Protegent PTA definition

Protegent PTA means the Protegent Personal Trading Assistant, a web browser-based automated personal trading compliance platform used by the Compliance Department to administer this Code.
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Examples of Protegent PTA in a sentence

  • If your trade requires pre-clearance, request approval through the Protegent PTA system (PTA) before you or any Household Member places an order to buy or sell any Reportable Security.

  • Monitored Employees, defined as all employees, with the exception of Non-Classified Employees (see previous page), are subject to special requirements concerning where they maintain their brokerage accounts, the accounts required to be reported, the certification of accounts and holdings, and, with the exception of Dreyfus/FINRA Group, Fund Officer, Fund Service, and Service Employees, the duty to preclear non-exempt trades in the Protegent PTA (PTA) system before submitting them to a broker for execution.

  • In the event that an Access Person is unable to access Protegent PTA, or Protegent PTA is otherwise unable to accommodate the pre-clearance request, requests for such pre-clearance shall be submitted to the CCO or designee on the “Personal Securities Transaction Request Form” (See Appendix A).

  • Such acknowledgement, certification and other reportable information shall be submitted through Protegent PTA.

  • Securities held in certificate form that are not held in street name must also be reported to the Compliance Department via Protegent PTA.

  • Reporting Persons are required to submit all requests and reports to the Code Team via the FIS Protegent PTA (“PTA”) transaction monitoring system (“TMS”).

  • The acquisition and disposal policy will be published and reviewed from time to time, at least once every five years.

  • Nonetheless, these Securities must be disclosed in Protegent PTA and reported on the Access Person’s Quarterly Transactions Certification.

  • Equity-related and Fixed Income securities must be pre-cleared using Protegent PTA.

  • Covered Persons reporting obligations may be met by submitting the necessary reports on Protegent PTA.

Related to Protegent PTA

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