Examples of Supervised personnel in a sentence
Supervised Personnel must obtain the prior written approval of the Chief Compliance Officer prior to coordinating or soliciting any person or political action committee or to make (a) a contribution to a Candidate; or (b) a payment to a political party of a state or locality.
In order to address conflicts of interest that may arise when any Supervised Personnel accepts or gives a gift, favor, special accommodation, or other items of value, Prophecy places restrictions on gifts and certain types of business entertainment.· Gifts A.
The prohibition of the Rule (on receiving compensation for providing advisory services to a government entity for two (2) years after any Supervised Personnel has made a contribution to an official of such government entity) will not apply in certain instances where the triggering contribution is returned.
Any Supervised Personnel transactions that are believed to be a violation of this Code of Ethics will be reported promptly.
In the event the Chief Compliance Officer determines that the political action committee or political party is closely associated with an official of a government entity, the Chief Compliance Officer will make a determination as to whether to permit Supervised Personnel to make a contribution to such political action committee or political party.
These procedures seek to ensure that neither Prophecy nor any of its Supervised Personnel makes or has made a contribution in violation of the restrictions on political contributions that Prophecy has adopted.
In the event board service is authorized, Supervised Personnel acting as directors shall be isolated from those making investment decisions through "Chinese Wall" or other appropriate procedures.
In the event the Chief Compliance Officer discovers that Supervised Personnel has made a contribution in violation of these procedures, the Chief Compliance Officer will make a determination as to whether it will require the Supervised Personnel to seek to obtain a return of the contribution, if possible.
The Chief Compliance Officer will compile and keep a list of (a) the names, titles and business and residence addresses of all Supervised Personnel of Prophecy; (b) all government entities to which Prophecy provides; and (c) all direct or indirect contributions made by Prophecy or any of its Supervised Personnel to an official of a government entity, or direct or indirect payments to a political party of a state or political subdivision thereof, or a political action committee.
Supervised Personnel must obtain the prior written approval of the Chief Compliance Officer before making a contribution to any person (including any election committee for the person) who is an incumbent, candidate or successful candidate for state or local office, including any such person who is running for federal office (a "Candidate").