Personal Account Dealing definition

Personal Account Dealing means transactions in any investments effected by: (a) you for your own account (whether the transactions undertaken on such account by you are for your direct or indirect benefit or that of another person); (b) you for any other person who has given you, in your personal capacity, permission or authority to transact on their behalf; (c) you in your capacity as a personal representative of an estate or as Trustee of a trust (in or under which there is a significant interest held by you or any person (including a company) associated with you)). If you are a trustee of a trust in which you have no beneficial interest but may or may not be involved in the taking of investment decisions brief details of such arrangements must be provided to the Organisational Risk and Compliance Department, including the names of trustees and how investment decisions are made; (d) you in your capacity as a personal representative of a Trustee (other than in (c) above) unless, in making the decision to trade, you are relying entirely on the advice of another person from whom it is appropriate to seek advice in the circumstances.
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Personal Account Dealing means transactions in any investments effected by:
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Examples of Personal Account Dealing in a sentence

  • We have established procedures relating to Conflicts of Interests and Personal Account Dealing and these can be provided on request.

  • As a director of the Companies, you are subject to the RBS Personal Account Dealing (‘PAD’) Policy and you cannot deal in RBS securities outside of certain scheduled ‘Open Windows’ (which are periods which coincide with the announcement of Group results) or at any time while you are in possession of ‘inside information’.

  • All Personnel are bound by the requirements of our Personal Account Dealing Policy.

  • In addition, to the procedures outlined below, all Relevant Persons should be familiar with the Company’s Personal Account Dealing Policy which also has a bearing on the management of conflicts of interest.

  • For further information, reference the Personal Account Dealing Policy – Deutsche Bank Group.

  • You may, however, acquire or own, without disclosure (save as may be required under the Company’s Personal Account Dealing policy), by way of investment only, less than 1% of the outstanding securities of any class of any corporation that is listed on a recognised stock exchange or traded in the over-the-counter market.

  • Employees are not permitted to hold an account with Finalto Trading or any entity in the group and when it comes to personal transactions are required to follow the Firm’s Personal Account Dealing policy.

  • The Executive shall not during their employment dispose of any Group Shares needed to attain the Shareholding Requirement without prior approval to be obtained in accordance with the requirements of the Personal Account Dealing Policy (save for any reduction in holding required to meet any liability to taxation or social security contributions or other appropriate levies due in respect of such holding).