Head Trader definition

Head Trader means Daniel E. Aron or, in his absence, such other person as may be designated from time to time.
Sample 1Sample 2Sample 3
Head Trader means the person identified as the Head Trader (or the substitute of the Head Trader,) on Exhibit C, as amended from time to time.
Sample 1
Head Trader means TIM’s head trader, designated by the President.
Sample 1

Examples of Head Trader in a sentence

  • Employees shall not serve on the boards of directors of publicly traded companies without prior written authorization from at least two members of a Committee comprised of the COO, CCO, and Head Trader.

  • Employees shall not acquire “beneficial ownership” of any security in a “private placement” or unregistered offering without obtaining prior written approval from two members of a Committee comprised of the COO, CCO, and Head Trader.

  • Employees are not permitted to knowingly sell to or purchase from a client any security or other property, except securities issued by the client.An exception to the prohibitions of Paragraphs 5 and 6 may be granted when an Employee receives approval of at least two members of a Committee comprised of the COO, CCO, and Head Trader (“Committee”) because the unique nature of the transaction appears to present no reasonable likelihood of harm to client accounts.

  • All business entertainment and any reimbursement requests must be approved by the Head Trader prior to attending the meal or event and be submitted through Southeastern’s established reimbursement process.

  • Such documentation shall be maintained by the Head Trader and stored for five years from the end of the calendar year in which generated, the first two years in Southeastern’s offices.

  • If approval is granted, the following "Personal Transaction Notification" form must be completed so that the Head Trader can maintain a record of all preclearance requests.

  • Purchases or sales of equity securities with prior written approval of the Head Trader and Review Officer that meet the following requirements and thus qualify as a de minimis transaction: 1) 5,000 or fewer shares traded and 2) security market capitalization of greater than $1 billion.

  • Foreign securities must be precleared using TradeComply, and if approved, must also be precleared by the Head Trader or Senior Vice President in the Federated Global New York office, by submitting a completed "Personal Transaction Notification" form (see addendum) to the Head Trader or Senior Vice President in the Federated Global New York office.

  • Purchases or sales of securities with prior written approval of the Head Trader and Review Officer that meet the following requirements and thus qualify as a de minimis transaction: 1) 5,000 or fewer shares traded and 2) security market capitalization of greater than $1 billion.

  • The Head Trader or Senior Vice President in the New York office will be responsible for granting or denying approval to the second preclearance request.

Related to Head Trader

  • trader means the party identified as such in this Agreement;

  • Masterworks Shares has the meaning set forth in Section 2.8(c).

  • CSDP means the Central Securities Depository Prague

  • ALI means a feature by which the service address associated with the calling party’s listed telephone number identified by ANI as defined herein, is forwarded to the PSAP for display. Additional telephones with the same number as the calling party’s, including secondary locations and off-premise extensions will be identified with the service address of the calling party’s listed number.

  • Customer Technology means Customer's proprietary technology, including Customer's Internet operations design, content, software tools, hardware designs, algorithms, software (in source and object forms), user interface designs, architecture, class libraries, objects and documentation (both printed and electronic), know-how, trade secrets and any related intellectual property rights throughout the world (whether owned by Customer or licensed to Customer from a third party) and also including any derivatives, improvements, enhancements or extensions of Customer Technology conceived, reduced to practice, or developed during the term of this Agreement by Customer.

  • Information Technology Systems means all information technology systems, Software, computers, workstations, databases, routers, hubs, switches, networks and other information technology equipment used or held for use in, or otherwise relating to, the Business.

  • CSDCC means the China Securities Depository and Clearing Co., Ltd. “CSRC” means the China Securities Regulatory Commission.

  • Beer means any liquid capable of being used for beverage purposes made by the fermentation of an infusion in potable water of barley, malt, and hops, with or without unmalted grains or decorticated and degerminated grains or made by the fermentation of or by distillation of the fermented products of fruit, fruit extracts, or other agricultural products, containing more than one-half of one percent of alcohol by volume but not more than six and twenty-five hundredths percent of alcohol by volume.

  • Outside North America For holders located outside North America, present the certificates(s) and/or document(s) that require a guarantee to a local financial institution that has a corresponding Canadian or American affiliate which is a member of an acceptable Medallion Signature Guarantee Program. The corresponding affiliate will arrange for the signature to be over-guaranteed. OR The signature(s) of the transferor(s) must correspond with the name(s) as written upon the face of this certificate(s), in every particular, without alteration or enlargement, or any change whatsoever. The signature(s) on this form must be guaranteed by an authorized officer of Royal Bank of Canada, Scotia Bank or TD Canada Trust whose sample signature(s) are on file with the transfer agent, or by a member of an acceptable Medallion Signature Guarantee Program (STAMP, SEMP, NYSE, MSP). Notarized or witnessed signatures are not acceptable as guaranteed signatures. The Guarantor must affix a stamp bearing the actual words: “SIGNATURE GUARANTEED”, “MEDALLION GUARANTEED” OR “SIGNATURE & AUTHORITY TO SIGN GUARANTEE”, all in accordance with the transfer agent’s then current guidelines and requirements at the time of transfer. For corporate holders, corporate signing resolutions, including certificate of incumbency, will also be required to accompany the transfer unless there is a “SIGNATURE & AUTHORITY TO SIGN GUARANTEE” Stamp affixed to the Form of Transfer obtained from an authorized officer of the Royal Bank of Canada, Scotia Bank or TD Canada Trust or a “MEDALLION GUARANTEED” Stamp affixed to the Form of Transfer, with the correct prefix covering the face value of the certificate.