Limited Access Person definition

Limited Access Person means any employee of the Firm or any Associated Person of the Firm who is not an Access Person under this Code.
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Limited Access Person means Access Persons designated Limited Access Persons from time to time by the Chief Compliance Officer. The Chief Compliance Officer shall keep records of such designations.
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Limited Access Person means an Access Person’s Immediate Family Member who would otherwise be an Access Person but who is determined by GCCM Compliance to be a Limited Access Person considering factors including, but not limited to, whether the Immediate Family Member shares the same household as the Access Person and is financially dependent on the Access Person.
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Examples of Limited Access Person in a sentence

  • Any questions an Access Person or Limited Access Person may have about whether an interest in a security or an account constitutes beneficial interest or ownership should be directed to the Legal and Compliance Department.

  • The Ethics Committee, in its sole discretion, may remove any Limited Access Person from Schedule I for good cause, including, but not limited to, any violation of this Code.

  • Any questions an Access Person or Limited Access Person may have about whether an interest in a security or an account constitutes beneficial interest or ownership should be directed to the Compliance Department.

  • If an Advisory Person purchases or sells a Covered Security in the Limited Access Person Account and such Advisory Person purchases or sells the same security during the same day for a Related Client, the Limited Access Person Account may not receive a more favorable price than that received by the Related Client.

  • Any questions an Access Person or Limited Access Person may have about whether an interest in a security or an account constitutes beneficial interest or ownership should be directed to the Compliance and Legal Team.

  • LIMITED ACCESS PERSON Limited Access Person is defined on page 2 of this Code.

  • This restriction does not prevent a Limited Access Person from effecting a trade where the trade is pre-approved by the Chief Compliance Officer or his designee and (i) the trade is "same way" to the AIT or SIT, and at least two (2) days after its trading is completed, or (ii) the trade is "opposite way" to the AIT or the SIT.

  • If an Access Person or Limited Access Person chooses not to have his or her trade confirmations and periodic account statements sent directly to the Chief Compliance Officer, the Access Person or Limited Access Person must provide copies of such trade confirmations and periodic account statements to the Chief Compliance Officer or his designee directly within the time limits prescribed below.

  • Inside information obtained by any Access Person or Limited Access Person from any source must be kept strictly confidential.

  • In addition, the survey was available in electronic format on the internet via the City’s website (in English and Spanish).


More Definitions of Limited Access Person

Limited Access Person for purposes of this Code means any:
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Related to Limited Access Person

  • Non-Access Person means and include:

  • Access Person means:

  • Limited access area means a building, room, or other contiguous area upon the Licensed Premises where Retail Marijuana is grown, cultivated, stored, weighed, packaged, sold, or processed for sale, under control of the Licensee.

  • Limited access highway means a highway:

  • Restricted Access Area means a building, room, or other contiguous area on the premises where plant material is grown, cultivated, harvested, stored, packaged, or processed for sale under control of the manufacturer, and where no person under the age of 18 is permitted.

  • Access Persons means any employee, officer, or director (provided that directors may rebut the presumption of access established under Rule 17j-1(a)(1) by way of certification) of the Company. Contractors, interns, and other temporary staff are not generally included; however, we seek separate confidentiality representations from such persons.

  • Controlled-access highway means every street or highway in respect to which owners or occupants of abutting lands and other persons have no legal right of access to or from the same except at such points only and in such manner as may be determined by the public authority having jurisdiction over such street or highway.

  • stateless person means any person who does not hold a nationality;

  • Homeless person means the same as defined in section 48A.2.

  • Switched Access Detail Usage Data means a category 1101xx record as defined in the EMI Telecordia Practice BR 000-000-000.

  • Junior accessory dwelling unit means a unit that is no more than 500 square feet in size and contained entirely within a single-family residence. A junior accessory dwelling unit may include separate sanitation facilities, or may share sanitation facilities with the existing structure.

  • Permitted Assignment means a Permitted Subsidiary Assignment or a Permitted Third-Party Assignment.

  • Specified US Person means (i) a US citizen or resident individual, (ii) a partnership or

  • the Scottish Infected Blood Support Scheme means the scheme of that name administered by the Common Services Agency (constituted under section 10 of the National Health Service (Scotland) Act 1978(b));

  • Entrance or access point means any opening through which an individual or extremity of an individual could gain access to radiation areas or to licensed or registered radioactive materials. This includes entry or exit portals of sufficient size to permit human entry, irrespective of their intended use.

  • CAFRA Centers, Cores or Nodes means those areas with boundaries incorporated by reference or revised by the Department in accordance with N.J.A.C. 7:7-13.16.

  • Race or sex scapegoating means assigning fault, blame, or bias to a race or sex, or to members of a race or sex because of their race or sex; and

  • Switched Access Service means the offering of transmission and switching services to Interexchange Carriers for the purpose of the origination or termination of telephone toll service. Switched Access Services include: Feature Group A, Feature Group B, Feature Group D, 8XX access, and 900 access and their successors or similar Switched Access Services.

  • Access Period has the meaning set forth in Section 8.1(a).

  • Residential facility for persons with a disability means a residence:

  • Non-U.S. Person means a Person who is not a U.S. Person.

  • Available Transfer Capability or “ATC” shall mean a measure of the transfer capability remaining in the physical transmission network for further commercial activity over and above already committed uses.

  • Issuer-Represented Limited-Use Free Writing Prospectus means any Issuer-Represented Free Writing Prospectus that is not an Issuer-Represented General Free Writing Prospectus. The term Issuer-Represented Limited-Use Free Writing Prospectus also includes any “bona fide electronic road show,” as defined in Rule 433 under the Securities Act, that is made available without restriction pursuant to Rule 433(d)(8)(ii), even though not required to be filed with the Commission.

  • Non-Controlling Authorized Representative Enforcement Date means, with respect to any Non-Controlling Authorized Representative, the date which is 180 days (throughout which 180 day period such Non-Controlling Authorized Representative was the Major Non-Controlling Authorized Representative) after the occurrence of both (i) an Event of Default (under and as defined in the Other First-Priority Agreement under which such Non-Controlling Authorized Representative is the Authorized Representative) and (ii) the Controlling Authorized Representative’s and each other Authorized Representative’s receipt of written notice from such Non-Controlling Authorized Representative certifying that (x) such Non-Controlling Authorized Representative is the Major Non-Controlling Authorized Representative and that an Event of Default (under and as defined in the Other First-Priority Agreement under which such Non-Controlling Authorized Representative is the Authorized Representative) has occurred and is continuing and (y) the First-Priority Obligations of the Series with respect to which such Non-Controlling Authorized Representative is the Authorized Representative are currently due and payable in full (whether as a result of acceleration thereof or otherwise) in accordance with the terms of the applicable Other First-Priority Agreement; provided that the Non-Controlling Authorized Representative Enforcement Date shall be stayed and shall not occur and shall be deemed not to have occurred with respect to any Common Collateral (1) at any time the Controlling Authorized Representative has commenced and is diligently pursuing any enforcement action with respect to such Common Collateral or (2) at any time the Grantor that has granted a security interest in such Common Collateral is then a debtor under or with respect to (or otherwise subject to) any Insolvency or Liquidation Proceeding.

  • Permitted Assignee means (a) with respect to a partnership, its partners or former partners in accordance with their partnership interests, (b) with respect to a corporation, its stockholders in accordance with their interest in the corporation, (c) with respect to a limited liability company, its members or former members in accordance with their interest in the limited liability company, (d) with respect to an individual party, any Family Member of such party, (e) an entity that is controlled by, controls, or is under common control with a transferor, or (f) a party to this Agreement.

  • Registered in the System for Award Management (SAM) database means that—