Persons Associated definition
Examples of Persons Associated in a sentence
Members and Persons Associated with a Member Who Are or Become Subject to a Statutory Disqualification 13Rule 205.
Mutual Fund Only Accounts and 529 Accounts Access Persons, Associated Persons, and Investment Persons must report all Securities Accounts held at a broker-dealer even if the account is limited to the purchase and sale of open-end mutual funds.
Futures Accounts and Authorized FCMs Access Persons, Associated Persons, Investment Persons, and Covered Persons are required to maintain their holdings in futures ("Futures Account") at an Authorized Future Commission Merchant ("FCM") (please see Exhibit A for the definition of Securities Accounts and for the list of Authorized FCMs).
Investment Clubs Access Persons, Associated Persons, and Investment Persons may not participate in Investment Clubs.
Supervisor Approval: Approved: Not Approved: Investment Adviser CCO Approval (Required for SAAMCo Employees/VALIC Supervised Persons only): Approved: Not Approved: SACS CCO Approval (Required for Registered Representatives or Other Persons Associated with SACS only): Approved: Not Approved: SAAMCo CCO/SACS CCO: upon approval, copies of approval should be sent to employee, supervisor, and AIG Corporate Legal Compliance Group in accordance with AIG Code of Conduct.
Inc.- Compliance Approval Required Prior to External Dissemination- Revised 08/06/2019 PERSONAL TRADING STANDARDS SUMMARY REQUIREMENTS Employee Classifications Supervised Covered Persons Access Investment Broker/ Dealer Designated Persons Persons Persons Persons Associated Only Persons Employees may have multiple classifications.
Members and Persons Associated with a Member Who Are or Become Subject to aStatutory Disqualification 12Rule 205.
Inc.-For Internal Use Only Rv. 08/29/2018 PERSONAL TRADING STANDARDS SUMMARY REQUIREMENTS Employee Classifications Supervised Covered Access Investment Broker/ Dealer Designated Persons Persons Persons Persons Persons Associated Only Persons Employees may have multiple classifications.
Inc.- Compliance Approval Required Prior to External Dissemination – revised 04/27/2022 EXHIBIT B PERSONAL TRADING STANDARDS SUMMARY REQUIREMENTS Employee Classifications Supervised Covered Persons Access Investment Broker/ Dealer Designated Persons Persons Persons Persons Associated Only Persons Employees may have multiple classifications.
The non-federal entity was required to either agree to the terms and conditions or return the funds.