee has no investment discretion and cannot otherwise exercise control).
Employee Account means that portion of an Account attributable to a Participant's Salary Deferral Account and Rollover Account.
Employee Account means that portion of Participant's Account which is attributable to Elective Deferrals, adjustments for withdrawals and distributions, and the earnings and losses attributable thereto.
Employee Account means any account in which an Employee has a direct or indirect Beneficial Ownership interest in the Securities held in the account unless such an account is specifically excluded from this Code’s requirements by the Compliance Department. An Employee Account does not include any account over which the Employee has no direct or indirect influence or control or in which transactions are effected without the Employee’s prior notification.