Investment Persons definition

Investment Persons means any employee of the Fund or the Adviser (or any company in a control relationship to the Fund or the Adviser) or any Associated Person, who, in connection with his or her regular functions or duties, makes or participates in making recommendations regarding the purchase or sale of securities by a Client. Investment Person(s) also includes any natural person who (a) controls the Fund or Adviser and (b) obtains information concerning recommendations made to Clients regarding the purchase or sale of securities by Clients.
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Investment Persons of the Corporation means: (i) any employee of the Corporation (or of any company in a Control relationship to the Corporation) who, in connection with his or her regular functions or duties, makes or participates in making recommendations regarding the purchase or sale of securities by the Corporation; and (ii) any natural person who controls the Corporation and who obtains information concerning recommendations made to the Corporation regarding the purchase or sale of securities by the Corporation.
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Investment Persons means Portfolio Managers (as defined below), plus analysts and traders who provide information and advice to a Portfolio Manager or who help execute a Portfolio Manager's decisions.
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Examples of Investment Persons in a sentence

  • In this situation, the Investment Person MUST put the clients' interests first, and promptly make the investment recommendation or decision in the clients' interest, rather than delaying the recommendation or decision for clients until after the seventh day following the day of the transaction for the Investment Person's (or Family/Household member's) own account to avoid conflict with the blackout provisions of this Code.

  • The following transaction restrictions apply to all Access Persons (including all Investment Persons).

  • The Code Officers will ensure that all records of any decision, and the reasons supporting the decision, to approve the acquisition by Investment Persons of investments in Initial Public Offerings and Limited Offerings are maintained for at least five years after the end of the fiscal year in which the approval is granted.

  • Investment Persons shall not engage in the trading of Securities on a short-term basis.

  • The Code Officers will ensure that all records of any decision, and the reasons supporting the decision, to approve the acquisition by Investment Persons of investments in IPOs and Limited Offerings are maintained for at least five years after the end of the fiscal year in which the approval is granted.


More Definitions of Investment Persons

Investment Persons means the Investment and Finance Staff of the Foundation and members of the Investment and Finance Committee.
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Related to Investment Persons

  • 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 Personnel means: (a) Portfolio Managers and other Advisory Persons who provide investment information and/or advice to the Portfolio Manager(s) and/or help execute the Portfolio Manager's(s') investment decisions, including securities analysts and traders; (b) any natural person in a control relationship to the Fund who obtains information concerning recommendations made to the Fund with regard to the purchase or sale of a security; and (c) certain other individuals as designated by the Compliance Officer.

  • Non-Investment Personnel means any Employee that does not meet the definition of Investment Personnel as listed above.

  • Special Purpose Investment Personnel means each SEI Access Person who, in connection with his or her regular functions (including, where appropriate, attendance at Board meetings and other meetings at which the official business of a Trust or any Fund thereof is discussed or carried on), obtains contemporaneous information regarding the purchase or sale of a Security by a Fund. Special Purpose Investment Personnel shall occupy this status only with respect to those Securities as to which he or she obtains such contemporaneous information.

  • Controlled Investment Affiliate means, as to any Person, any other Person, which directly or indirectly is in control of, is controlled by, or is under common control with such Person and is organized by such Person (or any Person controlling such Person) primarily for making direct or indirect equity or debt investments in the Company and/or other companies.