Investment Professional definition

Investment Professional means an Employee who, in connection with his or her regular functions or duties, makes or participates in making recommendations regarding purchases or sales for Client Accounts.

Investment Professional means any Portfolio Manager and any research analyst or trader employed by the Investment Adviser who provides information and advice to a Portfolio Manager, or who helps execute a Portfolio Manager's securities trading decisions.

Investment Professional means the individual(s) appointed by us from time to time and notified to you as your investment professional in relation to your Portfolio;

Examples of Investment Professional in a sentence

• Investment Professional Disclosure of Personal Securities Conflicts Applies to: Access Level I As an investment professional, you must promptly disclose your direct or indirect beneficial interest in a security that is under consideration for purchase or sale in a John Hancock Affiliated Fund or account.

• If you have any questions regarding whether you are a Reporting Person or an Investment Professional, please contact the Code Manager or Code Team.

• Investment Professional Disclosure of Personal Securities Conflicts Applies to: Access Level I Persons As an investment professional, you must promptly disclose your direct or indirect beneficial interest in a security that is under consideration for purchase or sale in a John Hancock Affiliated Fund or Client account.

• The special written approval and the report from the Designated Investment Professional shall be filed within five business days with the Chief Compliance Officer.

• The Designated Investment Professional shall document his or her reasons for approval or disapproval in a written report.

More Definitions of Investment Professional

Investment Professional means any employee who, in connection with his/her regular functions or duties, makes or participates in, the making of investment decisions affecting a client. Investment Professional includes portfolio managers, research analysts and anyone that assists them directly in the execution of their duties e.g. implementation staff and assistant portfolio managers. Secretarial support staff working within the investment teams are not included in this definition.

Investment Professional an investment professional as defined in article 19(5) of the Financial Services and Markets Act 2000 (Financial Promotion) Order 2005.

Investment Professional. “Broker” or “Financial Representative” (collectively, “Investment Professional”) shall mean either a securities broker-dealer registered as such under the Securities Exchange Act of 1934, a bank as defined in Section 3(a)(6) of

Investment Professional means an individual or firm whose primary business is bringing together institutional funds and investment opportunities and who (A) is a broker-dealer or investment adviser agent licensed or registered (i) under the Connecticut Uniform Securities Act; (ii) in the case of an investment adviser agent, with the Securities and Exchange Commission, in accordance with the Investment Advisors' Act of 1940; or (iii) in the case of a broker-dealer, with the National Association of Securities Dealers in accordance with the Securities Exchange Act of 1934, or (B) is licensed under section 20- 312, as amended, or under a comparable statute of the jurisdiction in which the subject property is located, or (C) (i) furnishes an investment manager with marketing services including, but not limited to, developing an overall marketing strategy focusing on more than one institutional fund, designing or publishing marketing brochures or other presentation material such as logos and brands for investment products, responding to requests for proposals, completing due diligence questionnaires, identifying a range of potential investors, or such other services as may be identified in regulations adopted under [subparagraph] clause (ii) of this subparagraph; and (ii) meets criteria prescribed (I) by the Treasurer until regulations are adopted under this subparagraph, or (II) by the Citizen's Ethics Advisory Board, in consultation with the Treasurer, in regulations adopted in accordance with the provisions of chapter 54. Prior to adopting such regulations, the Citizen's Ethics Advisory Board shall transmit the proposed regulations to the Treasurer not later than one hundred twenty days

Investment Professional means an employee serving in a portfolio management, research analyst or trading function.

Investment Professional means a person who is in the management of, research on, or the trading of investment products.

Investment Professional means an individual who: