Investment professionals definition

Investment professionals means - (a) an authorised person; (b) an exempt person where the communication relates to a controlled activity which is a regulated activity in relation to which the person is exempt; (c) any other person - (i) whose ordinary activities involve him in carrying on the controlled activity to which the communication relates for the purpose of a business carried on by him; or (ii) who it is reasonable to expect will carry on such activity for the purposes of a business carried on by him; (d) a government, local authority (whether in the United Kingdom or elsewhere) or an international organisation; (e) a person ("A") who is a director, officer or employee of a person ("B") falling within any of sub-paragraphs (a) to (d) where the communication is made to A in that capacity and where A's responsibilities when acting in that capacity involve him in the carrying on by B of controlled activities.
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Investment professionals means investment professionals of the Management Company (including Key Executives) actively participating in the management of the Partnership or its Investments or other funds managed by the Management Company.
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Investment professionals means Charles A. Davis and Stephen Friedman and the other investment profxxxxxxxxx xxxxxxed by xx xxxxxx x xxxsulting contract with the Manager.
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Examples of Investment professionals in a sentence

  • This remuneration may be deemed payment for the following services in particular: • B2B events for Investment professionals to update on our investment strategy and corporate news,• Due Diligence for fund selectors with special reporting’s,• Insight portfolio analysis, detailed risk analysis,• Detailed risk analysis,• Information platforms (e.g. ifundservices) to distribute our documentation and video for our funds,• Roadshows,• Reports,• Events,• IT client tools.

  • Investment professionals shall not serve as a director or member of an advisory board of a company that is held as a Boston Common investment.

  • Investment professionals require a focused and stable environment in order to be consistently effective in their work.

  • Investment professionals should consider the fact that they will be restricted from trading the public securities of a Public Company for which any employee has received non-public information when evaluating any potential hedging strategies for positions.

  • Investment professionals of the Firm may be approached by third parties that wish to solicit the Firm’s participation in a private offering of Securities of a publicly traded company.

  • Staff - Investment professionals on staff at the Department of Revenue assigned to ARMB infrastructure investments, which will assist in the program’s design, policy implementation, and administration.

  • Investment professionals or advisors utilized by the District shall be approved by the Board in advance of any professional advice or work done on the District’s behalf, and must be advised of the School District’s investment requirements and restrictions.

  • Investment professionals are required to communicate to the Compliance Department any transactions or information which might reasonably require additions, deletions and modifications to the Restricted List.

  • Where this is the case, the exemption in article 19 of the Financial Promotion Order (Investment professionals) may be relevant (see ■ PERG 8.12.21 G).Tombstone advertisements will not usually carry the indicators required by article 19 to establish conclusive proof.

  • Investment professionals in all locations also have access to specialist ESG data and resources, in order to assist them in their investment decisions.


More Definitions of Investment professionals

Investment professionals means people or firms whose primary business is bringing together institutional funds and investment opportunities. They must (1) be registered or licensed as broker-dealers or investment advisors under Connecticut law or under federal law with the Securities and Exchange Commission or the National Association of Securities Dealers, as appropriate; (2) be licensed as real estate brokers or sales people in Connecticut or in the jurisdiction where the investment property is located; or (3) furnish an investment manager with “marketing services” and meet the criteria in the Ethics Commission regulations or the treasurer's interim requirements.
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Related to Investment professionals

  • Agent Professionals means attorneys, accountants, appraisers, auditors, environmental engineers or consultants, and other professionals and experts retained by the Administrative Agent.

  • Qualified professional means, for the purposes of OAR 411-320- 0080, any of the following licensed professionals trained to make a diagnosis of a specific intellectual or developmental disability:

  • Health professional means any of the following:

  • Professionals means those Persons (a) employed pursuant to an order of the Bankruptcy Court in accordance with Sections 327 or 1103 of the Bankruptcy Code and to be compensated for services pursuant to Sections 327, 328, 329, 330 and 331 of the Bankruptcy Code, or (b) for which compensation and reimbursement has been allowed by the Bankruptcy Court pursuant to Section 503(b)(4) of the Bankruptcy Code.

  • Medical professional means any person licensed or certified to provide health care services to

  • Independent professional advice means advice of an attorney, certified public accountant, actuary, or other licensed professional adviser.

  • Retained Professional means an Entity: (a) employed in the Chapter 11 Cases pursuant to a Final Order in accordance with sections 327 and 1103 of the Bankruptcy Code and to be compensated for services rendered prior to the Effective Date, pursuant to sections 327, 328, 329, 330, or 331 of the Bankruptcy Code; or (b) for which compensation and reimbursement has been allowed by the Bankruptcy Court pursuant to section 503(b)(4) of the Bankruptcy Code.

  • Allied Health Professional means a person registered as an allied health professional with the Health Professions Council;

  • Professional Persons means all Persons retained by order of the Bankruptcy Court in connection with the Reorganization Cases, pursuant to sections 327, 328, 330 or 1103 of the Bankruptcy Code, excluding any ordinary course professionals retained pursuant to order of the Bankruptcy Court.

  • Registered Professional means a professional registered or licensed by and in the State of Florida and practicing under Chapter 471, 472, 481, or 492, F.S.

  • Licensed professional means a professional registered in the Commonwealth of Virginia pursuant to Article 1 (§ 54.1-400 et seq.) of Chapter 4 of Title 54.1 of the Code of Virginia. For purposes of these Standards and Specifications a licensed professional is one that is certified by DPOR as an Architect, Professional Engineer, Land Surveyor, or Landscape Architects.

  • Paraprofessional means a person who does not have an academic degree related to the scope of treatment or support services being provided but performs prescribed functions under the general supervision of that discipline.

  • Designated mental health professional means a mental health

  • Mental health professional means a psychiatrist,

  • Health care professional means a physician or other health care practitioner licensed, accredited or certified to perform specified health care services consistent with state law.

  • Licensed health care professional means a person who possesses a professional medical license that is valid in Oregon. Examples include, but are not limited to, a registered nurse (RN), nurse practitioner (NP), licensed practical nurse (LPN), medical doctor (MD), osteopathic physician (DO), respiratory therapist (RT), physical therapist (PT), physician assistant (PA), or occupational therapist (OT).

  • Registered professional engineer means a person who is registered as a professional engineer pursuant to s. 443.04, Stats.

  • Registered professional nurse means that term as defined in section 17201 of the public health code, 1978 PA 368, MCL 333.17201.

  • Design Criteria Professional means a firm who holds a current certificate of registration under Chapter 481 of the Florida Statutes, to practice architecture or landscape architecture, or a firm who holds a current certificate as a registered engineer under Chapter 471 of the Florida Statutes, to practice engineering, and who is employed by or under contract to the District to provide professional architect services, landscape architect services, or engineering services in connection with the preparation of the Design Criteria Package.

  • Qualified mental health professional means a licensed medical practitioner or any other person meeting the qualifications specified in OAR 309-019-0125.

  • Healthcare Professional means any member of the medical, dental, pharmacy or nursing professions or any other person who in the course of his or her professional activities may prescribe, recommend, purchase, supply, or administer a pharmaceutical product.

  • Participating Clinical Professional Counselor means a Clinical Professional Counselor who has a written agreement with the Claim Administrator or another Blue Cross and/or Blue Shield Plan to provide services to you at the time services are rendered.

  • Professional means an Entity: (a) employed pursuant to a Bankruptcy Court order in accordance with sections 327, 363, or 1103 of the Bankruptcy Code and to be compensated for services rendered prior to or on the Confirmation Date, pursuant to sections 327, 328, 329, 330, 331, and 363 of the Bankruptcy Code; or (b) awarded compensation and reimbursement by the Bankruptcy Court pursuant to section 503(b)(4) of the Bankruptcy Code.

  • Non-Participating Clinical Professional Counselor means a Clinical Professional Counselor who does not have a written agreement with the Claim Administrator or another Blue Cross and/or Blue Shield Plan to provide services to you at the time services are rendered.

  • Advisers means a party or parties furnishing services to the Trust pursuant to any investment advisory or investment management contract described in Article IV, Section 6(a) hereof;

  • Licensed Professional Engineer means a person acceptable to Buyer in its reasonable judgment who (a) is licensed to practice engineering in California, (b) has training and experience in the power industry specific to the technology of the Project, (c) has no economic relationship, association, or nexus with Seller or Buyer, other than to meet the obligations of Seller pursuant to this Agreement, (d) is not a representative of a consultant, engineer, contractor, designer or other individual involved in the development of the Project or of a manufacturer or supplier of any equipment installed at the Project, and (e) is licensed in an appropriate engineering discipline for the required certification being made.