Examples of Registered Adviser in a sentence
Covered Persons are prohibited from engaging in any transactions in a Security (or an Equivalent Security) on the basis of any information they may be in possession of to the effect that (i) a Legg Mason Registered Adviser is or may be considering an investment in or sale of such Security on behalf of its clients or (ii) has or may have an open order in such Security on behalf of its clients.
Upon reaching the conclusion that a violation of the Code has occurred, the Compliance Department shall report the results of such investigation to the applicable Covered Person, the Covered Person’s department manager and to the CCOs of any affected Legg Mason Registered Adviser or Reportable Fund.
If necessary, the General Counsel of Legg Mason or the CCO of the relevant Legg Mason Registered Adviser shall review these transactions.
Covered Persons are prohibited from making political contributions for the purpose of obtaining or retaining any Legg Mason Registered Adviser or its affiliates as investment advisers.
If necessary, the General Counsel of Legg Mason or the CCO of the relevant Legg Mason Registered Adviser shall review these transactions..
All material constitutive information is consulted with the Registered Adviser.
The Company has delivered to the Parent true and complete copies of the most recent Form ADV (including Part II) of each Registered Adviser, as amended to date, and any other applicable foreign and domestic registration forms, likewise as amended to date.
Several major questions remain unanswered for future work, for example, it remains an open question how the approaches scale with model parameters, as well as understanding to what extent different mixes of pre-training data alter the performance of the model.Even for models with strong language models, large vocabularies, and training data focused on open-domain conversational language, Table 5 shows that OD3 is challenging.
Each Registered Adviser has adopted a written policy regarding xxxxxxx xxxxxxx and a code of ethics, which complies in all material respects with all applicable provisions of the Advisers Act (including with respect to xxxxxxx xxxxxxx and personal trading under Section 204A thereof and Rule 204A-1 thereunder), copies of which have been made available to Parent.
Upon reaching the conclusion that a violation of the Code has occurred, the Compliance Department shall report the results of such investigation to the applicable Covered Person, the Covered Person's department manager and to the CCOs of any affected Legg Mason Registered Adviser or Reportable Fund.