Restricted Security List definition

Restricted Security List means (1) all securities held in client accounts; (2) all securities under direct consideration for purchase by the Adviser (specifically, securities under consideration in the Adviser’s investment research process, which is typically completed in the first two business days of every month); (3) all private placement securities
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Restricted Security List means a list of Restricted Securities in which Employee transactions are restricted as described in this Code of Ethics, which list will be maintained by the Chief Compliance Officer.
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Examples of Restricted Security List in a sentence

  • The CD maintains a Restricted Security List (the “Restricted List”) which includes all securities where a Supervised Person has, or is in a position to receive, material non-public information about a company, such as information about a company’s earnings or dividends, as a result of a special relationship between Boston Partners or a Supervised Person and the company.If a Supervised Person knows or believes they have material, non-public information, they must immediately notify Legal or the CD.

  • The CD maintains a Restricted Security List (the “Restricted List”) which includes all securities where a Supervised Person has, or is in a position to receive, material non-public information about a company, such as information about a company’s earnings or dividends, as a result of a special relationship between Boston Partners or a Supervised Person and the company.

  • All Supervised Persons are responsible for knowing the contents of the Restricted Security List prior to effecting or soliciting a transaction in a security.

  • Generally, and subject to the discretion of the Compliance Officer or his designee, any security appearing on the Restricted Security List, and/or any security of an issuer in which a Client has effected a transaction within 30 calendar days of the request for preclearance, will not be approved for personal trading.

  • No Supervised Persons or household member thereof can trade or invest in any securities listed on the Restricted Security List without the prior consent of the CCO.

  • The CCO will determine whether a security should be placed on the Restricted Security List and maintain and update the Restricted Security List, as necessary.

  • The Company may from time to time establish a Restricted Security List that includes all securities where the Company has, or is in a position to receive, material non-public information about a company as a result of a special relationship between the Company or an Access Person and the company.

  • Exceptions from Restricted Security List prohibitions or restrictions may only be granted in accordance with the Key Marathon MNPI Procedures.

  • Each portfolio manager and analyst should immediately notify the Compliance Officer or his designee if he believes that an issuer or security should be added to or removed from the Restricted Security List.

  • Access Persons of the Company are not allowed to trade or invest in any names on the Restricted Security List without the prior consent of the Chief Compliance Officer.

Related to Restricted Security List

  • Restricted Security has the meaning assigned to such term in Rule 144(a)(3) under the Securities Act; provided, however, that the Trustee shall be entitled to receive, at its request, and conclusively rely on an Opinion of Counsel with respect to whether any Note constitutes a Restricted Security.

  • Related Security means, with respect to any Receivable:

  • Transfer Restricted Securities means Securities that bear or are required to bear the legend set forth in Section 2.3(b) hereto.

  • Restricted Securities means the securities of the Company required to be notated with the legend set forth in Subsection 2.12(b) hereof.

  • Restricted List means the list of companies maintained by the Compliance Officer about which the Adviser or its affiliates potentially possess material nonpublic information.