Investment Compliance Committee definition

Investment Compliance Committee means the committee appointed by the management of A&SB.
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Investment Compliance Committee means the committee appointed by the management of the Adviser.
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Examples of Investment Compliance Committee in a sentence

  • Investments in the following instruments are not bound to the rules and restrictions as set forth above and may be made without the approval of the Investment Compliance Committee: governments, agencies, money markets, repurchase orders, reverse repurchase orders and open-ended registered investment companies.

  • Before making any determination that a violation has been committed by any person, the Investment Compliance Committee shall give such person an opportunity to supply additional information regarding the Securities Transaction in question.

  • All other transactions contemplated by an Access Person which receive the prior approval of the Investment Compliance Committee in accordance with the preclearance procedures described in Section 5 below.

  • All requests for preclearance must be submitted to the Investment Compliance Committee.

  • Purchases or sales of a specific Covered Security may receive the prior approval of the Investment Compliance Committee because the Committee has determined that no abuse is involved and that such purchases and sales would be very unlikely to have any economic impact on the Funds or on the Fund's ability to purchase or sell such Covered Securities.

  • The Compliance Officer shall bring any questionable transactions to the attention of the Investment Compliance Committee.

  • No access person shall purchase or sell any security for his or her own account without obtaining the prior written approval of the transaction by the Investment Compliance Committee.

  • In the case of a transaction in a First Eagle Security subject to preclearance under the second paragraph of Section 3B, the transaction may be excepted by the Investment Compliance Committee from the normal holding period requirement contemplated thereby (but not from any applicable redemption fee) in exceptional circumstances (for example, in cases of significant market disruption or significant personal hardship on the part of the Access Person or his or her immediate family).

  • All trades (whether placed through our trading desk or done independently) shall be approved in advance, in writing, by a member of CRM's Investment Compliance Committee using the Company's Pre-Clearance form..

  • In the case of a transaction in a Mutual Fund Security subject to preclearance under the first paragraph of Section 3B, such a purchase or sale may be deemed by the Investment Compliance Committee not to constitute market timing upon review of the transactions particular circumstances.

Related to Investment Compliance Committee

  • Compliance Committee means the committee referenced under the Federated Code of Business Conduct and Ethics, consisting of, among others, the Chief Compliance Officer, the General Counsel, the Chief Audit Executive and the Chief Risk Officer.

  • Investment Committee means the committee in charge of investment aspects of the Plan, as described in Article VII.

  • Finance Committee means the Finance Committee of the University;

  • Investment Criteria The criteria specified in Section 12.2(a).

  • Monitoring Committee means the committee established under clause 10 of this Award.

  • 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.

  • U.S. Investment Company Act means the United States Investment Company Act of 1940, as amended;

  • Investment Company Act means the Investment Company Act of 1940, as amended.

  • Investment Company Act Event means that the Company shall have received an Opinion of Counsel to the effect that, as a result of the occurrence of a change in law or regulation or a written change in interpretation or application of law or regulation by any legislative body, court, governmental agency or regulatory authority, there is more than an insubstantial risk that the Securities Trust is or will be considered an "investment company" that is required to be registered under the Investment Company Act of 1940, as amended, which change becomes effective on or after the Original Issue Date.

  • Investment Advisers Act means the Investment Advisers Act of 1940, as amended.

  • Investment Adviser or "Adviser" means a party furnishing services to the Trust pursuant to any contract described in Article IV, Section 7(a) hereof;

  • 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.

  • Regulated investment company has the meaning set forth in Section 851 of the Code.

  • Advisory Committee means the Employer's Advisory Committee as from time to time constituted.

  • independent review committee means the independent review committee of the investment fund established under National Instrument 81-107 Independent Review Committee for Investment Funds;

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

  • Evaluation Committee means a body appointed to perform the evaluation of Offerors’ proposals.