Security Fiduciary definition

Security Fiduciary means any broker, bank, trust company, investment adviser, investment manager, counterparty or other similar entity.

Examples of Security Fiduciary in a sentence

  • The Access Person must require each Security Fiduciary to (a) prepare an account statement as of December 31st of each year (or monthly, if available electronically from the Security Fiduciary), and (b) deliver each such account statement to the above address no later than 30 days after each such year-end (or month-end).

  • Each Access Person must, by letter (see Appendix C), direct each Security Fiduciary with which the Access Person or any Family Member of the Access Person maintains a Personal Account to promptly send to Metropolitan Life Insurance Company, Attention: Ethics Officer, P.O. Box No. 1941, Morristown, NJ 07962-1941, the following documents, either by mail or, if available, by direct electronic feed: • Duplicate Confirmations.

  • The List must attach the annual statement from each applicable Security Fiduciary, for each Personal Account of which the Access Person or a Family Member of the Access Person has Beneficial Ownership.

  • Mr. Rasch Cousineau with Hyas Group provided a fiduciary training update regarding recent DOL ESG regulation, CARES Act legislation, retirement plan lawsuits, and DOL Cyber Security Fiduciary best practices.

  • If the Initial Securities Holdings Report is not entered through the STAR System, an Access Person may send a hard copy of the Initial Securities Holdings Report to the Compliance Director and should attach an account statement from each applicable Security Fiduciary, for each Personal Account of which the Access Person or a Family Member of the Access Person has Beneficial Ownership.

  • The report must attach the annual statement from each applicable Security Fiduciary, for each Personal Account of which the Access Person or a Family Member of the Access Person has Beneficial Ownership.

  • Fiduciary Security Fiduciary Security is perfected by the registration of the fiduciary security with the Fiduciary Registration Office (“FRO”).

Related to Security Fiduciary

  • Plan Fiduciary As defined in Section 5.3(o).

  • Named Fiduciary means the Fiduciary or Fiduciaries named herein or in the Adoption Agreement who jointly or severally have the authority to control and manage the operation and administration of the Plan.

  • Security freeze means a notice, at the request of the consumer and subject to certain exceptions,

  • Claims Administrator means the firm proposed by Class Counsel and appointed by the Courts to administer the Settlement Amount in accordance with the provisions of this Settlement Agreement and the Distribution Protocol, and any employees of such firm.

  • Independent Fiduciary means an independent fiduciary who will serve as a fiduciary to the Plan in accordance with Article 3 that has no relationship or interest in any of the Settling Parties and is mutually agreed to by the Settling Parties.

  • Security Plan means the Contractor’s security plan prepared pursuant to paragraph 3 of Schedule (Security Requirements & Plan)

  • Information Security Program means the administrative, technical, and physical safeguards that a licensee uses to access, collect, distribute, process, protect, store, use, transmit, dispose of, or otherwise handle nonpublic information.

  • Plan Administrator means the plan administrator described in Article 8.

  • Claims Administration means the processing of claims made under the Shared Policies, including the reporting of claims to the insurance carriers, management and defense of claims and providing for appropriate releases upon settlement of claims.

  • National Repository means any Nationally Recognized Municipal Securities Information Repository for purposes of the Rule.

  • Customs Administration means the competent authority that is responsible under the law of a Party for the administration of customs laws and regulations;

  • Administrative Committee means the committee in charge of Plan administration, as described in Article VII.

  • Non-bank fiduciary or agent means a fiduciary or agent other than (a) a bank, as defined in Section 3(a)(2) of the Securities Act, or (b) a savings and loan association, as defined in Section 3(a)(5)(A) of the Securities Act.

  • Proof of financial responsibility means proof of ability to respond in damages for liability, on account of accidents occurring after the effective date of the proof, arising out of the ownership, maintenance, or use of a motor vehicle, in the amount of twenty-five thousand dollars because of bodily injury to or death of one person in any one accident, and, subject to the limit for one person, in the amount of fifty thousand dollars because of bodily injury to or death of two or more persons in any one accident, and in the amount of twenty-five thousand dollars because of injury to or destruction of property of others in any one accident.

  • Collateral Representative (i) in respect of the ABL/Term Loan Intercreditor Agreement, the ABL Collateral Representative (as defined therein) and the Term Loan Collateral Representative (as defined therein), (ii) if any Junior Lien Intercreditor Agreement is then in effect, the Senior Priority Representative (as defined therein) and (iii) if any Other Intercreditor Agreement is then in effect, the Person acting as representative for the Collateral Agent and the Secured Parties thereunder for the applicable purpose contemplated by this Agreement and the Guarantee and Collateral Agreement.

  • Institutional Responsibilities means an Investigator’s professional responsibilities on behalf of the University, which may include for example: activities such as research, research consultation, teaching, professional practice, University committee memberships, and service on panels such as Institutional Review Boards or data and safety monitoring boards.

  • Central Repository means the repository responsible for the receipt, consolidation, and retention of all information reported to the CAT pursuant to SEC Rule 613 and the CAT NMS Plan.

  • Insurance Administration means, with respect to each Shared Policy, the accounting for premiums, retrospectively-rated premiums, defense costs, indemnity payments, deductibles and retentions, as appropriate, under the terms and conditions of each of the Shared Policies; and the reporting to excess insurance carriers of any losses or claims which may cause the per-occurrence, per claim or aggregate limits of any Shared Policy to be exceeded, and the distribution of Insurance Proceeds as contemplated by this Agreement.

  • Security Management Plan means the Supplier's security management plan prepared pursuant to paragraph 3 of schedule 2 an outline of which is set out in paragraph 2.7 of the Order Form as updated from time to time;

  • Scheme Administrator means the person or company appointed under an instrument by the founder to manage the administrative affairs of the scheme.

  • Delegates means those persons elected or appointed to vote in a representative assembly for the election of a director or directors or on other matters.

  • Security Clearance means that level of security clearance required by the City or its police department for Contractor personnel accessing the information or premises required to be accessed in order to perform the Work under this Contract;

  • customs officer means any person acting as such in terms of the Customs and Excise Act [Chapter 23:02];

  • Responsibility means a duty for which a person is accountable by virtue of licensure.

  • the Institute means the IMO International Maritime Law Institute.

  • Security Policy means the Authority’s Security Policy annexed to Schedule (Security Requirements and Plan) as updated from time to time.