Personal Securities Transactions definition
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.
Personal Securities Transactions means transactions in Securities for the account(s) in the names of Trust Personnel, or for accounts in which Trust Personnel have Beneficial Ownership.
Personal Securities Transactions means transactions in Securities (i) for your own account, including IRAs, or (ii) for an account in which you have indirect beneficial ownership, unless you have no direct or indirect influence or control over the account. Accounts involving family (including husband, wife, minor children or other dependent relatives), or accounts in which you have a beneficial interest (such as a trust of which you are an income or principal beneficiary) are included within the meaning of "indirect beneficial interest."
Examples of Personal Securities Transactions in a sentence
Except as provided below, all Access Persons must receive prior approval of their Personal Securities Transactions from the CCO or their designee.
Personal Securities Transactions of the CCO must be approved by the General Counsel.
All Personal Securities Transactions must be conducted through brokerage or other accounts that have been identified to the CCO or their designee.
The Code regulates Personal Securities Transactions as a part of the effort by Destra to detect and prevent conduct that might violate the general prohibitions outlined above.
All requests for pre-clearance of Personal Securities Transactions must be made on the form attached as Exhibit G or Exhibit G(a) for Destra Capital Shares.
More Definitions of Personal Securities Transactions
Personal Securities Transactions means any transaction in which an Access Person or his or her immediate family (as described herein) acquires or disposes of a Security in which the Access Person has or gains a direct or indirect Beneficial Ownership interest.
Personal Securities Transactions means transactions in Securities for the account(s) in the names of Iridian Personnel, or for accounts in which Iridian Personnel have Beneficial Ownership.
Personal Securities Transactions means transactions in Securities for the account(s) in the names of AmeriPrime Personnel, or for accounts in which AmeriPrime Personnel have Beneficial Ownership.
Personal Securities Transactions means transactions in Securities for the account(s) in the names of Access Persons, or for accounts in which the Access Persons have Beneficial Ownership.
Personal Securities Transactions means transactions in Securities for the account(s) in the names of Iridian Persons, or for accounts in which Iridian Persons have Beneficial Ownership.
Personal Securities Transactions means any purchase or sale of a Covered Security by a Covered Person in a Covered Account.
Personal Securities Transactions means transactions in Securities for the account(s) in the names of IMS Personnel, or for accounts in which IMS Personnel have Beneficial Ownership.