Restricted Trading List definition
Restricted Trading List means a list maintained by the CCO in which trading for the account of any Firm client, Firm Related Account, or Firm employee is prohibited with respect to a company in any Securities or instruments issued by or with respect to the company (including derivatives on or related to the company or its securities). Securities or other instruments of companies on the Restricted Trading List shall include Securities or instruments for which the Firm and its personnel have inside information. A company will be removed from the Restricted Trading List only after the CCO determines that restricted status no longer is necessary.
Restricted Trading List means a list of securities for which an advisory firm has inside information. SIA’s Restricted Trading List can be found on the Cetera Advisors LLC website.
Restricted Trading List means the list of Securities maintained by SCI as to which certain trading limitations are applicable (as specified below).
Examples of Restricted Trading List in a sentence
Prior to trading, the Portfolio Management Staff must determine whether such High Yield Instrument is identified on the GMS Restricted Trading List, GMS Borrower Confidential List, or Carlyle Portfolio Company List as described in the Carlyle GMS ▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇ Policy.
Prior to trading, the Portfolio Manager must determine, where applicable, whether such Structured Credit Investment is identified on the GMS Restricted Trading List, GMS Borrower Confidential List, or Carlyle Portfolio Company List as described in the GMS ▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇ Policy.
More Definitions of Restricted Trading List
Restricted Trading List means the list of Securities maintained by the Firm as to which certain trading limitations are applicable (as specified below).
Restricted Trading List. You will remain on the Restricted Trading List through at least December 5, 2024. If the Company confirms, as expected, that you do not have access to potentially material non-public information during the remainder of your Transition Period, you may be removed from the Restricted Trading List prior to your Last Active Date.
Restricted Trading List means a list maintained by the Compliance Department in which trading for the account of any Firm client, Firm Related Account, or Firm employee is prohibited with respect to a company in any securities or instruments issued by or with respect to the company (including derivatives on or
Restricted Trading List means a list of securities for which an advisory firm has inside information. CIRA’s Restricted Trading List can be found on the Cambridge website, www.cir2.com > Compliance.
Restricted Trading List means the record maintained by the Chief Auditor listing the securities in which MOSERS personnel may not transact until removed by the Chief Auditor or General Counsel.