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This definition includes but is not limited to the following: officer, director, \"investment personnel\", \"portfolio manager\" and any other employee of the Firm designated as an \"advisory representative\" from time to time by the Chief Compliance Officer.", "samples": [{"hash": "lV3ASLTNGwY", "uri": "https://www.sec.gov/Archives/edgar/data/775180/000113542805000265/ex_p5.txt", "label": "Code of Ethics (PBHG Funds)", "score": 6.0, "published": false}, {"hash": "hI12HAGbY6M", "uri": "https://www.sec.gov/Archives/edgar/data/1310709/000104746905019911/a2160813zex-99_r3.txt", "label": "Repurchase Agreements (Old Mutual/Claymore Long-Short Fund (f.k.a. 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any director, officer, or employee who, in connecting with his or her duties, obtains any information concerning which securities are being recommended prior to the effective dissemination of such recommendations or of the information conceding such recommendations; and any of the following persons who obtain information concerning securities recommendations being made by the Firm prior to the effective dissemination of such recommendations or of the information concerning such recommendations: (i) any person in a control relationship to the Firm, (ii) any affiliated person of such controlling person, and (iii) any affiliated person of such affiliated person.", "samples": [{"hash": "jZS5nVnu96c", "uri": "https://www.sec.gov/Archives/edgar/data/1382990/000110465906080223/a06-24820_1ex99dpiv.htm", "label": "Code of Ethics (Financial Investors Variable Insurance Trust)", "score": 5.0, "published": false}, {"hash": "5Irg8T4HQRF", "uri": "https://www.sec.gov/Archives/edgar/data/930709/000101696405000141/ibbotsoncoe.txt", "label": "Code of Ethics (Pioneer Variable Contracts Trust /Ma/)", "score": 4.0, "published": false}, {"hash": "k5t3yPbEUEn", "uri": "https://www.sec.gov/Archives/edgar/data/1292278/000113542805000375/ex-p3.txt", "label": "Code of Ethics (Old Mutual Advisor Funds)", "score": 4.0, "published": false}], "size": 4, "snippet_links": [{"key": "officer-or-employee", "type": "definition", "offset": [20, 39]}, {"key": "the-firm", "type": "clause", "offset": [43, 51]}, {"key": "participates-in", "type": "definition", "offset": [86, 101]}, {"key": "the-determination-of", "type": "definition", "offset": [102, 122]}, {"key": "relate-to", "type": "definition", "offset": [188, 197]}, {"key": "information-concerning", "type": "clause", "offset": [345, 367]}, {"key": "prior-to-the-effective", "type": "clause", "offset": [407, 429]}, {"key": "the-information", "type": "clause", "offset": [474, 489]}, {"key": "obtain-information", "type": "clause", "offset": [559, 577]}, {"key": "any-person", "type": "definition", "offset": [759, 769]}, {"key": "affiliated-person", "type": "clause", "offset": [818, 835]}, {"key": "controlling-person", "type": "clause", "offset": [844, 862]}], "hash": "8e56f546b403b6706c499fd23aa4b80f", "id": 7}, {"snippet": "means any employee, 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 on behalf of a Portfolio or Fund, or whose functions relate to the making of any recommendations with respect to such purchases or sales; 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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 \u201cAdvisory Representative\u201d from time to time by the Review Officer.", "title": "Advisory Representative", "size": 220, "id": "advisory-representative", "examples": ["<strong>Advisory Representative</strong> may not purchase or sell securities not contained in the initial asset allocation without prior Client consent.", "Client will also be able to obtain the same information either by telephoning their <strong>Advisory Representative</strong> or by requesting the trade-by-trade confirmation for the particular transaction.", "The foregoing conflicts of interest are mitigated under Royal Alliance\u2019s Policies and Procedures that have been adopted for this purpose, and by the fact that your <strong>Advisory Representative</strong> who makes investment recommendations for your Account does not receive any economic benefit from these payments.", "<strong>Advisory Representative</strong> will not make changes to the initially agreed upon asset allocation without prior Client review and approval.", "Any dispute unresolved after such 30-day period shall be submitted to a national public accounting firm satisfactory to the Sellers&#x27; <strong>Advisory Representative</strong> and Buyer, or, in the absence of agreement on such firm, to a panel of three public accounting firms, one designated by the Sellers&#x27; <strong>Advisory Representative</strong>, one designated by Buyer and one jointly designated by the other two firms.", "In the event the Sellers&#x27; <strong>Advisory Representative</strong> gives Buyer such notice of dispute within such 30-day period, Buyer shall pay any amounts due hereunder that are not in dispute, and the Sellers&#x27; <strong>Advisory Representative</strong> and Buyer will use their best efforts to settle the dispute within 30 days after the giving of such notice.", "The <strong>Advisory Representative</strong> may periodically, without prior Client consent, rebalance Client\u2019s account to maintain the initial agreed upon asset allocation.", "In the Wrap Account format, Client\u2019s Transaction Charges may be paid by Manager or <strong>Advisory Representative</strong>.", "<strong>Advisory Representative</strong> will then have Client\u2019s permission to buy or sell securities, in quantity, price and at the time that <strong>Advisory Representative</strong> sees fit without prior Client consent in accordance with the investment objectives selected by Client.", "The Client should further consider that if the <strong>Advisory Representative</strong> pays the transaction charges, those charges may be lower than the transaction charges that would otherwise be payable by the Client under a retail brokerage agreement."], "related": [["factory-representative", "Factory representative", "Factory representative"], ["industry-representative", "Industry representative", "Industry representative"], ["appointed-representative", "Appointed Representative", "Appointed Representative"], ["independent-representative", "Independent representative", "Independent representative"], ["city-representative", "City Representative", "City Representative"]], "related_snippets": [], "updated": "2026-04-25T05:28:14+00:00"}, "json": true, "cursor": ""}}