Advisory persons definition

Advisory persons means employees and certain control persons (and their employees) who make; participate in, or obtain information regarding fund securities transactions or whose functions relate to the making of recommendations with respect to fund transactions.
Advisory persons means the Adviser or any affiliated person of the Adviser (as defined in Section 2(a)(3) of the 1940 Act) (other than the Fund, in the case of a redemption or purchase of VMTP Shares which are to be cancelled within 10 days of purchase by the Fund).
Advisory persons means (a) Investment Persons (as defined below); (b) all directors and officers; (c) all employees who, in connection with their regular functions or duties, make, participate in, or obtain information, regarding the purchase or sale of a security by a Fund (as defined below), or whose functions relate to the making of any recommendations with respect to such purchases or sales; and (d) any natural person in a control relationship to SG who obtains information concerning recommendations made to a Fund with regard to the purchase or sale of a security.

Examples of Advisory persons in a sentence

  • Under such circumstances, the decision to purchase securities of the issuer by the Trust or a Fund shall be subject to the independent review by appropriate Advisory persons (or corresponding personnel of the investment adviser or appropriate sub-adviser) having no personal interest in the matter.

  • Note: Advisory persons are reminded to cancel any limit order that is not executed during the pre-clearing period.

  • The duties and responsibilities of the Director of Central Intelligence and the heads of other departments, agencies, and entities engaged in intelligence activities to cooperate with the Congress in the conduct of its responsibilities for oversight of intelligenceactivities shall be as provided in title 50, United States Code, section 413.

  • Advisory persons seeking approval to acquire or dispose of individual securities should allow sufficient time for this review and approval process.

  • Advisory persons serving on boards or committees of operating companies may obtain material non-public information in connection with their directorship or position on a committee that would effectively preclude the investment freedom that would otherwise be available to the advisory clients.

  • Advisory persons who have been authorized to acquire securities in a private placement are required to disclose that investment when they play a part in any subsequent consideration of clients'/Funds' investment in the issuer.

  • Advisory persons who are new employees of the Adviser shall submit a schedule of current security holdings within ten days of the date their employment commences, which shall include (i) the name, number of shares and principal for all securities owned by such access person and (ii) any securities account such access person maintains with a broker dealer or bank, and shall subsequently follow these guidelines in receiving approvals to liquidate or add to their security positions.

  • The term “Advisory Committee” shall mean and be composed of such Advisory persons as the Board shall designate from time to time, if any.

  • Advisory persons are prohibited from serving on the boards of directors of publicly traded companies, absent a prior authorization from the Compliance Officer based on a determination that the board service would not be inconsistent with the interests of the Company's advisory clients.

  • Advisory persons shall pre-clear any securities transaction with the Code Officer.


More Definitions of Advisory persons

Advisory persons has the meaning set forth in the Articles Supplementary.
Advisory persons means (1) any trustee, director, officer, or employee of a Fund or Steben & Company, Inc. (“SCI”) (or any person in a control relationship to a Fund or SCI) who, in connection with his or her regular duties, makes, participates in, or obtains information regarding the purchase or sale of securities by a Fund, or whose functions relate to making any recommendations with respect to such purchases or sales, and (2) any natural person in a control relationship to a Fund or SCI who obtains information concerning recommendations made to a Fund with regard to the purchase or sale of securities by such Fund.
Advisory persons means (i) any employee of the Fund, Manager or Advisor/Subadvisor (or of any company in a control relationship to the Fund, Manager or Advisor/Subadvisor) who, in connection with his or her regular functions or duties, makes, participates in, or obtains information regarding the purchase or sale of a security by the Fund, or whose functions relate to the making of any recommendations with respect to such purchases or sales; and (ii) 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.
Advisory persons means (i) any director, trustee, officer, or employee of the Trusts’ Funds or the Adviser (or of any company in a control relationship to the Trusts’ Funds or Adviser) who, in connection with his or her regular functions or duties, makes, participates in, or obtains information regarding the purchase or sale of covered securities by the Trusts’ Funds, or whose functions relate to the making of any recommendations with respect to such purchases or sales; (ii) any natural person in a control relationship to the Trusts’ Funds or the Adviser who obtains information concerning recommendations made to the Trusts’ Funds with regard to the purchase or sale of covered securities by the Trusts’ Funds; and (iii) any supervised person of the Adviser (A) who is involved in making securities recommendations for the Trusts’ Funds, or (B) who has access to such recommendations that are nonpublic, access to nonpublic information regarding the Trusts’ Funds purchase or sale of securities, or access to nonpublic information regarding the portfolio holdings of the Trusts’ Funds.

Related to Advisory persons

  • Advisory Person means (i) any employee of the Fund, Manager or Adviser/Subadviser (or of any company in a control relationship to the Fund, Manager or Adviser/Subadviser) who, in connection with his or her regular functions or duties, makes, participates in, or obtains current or pending information regarding the purchase or sale of a security by the Fund, or whose functions relate to the making of any recommendations with respect to such purchases or sales; and (ii) 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.

  • Advisor or “ADVISORS” means the Person or Persons, if any, appointed, employed or contracted with by the Company pursuant to Section 8.1 hereof and responsible for directing or performing the day-to-day business affairs of the Company, including any Person to whom the Advisor subcontracts all or substantially all of such functions.

  • Affiliated Persons or "AFFILIATES" means

  • Investment adviser representative means an individual employed by or associated with an investment adviser or federal covered investment adviser and who makes any recommendations or otherwise gives investment advice regarding securities, manages accounts or portfolios of clients, determines which recommendation or advice regarding securities should be given, provides investment advice or holds herself or himself out as providing investment advice, receives compensation to solicit, offer, or negotiate for the sale of or for selling investment advice, or supervises employees who perform any of the foregoing. The term does not include an individual who:

  • Advisory Client means any client (including both investment companies and managed accounts) for which Invesco serves as an investment adviser, renders investment advice, or makes investment decisions.

  • Advisory representative means any Supervised Person, who in connection with his or her regular functions or duties, normally makes, participates in, or otherwise obtains current information regarding the Purchase or Sale of a Security by the Firm, or whose functions relate to the making of any recommendations with respect to such purchases or sales, and any natural Person in a Control relationship to the Firm who obtains information concerning recommendations made concerning a Purchase or Sale of a Security. This definition includes but is not limited to the following: partner, officer, Manager, investment person, Portfolio Manager and any other Supervised Person of the Firm designated as an “Advisory Representative” from time to time by the Review Officer.

  • Advisors has the meaning set forth in Section 14.06(c).

  • Expert Advisor means a mechanical online trading system designed to automate trading activities on an electronic trading platform such as the Company’s Trading Platform. It can be programmed to alert the Client of a trading opportunity and can also trade his Trading Account automatically managing all aspects of trading operations from sending orders directly to the Trading Platform to automatically adjusting stop loss, Trailing Stops and take profit levels.

  • Professional Persons means all Persons retained by order of the Bankruptcy Court in connection with the Reorganization Cases, pursuant to sections 327, 328, 330 or 1103 of the Bankruptcy Code, excluding any ordinary course professionals retained pursuant to order of the Bankruptcy Court.

  • Designated Persons means a person or entity (a) listed in the annex to, or otherwise subject to the provisions of, any Executive Order; (b) named as a “Specially Designated National and Blocked Person” (“SDN”) on the most current list published by OFAC at its official website or any replacement website or other replacement official publication of such list (the “SDN List”) or is otherwise the subject of any Sanctions Laws and Regulations; (c) in which an entity or person on the SDN List has 50% or greater ownership interest or that is otherwise controlled by an SDN.

  • Partners means the General Partner and the Limited Partners.

  • Investment Advisory Services means (a) advice with respect to the desirability of investing in, purchasing or selling securities or other property, including the power to determine what securities or other property shall be purchased or sold, but not including furnishing only statistical and other factual information (such as economic factors and trends); and (b) the provision of financial, economic or investment management services, but only if ancillary and related to the advice referred to in clause (a) above.

  • Associated Persons means the directors, employees (whether full-time, part-time or casual), Related Bodies Corporate, agents, contractors, advisors and owners of Tabcorp and the Venue Operator, respectively, (as is applicable).

  • Company Representatives shall have the meaning set forth in Section 6.5(a).

  • Independent Advisor means a reputable accounting, appraisal or nationally recognized investment banking, engineering or consulting firm (a) which does not, and whose directors, officers and employees or Affiliates do not, have a direct or indirect material financial interest in the Company and (b) which, in the judgment of the Board of Directors of the Company, is otherwise disinterested, independent and qualified to perform the task for which it is to be engaged.

  • Investment Advisor means, in relation to a Portfolio, the investment manager or investment advisor of the Portfolio.

  • Managers means a Person who is named or designated as a manager or managing member or otherwise acts in the capacity of a manager or managing member of a limited liability company in a limited liability company agreement or similar instrument under which the limited liability company is formed or operated.

  • Advisory Board means the Long-Term Care Facility Advisory Board;

  • interested persons and "Assignment" shall have their respective meanings as set forth in the 1940 Act, subject, however, to such exemptions as may be granted by the Commission under the 1940 Act or any interpretations of the Commission staff.

  • Investor Parties has the meaning set forth in the Preamble.

  • Parent Representatives has the meaning set forth in Section 5.2(a).

  • Independent Financial Advisor means an accounting, appraisal, investment banking firm or consultant to Persons engaged in Similar Businesses of nationally recognized standing that is, in the good faith judgment of the Issuer, qualified to perform the task for which it has been engaged.

  • Permitted Persons means (A) the Company; (B) any Related Party; or (C) any group (as defined in Rule 13b-3 under the Exchange Act) comprised of any or all of the foregoing.

  • Partnership Representative has the meaning set forth in Section 5.2(a).

  • Advisers means a party or parties furnishing services to the Trust pursuant to any investment advisory or investment management contract described in Article IV, Section 6(a) hereof;

  • Advisory Fees means financial advisory fees, closing fees, transaction fees, monitoring fees, oversight fees and similar fees, expenses and indemnities payable by the Loan Parties pursuant to the Advisory Agreement, but in the case of any such fees not to exceed the amounts payable in respect thereof under the Advisory Agreement as in effect on the Closing Date.