Trading Personnel definition

Trading Personnel means [ ], [ ] and any other Employee of the public side of the [trading] group of Dealer; provided that Dealer may amend the list of Trading Personnel by delivering a revised list of Trading Personnel to Counterparty (which amended list shall become effective on the third Exchange Business Day immediately following delivery of such list by Dealer to Counterparty); and provided further that, for the avoidance of doubt, the persons listed as Permitted Contacts are not Trading Personnel.
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Trading Personnel means and any other Employee of the public side of the Equity Derivatives Group of Dealer; provided that Dealer may amend the list of Trading Personnel by delivering a revised list of Trading Personnel to Counterparty; and provided further that, for the avoidance of doubt, the persons listed as Permitted Contacts are not Trading Personnel.
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Trading Personnel means [_______________], [_______________] and any other Employee of the public side of the [trading] group of Dealer; provided that Dealer may amend the list of Trading Personnel by delivering a revised list of Trading Personnel to Counterparty (which amended list shall become effective on the third Exchange Business Day immediately following delivery of such list by Dealer to Counterparty); and provided further that, for the avoidance of doubt, the persons listed as Permitted Contacts are not Trading Personnel.
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Examples of Trading Personnel in a sentence

  • The Trading Participant shall ensure that Trading Personnel for separate functions are aware of, understand, and acknowledge in writing, the conflict of interest sought to be prevented, their specific duties to prevent such conflict, and the liabilities they will incur in case of non- compliance with these duties.

  • Every Promoter, a member of Promoters’ Group, employee and Director of the Company, the Group Firm Management Person and Group’s Senior Management Code for Prevention of Insider Trading Personnel shall be required to forward their Annual Statement of holdings in Securities of the Company and their Immediate Relatives in Form D as on March 31st of each year and before April 30th of that year.

  • If, in the sole judgment of any EDG Trading Personnel or any affiliate or Employee of JPMorgan participating in any Communication with Counterparty or any Employee or Designee of Counterparty, such Communication would not be permitted by these Communications Procedures, such EDG Trading Personnel or affiliate or Employee of JPMorgan shall immediately terminate such Communication.

  • Party B hereby agrees with Party A that during any Unwind Period Party B and any of its officers or directors shall not communicate, directly or indirectly, any Material Non-Public Information (as defined herein) to any Trading Personnel (as defined below).

  • No-Action Positions for Swap Execution Facilities to Facilitate Physical Separation of Voice Trading Personnel in Response to the COVID-19 Pandemic, CFTC Letter No. 20-07 (Mar.

  • This affects our duty to obtain best execution on your transactions.• Personal Trading: Personnel and affiliates of ours purchase and sell securities that we trade for your accounts as well.

  • In such case, or if such EDG Trading Personnel or affiliate or Employee of JPMorgan determines following completion of any Communication with Counterparty or any Employee or Designee of Counterparty that such Communication was not permitted by these Communications Procedures, such EDG Trading Personnel or such affiliate or Employee of JPMorgan shall promptly consult with his or her supervisors and with counsel for JPMorgan regarding such Communication.

  • Loomis, Sayles & Co.Loomis, Sayles & Co.Summary of USD &TBA Positions PENDING TRADES USD Loomis, Sayles & Co.Due Diligence Process Considerations When Selecting Broker-DealersExcept in those circumstances where discretion is limited by a client, Trading Personnel have sole discretion in selecting broker-dealers from the Active Broker-Dealer Lists when seeking the best execution of transactions in client accounts.

  • Loomis Sayles has engaged Trade Informatics, LLC (“TI”) to perform trade cost analysis of Loomis Sayles’ equity Trading Personnel.

  • Every Promoter, a member of Promoters’ Group, employee and Director of the Company, the Group Firm Management Person and Group’s Senior Management Code for Prevention of Insider Trading Personnel shall be required to forward their Annual Statement of holdings in Securities of the Company and their Immediate Relatives in Annexure 8 as on March 31st of each year and before April 30th of that year.


More Definitions of Trading Personnel

Trading Personnel means Mr. Michael Captain, Xx. Xxxxx Xx, Xx. Xxxxxxx Xxxxx, Xx. Xxxxxx Xxxxxxxxxxxx and any other Employee of the public side of the Equity Derivatives Group of Dealer; provided that Dealer may amend the list of Trading Personnel by delivering a revised list of Trading Personnel to Counterparty (which amended list shall become effective on the third Exchange Business-Day immediately following delivery of such list by Dealer to Counterparty); and provided further that, for the avoidance of doubt, the persons listed as Permitted Contacts are not Trading Personnel.
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Trading Personnel means Mr. Xxxxx Xxxxx, Mr. Michael Captain, Xx. Xxxxxx Xxxxxxxxxxxx, Xx. Xxxxxxx Xxxxx and any other Employee of the public side of the Equity Derivatives Group of Dealer; provided that Dealer may amend the list of Trading Personnel by delivering a revised list of Trading Personnel to Counterparty; and provided further that, for the avoidance of doubt, the persons listed as Permitted Contacts are not Trading Personnel.
Sample 1
Trading Personnel means any principal, officer, director, employee or other agent or representative of Dealer, and any Affiliate of any of such principal, officer, director, employee, agent or representative, of the public side of the investment banking division and global capital markets group of Xxxxxx Xxxxxxx identified by Dealer to Issuer as such in writing; provided that Dealer may amend the list of Trading Personnel by delivering a revised list of Trading Personnel to Issuer; and provided further that, for the avoidance of doubt, the persons listed as Permitted Contacts are not Trading Personnel. “Permitted Contact” means any of Xx. Xxxxxx Xxxxxxxxx, Xx. Xxxxxxx Xxxxx, Xx. Xxx Xxxxx, Xx. Xxxxxx Xxxxx, Mr. Xxxxx Xxxxxxxx and Mr. Xxxx Xxxxxxx or any of their designees; provided that Dealer may amend the list of Permitted Contacts by delivering a revised list of Permitted Contacts to Issuer. Issuer also acknowledges and agrees that any amendment, modification, waiver or termination of this Confirmation must be effected in accordance with the requirements for the amendment or termination of a “plan” as defined in Rule 10b5-1(c) under the Exchange Act. Without limiting the generality of the foregoing, any such amendment, modification, waiver or termination shall be made in good faith and not as part of a plan or scheme to evade the prohibitions of Rule 10b-5 under the Exchange Act, and no such amendment, modification or waiver shall be made at any time at which Issuer or any officer or director of Issuer is aware of any material nonpublic information regarding Issuer or the Shares.
Sample 1
Trading Personnel means Xx. Xxxxxx Xxxxx, Xx. Xxxxxxx Xxxxx and any other principal, officer, director, employee or other agent or representative of Dealer, and any Affiliate of any of such principal, officer, director, employee, agent or representative, of the public side of the Equity Derivatives Group or the Special Equities Group of X.X. Xxxxxx Chase & Co. identified by Dealer to Issuer as such in writing; provided that Dealer may
Sample 1
Trading Personnel means Mr. Michael Captain, Mr. Edwin Li, Mr. Michael Tatro, Mr. Spyros Kallipolitis and any other Employee of the public side of the Equity Derivatives Group of Dealer; provided that Dealer may amend the list of Trading Personnel by delivering a revised list of Trading Personnel to Counterparty (which amended list shall become effective on the third Exchange Business-Day immediately following delivery of such list by Dealer to Counterparty); and provided further that, for the avoidance of doubt, the persons listed as Permitted Contacts are not Trading Personnel.
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Related to Trading Personnel

  • Company Personnel means any current or former officer, employee, director or consultant of the Company or any of its Subsidiaries.

  • Investment Personnel means: (a) Portfolio Managers and other Advisory Persons who provide investment information and/or advice to the Portfolio Manager(s) and/or help execute the Portfolio Manager's(s') investment decisions, including securities analysts and traders; (b) any natural person in a control relationship to the Fund who obtains information concerning recommendations made to the Fund with regard to the purchase or sale of a security; and (c) certain other individuals as designated by the Compliance Officer.

  • Qualified personnel means personnel who meet the statutory or regulatory qualifications for each respective profession currently applicable in this state.

  • Supportive personnel means unlicensed individuals who:

  • Educational personnel means persons who must meet requirements pursuant to state law as a condition of employment in educational programs.

  • Medical personnel means those persons assigned, by a Party to the conflict, exclusively to the medical purposes enumerated under subparagraph (e) or to the administration of medical units or to the operation or administration of medical transports. Such assignments may be either permanent or temporary. The term includes:

  • Key Personnel means those persons named in the Specification as being key personnel.

  • Supplier Personnel means Supplier’s employees, consultants, agents, independent contractors and Subcontractors.

  • Scrutinized company means any company not described in subsection (10) that has business operations that involve contracts with or provision of supplies or services to the government of Iran; companies in which the government of Iran has any direct or indirect equity share, consortiums, or projects commissioned by the government of Iran; or companies involved in consortiums and projects commissioned by the government of Iran and 1 or more of the following:

  • Contractor Personnel means Contractor’s employees and subcontractors (as well as any employees or subcontractors of those subcontractors) performing the Services.

  • Support personnel means the staffs that support the Key Personnel.

  • Relevant Personnel means the Data Processor’s employees, agents and personnel and such other personnel of the Data Controller as may be approved in writing by the Data Controller from time to time in respect of access to the Personal Data;

  • Personnel means persons hired by the Consultant or by any Subconsultant as employees and assigned to the performance of the Services or any part thereof;

  • Senior Management Personnel means personnel of the company who are members of its core management team excluding Board of Directors. Normally, this would comprise all members of management one level below the executive directors, including all functional heads.

  • School personnel means professional employee or professional’s delegate of the school district who provides health, educational, social, psychological, law enforcement, or child care services.

  • Covered Personnel means any Person who is or was an employee, consultant or independent contractor of the Covered Parties as of the date of the relevant act prohibited by this Section 2(a) or during the one (1) year period preceding such date.

  • Service Provider Personnel means and refers to Service Provider employees or subcontractors hired and maintained to perform Services hereunder.

  • Key Management Personnel means persons having authority and responsibility for planning, directing and controlling the activities of the Company, directly or indirectly, including any Director (whether executive or otherwise) of the Company;