Policy on Personal Securities Transactions definition

Policy on Personal Securities Transactions means the Firm’s written policy of that name, as revised from time to time. This Policy can be found in the Firm’s Manual of Policies and Procedures.
Sample 1Sample 2Sample 3
Policy on Personal Securities Transactions means the Firm's written policy of that name, as revised from time to time. This Policy can be found in the Firm's Manual of Policies and Procedures.
Sample 1Sample 2Sample 3
Policy on Personal Securities Transactions means TIM’s written policy of that name, as revised from time to time. This Policy can be found in TIM’s Manual of Policies and Procedures.
Sample 1Sample 2Sample 3

Examples of Policy on Personal Securities Transactions in a sentence

  • Procedures for Policy on Personal Securities Transactions Appendix 2.

  • In no event, however, shall investment in any Security made in accordance with the Firm’s Policy on Personal Securities Transactions be considered a conflict of interest with the Firm.

  • I certify that I have received, read, understood and recognize that I am subject to Wells Capital Management’s Code of Ethics and Policy on Personal Securities Transactions and Insider Trading.

  • Smith Asset Management Group, L.P. (“Smith Group”), an investment adviser registered under the Investment Advisers Act of 1940 (“Advisers Act”), adopts this Code of Ethics and Policy on Personal Securities Transactions and Insider Information (the “Code”).

  • The Policy on Personal Securities Transactions provides rules concerning your personal transactions in Securities that you must follow in carrying out these responsibilities.

  • This Code of Ethics and Policy on Personal Securities Transactions and Insider Trader (“Code”) is adopted under Rule 17j-1 of the Investment Company Act and Section 204A-1 of the Investment Advisers Act.

  • Strategic Income Management LLC (“SiM” or the “Firm”) hereby adopts this Code of Ethics and Policy on Personal Securities Transactions and Insider Information (the “Code”).

  • In no event, however, shall investment in any security made in accordance with the Company’s Policy on Personal Securities Transactions be considered a conflict of interest with the Company.

  • This Code of Ethics and Policy on Personal Securities Transactions and Insider Trader (“Code”) is adopted under Rule 17j-1 of the Investment Company Act of 1940 and Section 204A-1 of the Investment Advisers Act of 1940.

  • In no event, however, shall investment in any security made in accordance with the Company's Policy on Personal Securities Transactions be considered a conflict of interest with the Company.


More Definitions of Policy on Personal Securities Transactions

Policy on Personal Securities Transactions means the Firm’s written policy of that name, as revised from time to time. This Policy can be found in the Firm’s Manual of Policies and Procedures. Thornburg Investment Management, Inc. Policies and Procedures Manual – revised and re-adopted March 1, 2011
Sample 1Sample 2Sample 3
Policy on Personal Securities Transactions means TIM's written policy of that name, as revised from time to time. This Policy can be found in TIM's Manual of Policies and Procedures.
Sample 1

Related to Policy on Personal Securities Transactions

  • 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 Transaction means any transaction in a Covered Security in which an Access Person has a direct or indirect Pecuniary Interest.

  • Securities Transaction means a purchase of or sale of Securities.

  • Securities Transfer Act means the Securities Transfer Act (British Columbia) from time to time in force and all amendments thereto and includes all regulations and amendments thereto made pursuant to that Act.

  • Securities Trading Act means the Securities Trading Act of 2007 no.75 of the Relevant Jurisdiction.

  • Private Securities Transaction means any securities transaction relating to new offerings of securities which are not registered with the Securities and Exchange Commission, provided however that transactions subject to the notification requirements of Rule 3050 of the Financial Industry Regulatory Authority’s (FINRA) Conduct Rules, transactions among immediate family members (as defined in the interpretation of the FINRA Board of Governors on free-riding and withholding) for which no associated person receives any selling compensation, and personal securities transactions in investment company and variable annuity securities shall be excluded.

  • Securities Financing Transactions Regulation means Regulation (EU) 2015/2365 of the European Parliament and of the Council of 25 November 2015 on transparency of securities financing transactions and of reuse and amending Regulation (EU) No 648/2012;

  • UK Securitization Regulation means Regulation (EU) 2017/2402 as it forms part of UK domestic law as “retained EU law” by operation of the EUWA and as amended by the Securitisation (Amendment) (EU Exit) Regulations 2019, and as further amended.

  • General purpose radiographic x-ray system means any radiographic x-ray system which, by design, is not limited to radiographic examination of specific anatomical regions.

  • Special purpose spray adhesive means an aerosol adhesive that meets any of the following definitions:

  • Elder abuse (OAA) means abuse, neglect, or exploitation of an older individual (elder) including the willful:

  • EU Securitization Regulation means Regulation (EU) 2017/2402 of the European Parliament and of the Council of December 12, 2017.

  • Securities and Futures Ordinance means the Securities and Futures Ordinance (Cap. 571 of the Laws of Hong Kong);

  • National Road Traffic Act means the National Road Traffic Act, 1996 (Act 93 of 1996);

  • Investor Money Regulations means the Central Bank (Supervision and Enforcement) Act 2013 (Section 48(1)) Investor Money Regulations 2015 for Fund Service Providers;

  • National Securities Exchange means an exchange registered with the Commission under Section 6(a) of the Exchange Act or any successor thereto.

  • Older Adult means a person age sixty or older.

  • Securities Financing Transactions means collectively securities lending transactions, sale and repurchase transactions and reverse repurchase transactions.

  • Receivables Transaction any transactions or series of related transactions providing for the financing of Receivables of the Borrower or any of its Subsidiaries.

  • Mortgage-backed Securities means securities that are secured or otherwise backed by Mortgage Loans.

  • Equity-linked Securities means any debt or equity securities that are convertible, exercisable or exchangeable for Class A Shares issued in a financing transaction in connection with a Business Combination, including but not limited to a private placement of equity or debt.

  • Asset-Backed Securities means securities which:

  • Nationally tracked source means a sealed source containing a quantity equal to or greater than Category 1 or Category 2 levels of any radioactive material listed in 12VAC5-481-3780. In this context a sealed source is defined as radioactive material that is sealed in a capsule or closely bonded, in a solid form and that is not exempt from regulatory control. It does not mean material encapsulated solely for disposal, or nuclear material contained in any fuel assembly, subassembly, fuel rod, or fuel pellet. Category 1 nationally tracked sources are those containing radioactive material at a quantity equal to or greater than the Category 1 threshold. Category 2 nationally tracked sources are those containing radioactive material at a quantity equal to or greater than the Category 2 threshold but less than the Category 1 threshold.

  • securities financing transaction or 'SFT' means a repurchase transaction, a securities or commodities lending or borrowing transaction, or a margin lending transaction;

  • Public School Student Accessing Courses at a Distance means a student who is scheduled for a full course load through the District and attends all classes virtually.

  • Securities System means the Federal Reserve Book-Entry System, a clearing agency which acts as a Securities Depository, or another book entry system for the central handling of securities (including an Eligible Securities Depository).