Personal Investments definition

Personal Investments means making or managing any personal investments (or any investments on behalf of Immediate Family Members or charitable organizations).
Sample 1Sample 2Sample 3
Personal Investments. – means a disbursement of funds or other assets for the purpose of obtaining or securing an ownership interest in an enterprise, and includes any activity by a Member or Employee that is intended to affect that Member’s or Employee’s financial interest.
Sample 1

Examples of Personal Investments in a sentence

  • It is a violation of the Code for any Access Person of OFS Adviser or any OFS Fund to use their knowledge concerning a trade, pending trade, or contemplated trade or investment by an OFS Fund or any other Advisory Client to profit personally, directly or indirectly, as a result of such transaction, including by purchasing or selling such Securities.The following definitions are utilized within this Personal Investments Policy and more broadly within the rest of the Code.

  • Note that a BRDL Employee may also be designated as an Access Person, Covered Employee or Portfolio Person under the FT Personal Investments and Insider Trading Policy in addition to being a BRDL Employee.

  • The following definitions apply to this Personal Investments Policy in addition to the definitions contained elsewhere in this Code.

  • The CCO may request certifications and documentation from Supervised Persons or third parties to support the information reported by Supervised Persons in accordance with this Personal Investments Policy or for purposes of compliance testing.

  • Macquarie Group’s Personal Investments policy and procedures apply to all accounts holding any securities over which Access Persons have any Beneficial Ownership Interest, which typically includes account hold by immediate family members sharing the same household.

  • Failure to comply with MGL’s pre-clearance requirements as outlined in MGL’s Personal Investments Policy will also result in the loss of personal trading privileges and may also lead to additional disciplinary action, up to and including termination of employment.

  • All personal matters discussed with the Compliance Officer or his/her Designee and all confirmations, account statements, and Personal Investments shall be kept in confidence but, of course, will be available for inspection by the Boards of Directors of Stonefield Investment Advisory, Inc., Cetera Advisors LLC, and by a regulatory agency with proper jurisdiction.

  • This Code should be read in conjunction with CRA’s other related policy documents, including the Employee’s Invention, Confidentiality, and Publication Agreement, the Contractor’s Agreement, and the Statement of Policy and Procedures Regarding Confidential Information, Securities Trading, and Personal Investments.

  • The purpose of the Manual of the Policy on Personal Investments, an integral part of Compliance Manual 2, is to define the rules and procedures regarding employees’ personal investments.

  • The purpose of the Policy on Personal Investments is to set out the guidelines for the personal investments of the employees so as to avoid situations that might be construed as conflict of interests or the improper use of inside information of the Managers and their Investors.

Related to Personal Investments

  • Investments as defined in Section 7.8.

  • Direct Investments means assets which are not Underlying Funds.

  • Institutional Investors means any regulated investment company, segregated asset account, foreign investment company, common trust fund, group trust or other investment arrangement, whether organized within or without the United States of America.

  • Authorized Investments means: any investment which may be authorized by the Commission but does not include restricted investments as specified in the Offering Documents from time to time.

  • Other Investments means assets which are not Direct Investments or Underlying Funds.

  • Qualified Investments means any of the following if and to the extent permitted by law:

  • Personal Information means information identifiable to any person, including, but not limited to, information that relates to a person’s name, health, finances, education, business, use or receipt of governmental services or other activities, addresses, telephone numbers, social security numbers, driver license numbers, other identifying numbers, and any financial identifiers.

  • Transaction Personal Information has the meaning ascribed thereto in Section 9.1;

  • Student Personal Information means information collected through a school service that personally identifies an individual student or other information collected and maintained about an individual student that is linked to information that identifies an individual student, as identified by Washington Compact Provision 28A.604.010. For purposes of this DPA, Student Personal Information is referred to as Student Data.

  • Initial Investment : means the amount that you initially subscribed to invest into the Plan.

  • Investment Vehicles means any investment company or pooled investment fund, including, but not limited to, mutual fund families, exchange-traded funds, fund of funds and hedge funds, in which a Defendant has or may have a direct or indirect interest, or as to which its affiliates may act as an investment advisor, but of which a Defendant or its respective affiliates is not a majority owner or does not hold a majority beneficial interest.

  • Investment Funds means all monies and financial resources available for investment by the Authority, other than proceeds of bonds issued by the Authority.

  • Personal Securities Transactions means any transaction in a Security pursuant to which an Access Person would have a Beneficial Ownership interest with the exception of obligations of the U.S. Government, bankers’ acceptances, bank certificates of deposit, money market fund shares, commercial paper, high quality short-term debt instruments and registered open-end investment companies, none of which are funds advised or sub-advised by the Firm.

  • Highly restricted personal information means an individual’s photograph or image, social security number, digitized signature, and medical and disability information.

  • Special Personal Information means Personal Information as referred to in Section 26 of POPIA

  • Permitted Investors the collective reference to the Sponsor and its Control Investment Affiliates.

  • Professional Investor means an investor who possesses the experience, knowledge and expertise to make its own investment decisions and properly assess the risks that it incurs. Professional investors include, among others, entities which are required to be authorised or regulated to operate in the financial markets, large undertakings, and other institutional investors whose main activity is to invest in financial instruments;

  • Permitted Intercompany Investments means Investments made by (a) a Loan Party to or in another Loan Party, (b) a Subsidiary that is not a Loan Party to or in another Subsidiary that is not a Loan Party, (c) a Subsidiary that is not a Loan Party to or in a Loan Party, so long as, in the case of a loan or advance, the parties thereto are party to the Intercompany Subordination Agreement, and (d) a Loan Party to or in a Subsidiary that is not a Loan Party so long as (i) the aggregate amount of all such Investments made by the Loan Parties to or in Subsidiaries that are not Loan Parties does not exceed $1,000,000 at any time outstanding, (ii) no Default or Event of Default has occurred and is continuing either before or after giving effect to such Investment, and (iii) the Borrowers have Excess Availability plus Qualified Cash of not less than $10,000,000 after giving effect to such Investment.

  • Specified Investments means (a) direct obligations of the United States of America or obligations fully guaranteed by the United States of America; (b) commercial paper rated A-1/P-1 by S&P and Moody's, respectively or, if such ratings are unavailable, rated by any nationally recognized rating organization in the United States equal to the highest rating assigned by such rating organization; (c) investments in negotiable certificates of deposit, time deposits, banker's acceptances, commercial paper or other direct obligations of, or obligations guaranteed by, commercial banks organized under the laws of the United States or of any political subdivision thereof (or any U.S. branch of a foreign bank) with issuer ratings of at least B/C by Thomson Bankwatch, having maturities no later than 90 days following the date of such investment; (d) overnight federal funds transactions with members of the Federal Reserve System arranged by federal funds brokers; or (e) overnight repurchase agreements with respect to the securities described in clause (a) above entered into with an office of a bank or trust company which is located in the United States of America or any bank or trust company which is organized under the laws of the United States or any state thereof and has capital, surplus and undivided profits aggregating at least $500 million. SSB. State Street Bank and Trust Company of Connecticut, National Association, a national banking association or any successor Owner Trustee in its individual capacity.

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

  • Control Investment Affiliate as to any Person, any other Person that (a) directly or indirectly, is in control of, is controlled by, or is under common control with, such Person and (b) is organized by such Person primarily for the purpose of making equity or debt investments in one or more companies. For purposes of this definition, “control” of a Person means the power, directly or indirectly, to direct or cause the direction of the management and policies of such Person whether by contract or otherwise.

  • 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.

  • 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.

  • Family of Investment Companies as used herein means two or more registered investment companies (or series thereof) that have the same investment adviser or investment advisers that are affiliated (by virtue of being majority owned subsidiaries of the same parent or because one investment adviser is a majority owned subsidiary of the other).

  • Investment Securities means any of the following:

  • Investment Facilitators/Advisors means an individual, firm, corporate or other entity appointed by the Management Company to identify, solicit and assist investors in investing in the Scheme. The investment facilitator/advisor is not authorized to perform the Distribution Functions. The Management Company shall compensate the Investment Facilitators.