Investment Action definition

Investment Action means a series of trades resulting from an investment recommendation made by Jurika & Voyles on behalf of numerous Clients within a given investment mandate. It is not intended to include transactions specific to a single account, such as those which result from the opening or closing of an account, additions to or withdrawals from an account or specific tax considerations.
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Investment Action means any dealing in an Investment including the purchase, sale, transfer, liquidation, subscription, conversion and splitting of an Investment or the exercise of any right with respect to any Investment including such rights as may be exercised by the holder of a particular Investment or his nominee.
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Investment Action means a series of trades in a Covered Security resulting from an investment recommendation made by Jurika & Voyles on behalf of numerous Clients within a given investment mandate. It is not intended to include transactions specific to a single account, such as those which result from the opening or closing of an account, additions to or withdrawals from an account or specific tax considerations. (i) "Nvest/CDC Officers" means G. Neal Ryland and Peter S. Voss, (who are directors of Jurika & Voyles, Inc., the general partner of Jurika & Voyles), neither of whom are employees of Jurika & Voyles. (j) "Purchase or sale of a Security" includes the writing of an option to purchase or sell a Security, but does not include the exercise of an option by the counterparty. (k) "Security" shall have the meaning set forth in Section 2(a)(36) of the Investment Company Act. This includes any note, stock, treasury stock, bond, debenture, evidence of indebtedness, certificate of interest or participation in any profit-sharing agreement, investment contract, collateral-trust certificate, transferable share, certificate of deposit, put, call, straddle, privilege, option or warrant. III. Prohibited Trading Practices ---------------------------- (a) General anti-fraud prohibition. No Access Person shall knowingly purchase, sell or otherwise directly or indirectly acquire or dispose of any direct or indirect Beneficial Ownership interest in a Security if such action by such Access Person would defraud a Fund or Client, operate as a fraud or deceit upon a Client, or constitute a manipulative practice with respect to a Client. Indirect transactions through options and warrants are covered by this prohibition. (b) Trades without preclearance. No Access Person shall purchase or sell any Covered Security without proper preclearance. Trades by an Access Person must be completed on the same day that preclearance is granted. This applies to all trades, even limit orders. Instruments representing an indirect interest in a Covered Security, such as options and warrants, also must be precleared. As part of the preclearance process Access Persons are required to obtain the signature of a senior equity or fixed income trader, as appropriate. Preclearance will not be granted prior to 11:30 a.m. PST (2:30 p.m. EST) without the approval of a Compliance Officer, at any time when there are open orders in the same Security for a Client, or on any day in which trades have been executed in the same S...
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Examples of Investment Action in a sentence

  • It was created in response to the Commission's Research Investment Action Plan48, which aims to help close the gap between the EU's R&D investment and that of other developed economies.

  • Investment Action: A summary of diversification benefits of the investment idea calculating volatilities and correlations with main equity markets and sectors is produced that is used to determine the best entry point using momentum and technical indicators.

  • The recommendations made by the stakeholders were captured in an ‘Africa Impact Investment Action Plan’.

  • In addition to the capital funding provided under this action, funding for significant improvements on the existing network and major road schemes, adding to the network, are provided for in the capital funding under the Road, Rail, Air and Sea Services Investment Action which relate to road infrastructure development and delivery.

  • Determinants of Saving and Investment Action and Asset Accumulation 12 Exhibit 6.

  • Investment Action: To assist PRODEEM in attracting renewable energy technologies into the rural renewable market to help expand their efforts beyond photovoltaics, which has been the main emphasis up to now.Participating Organizations: PRODEEM, a national program on rural renewable energy.Activities: TCAPP helped PRODEEM design a solicitation process to attract more private sector investment.

  • You shall pay for any Securities purchased on your behalf and any fees, costs or charges payable as a result of any Investment Action undertaken by us on your behalf including our commission in respect of such Investment Action at the rates then prevailing and any fees charged by the relevant Exchange.

  • A confirmation may state the date of the confirmation and the date of the Investment Action, the value of the transaction, the yield payable thereon, the maturity date applicable thereto, or any other relevant details which we, in our discretion deem necessary or as may be prescribed by law.

  • Building Bright Futuresis standing up an Early Childhood Investment Action Plan committee that could provide leadership for these analyses.It will be critical to develop outcomes-based measurement that recognizes the responsibility to be good stewards of these funds.

  • Supporting Actions for Implementation of the Impact Investment Action Plan Outcomes It is critical to note that all the outcomes of the action plan can and will occur in tandem where possible, especially where stakeholders are already implementing activities and there are already established structures.

Related to Investment Action

  • Investment Program means a Person for whom Shipper or a direct or indirect subsidiary of Shipper acts as a general partner, managing partner or manager and the securities of which have been offered and sold to investors.

  • investment firm means any legal person whose regular occupation or business is the provision of one or more investment services to third parties and/or the performance of one or more investment activities on a professional basis;

  • Investment Decisions Investment, trading, lending or other financial decisions, strategies or recommendations with respect to Investments, whether on behalf of the Master Servicer or any Affiliate thereof, the Special Servicer or any Affiliate thereof, the Operating Advisor or any Affiliate thereof, the Certificate Administrator or any Affiliate thereof, or the Trustee or any Affiliate thereof, as applicable, or any Person on whose behalf the Master Servicer or any Affiliate thereof, the Special Servicer or any Affiliate thereof, the Operating Advisor or any Affiliate thereof, the Certificate Administrator or any Affiliate thereof, or the Trustee or any Affiliate thereof, as applicable, has discretion in connection with Investments.

  • Alternative Investment Vehicle means the limited partnership, limited liability company, or similar legal structure or investment manager through which the Board invests in a portfolio company.

  • Investment Canada Act means the Investment Canada Act (Canada).

  • Investment project means an investment in qualified buildings

  • Investment Account As defined in Section 3.12(a).

  • Investment Person means all Portfolio Managers of Loomis Sayles and other Advisory Persons who assist the Portfolio Managers in making and implementing investment decisions for an Investment Company or other client of Loomis Sayles, including, but not limited to, designated Research Analysts and traders of Loomis Sayles. A person is considered an Investment Person only as to those client accounts or types of client accounts as to which he or she is designated by Personal Trading Compliance or the Chief Compliance Officer as such. As to other accounts, he or she is simply an Access Person.

  • Investment Plan means the document in terms of which the special purpose vehicle will invest in unlisted investments and all matters incidental thereto;

  • Investment Proceeds means any amounts actually or constructively received from investing Proceeds of the Bonds.

  • Investment Client means (i) any investment company registered as such under the Investment Company Act, any series thereof, or any component of such series for which the Adviser acts as investment adviser; or (ii) any private account for which the Adviser acts as investment adviser.

  • Investment Related Property means: (i) all “investment property” (as such term is defined in Article 9 of the UCC) and (ii) all of the following (regardless of whether classified as investment property under the UCC): all Pledged Equity Interests, Pledged Debt, the Investment Accounts and certificates of deposit.

  • Investment adviser representative means an individual employed by or associated with an investment adviser or federal covered investment adviser and who makes any recommendations or otherwise gives investment advice regarding securities, manages accounts or portfolios of clients, determines which recommendation or advice regarding securities should be given, provides investment advice or holds herself or himself out as providing investment advice, receives compensation to solicit, offer, or negotiate for the sale of or for selling investment advice, or supervises employees who perform any of the foregoing. The term does not include an individual who:

  • Automatic Investment Plan/Dividend Reinvestment Plan means a program in which regular purchases or sales are made automatically in or from investment accounts in accordance with a predetermined schedule and allocation, including dividend reinvestment plans.

  • Principal Funding Investment Proceeds means, with respect to each Transfer Date, the investment earnings on funds in the Principal Funding Account (net of investment expenses and losses) for the period from and including the immediately preceding Transfer Date to but excluding such Transfer Date.

  • Principal Funding Account Investment Proceeds shall have the meaning specified in subsection 4.03(a)(ii).

  • Reinvestment Plan means the distribution reinvestment plan for the ETFs, as described under the heading “Distribution Policy – Distribution Reinvestment Plan”;

  • Standard Investment Period means the period beginning with the first day of any purchase or acquisition of Economic Development Property and ending five (5) years after the Commencement Date.

  • Investment Vehicle means any investment company, separately managed account or pooled investment fund, including, but not limited to mutual fund families, exchange-traded funds, fund of funds, hedge funds, retirement accounts, and employee benefit plans, in which any Defendant has or may have a direct or indirect interest, or as to which that Defendant or its affiliates may act as an investment advisor or manager, but in which any Defendant alone or together with its, his or her respective affiliates is not a majority owner or does not hold a majority beneficial interest.

  • Investment Return means the investment return payable in respect of the Bond in accordance with Clause 5 Returns.

  • Investment pool means an entity created under the Texas Gov- ernment Code to invest public funds jointly on behalf of the entities that participate in the pool and whose investment objectives in or- der of priority are preservation and safety of principal, liquidity, and yield.

  • Investment Strategy is the processes and policies implemented by the Investment Manager for pursuing a particular investment objective managed by an Investment Team.

  • PIPE Investment has the meaning specified in the Recitals hereto.

  • covered investment means an investment of a national or company of a Party in the territory of the other Party;

  • Investment Entity means any Entity that conducts as a business (or is managed by an entity that conducts as a business) one or more of the following activities or operations for or on behalf of a customer: (1) trading in money market instruments (cheques, bills, certificates of deposit, derivatives, etc.); foreign exchange; exchange, interest rate and index instruments; transferable securities; or commodity futures trading; (2) individual and collective portfolio management; or (3) otherwise investing, administering, or managing funds or money on behalf of other persons. This subparagraph 1(j) shall be interpreted in a manner consistent with similar language set forth in the definition of “financial institution” in the Financial Action Task Force Recommendations.

  • regulated investment companies (as defined in Section 851 of the Code), all as from time to time in effect (collectively, the "Policies"), and with all applicable provisions of law, including without limitation all applicable provisions of the Investment Company Act of 1940 (the "1940 Act") and the rules and regulations thereunder. Subject to the foregoing, the Sub-Adviser is authorized, in its discretion and without prior consultation with the Manager, to buy, sell, lend and otherwise trade in any stocks, bonds and other securities and investment instruments on behalf of the Series, without regard to the length of time the securities have been held and the resulting rate of portfolio turnover or any tax considerations; and the majority or the whole of the Series may be invested in such proportions of stocks, bonds, other securities or investment instruments, or cash, as the Sub-Adviser shall determine.