Associate Portfolio Managers definition

Associate Portfolio Managers means Access Persons who are engaged in securities research and analysis for the Firm’s clients or are responsible for investment recommendations for the Firm’s clients but who are not particularly responsible for investment decisions with respect to any of the Firm’s clients.
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Associate Portfolio Managers means Access Persons who are engaged in securities research and analysis for the Firm's clients or are responsible for investment recommendations for the Firm's clients but who are not particularly responsible for investment decisions with respect to any of the Firm's clients.
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Examples of Associate Portfolio Managers in a sentence

  • Note: All Portfolio Managers, Associate Portfolio Managers, traders, analysts and employees in the Equity Research and Credit Research areas, and their direct or indirect supervisors in the Investment Division are deemed to be Investment Personnel.

  • Note: All Portfolio Managers, Associate Portfolio Managers, traders, ETF Capital Markets team, investment analysts and employees in the Equity Research and Credit Research areas, and their direct or indirect supervisors in the Investment Division are deemed to be Investment Personnel.

  • Asset class (i.e., not Total Fund) performance, especially for Investment Directors, Portfolio Managers and Associate Portfolio Managers.

  • Approval of Registered Representatives, Investment Representatives, Portfolio Managers and Associate Portfolio Managers and their obligations(1) A Portfolio Manager and Associate Portfolio Manager is also permitted to conduct activities carried on by a Registered Representative in accordance with IIROC requirements applicable to Registered Representatives.

  • Approval of Registered Representatives, Investment Representatives, Portfolio Managers and Associate Portfolio Managers and their obligations(1) A Portfolio Manager and Associate Portfolio Manager is also permitted to conduct activities carried on by a Registered Representative in accordance with Corporation requirements applicable to Registered Representatives.

  • Approval of Registered Representatives, Investment Representatives, Portfolio Managers and Associate Portfolio Managers and their obligations...

  • We propose expanding the scope of the lending, borrowing and control arrangement requirements to include Associate Portfolio Managers and Portfolio Managers.

  • Re: 2554(6) - Approval of Registered Representatives, Investment Representatives, Portfolio Managers and Associate Portfolio Managers and their obligations - This provision introduces a new requirement for an Associate Portfolio Manager to obtain pre-approval of their advice by a Portfolio Manager.

  • Such arrangements are not treated as loans because there is no definite repayment obligation.The Tax Court rejected the analogy relied upon by the IRS.

  • Primary responsibility and delegation(1) Compliance with IIROC requirements relating to suitability determination is primarily theresponsibility of the Registered Representative, Portfolio Manager or Associate Portfolio Manager assigned to the client account.(2) Registered Representatives, Portfolio Managers and Associate Portfolio Managers must not delegate their responsibility for suitability assessment obligations to any other person.RULE 3900 | SUPERVISION‌‌‌‌ .

Related to Associate Portfolio Managers

  • Portfolio Managers means Employees who are primarily responsible for the day-to-day management of a Client portfolio.

  • Portfolio Manager means any individual employed by Loomis Sayles who has been designated as a Portfolio Manager by Loomis Sayles. A person is considered a Portfolio Manager only as to those client accounts as to which he or she is designated by the Chief Compliance Officer as such. As to other client accounts, he or she is simply an Access Person.

  • portfolio management means managing portfolios in accordance with mandates given by clients on a discretionary client-by-client basis where such portfolios include one or more financial instruments;

  • Portfolio Management Services means management of the investment and reinvestment of the assets belonging to the Series, consisting specifically of the following:

  • Discretionary Portfolio Manager means a Portfolio Manager who exercises or may, under a contract relating to portfolio management, exercise any degree of discretion as to the investments or management of the portfolio of securities or the funds of the Client, as the case may be.

  • Discretionary Portfolio Management Services means the portfolio management services rendered to the Client by the Portfolio Manager on the terms and conditions contained in the agreement, where under the Portfolio Manager exercises any degree of discretion in the investments or management of assets of the Client.

  • Co-Managers means, collectively, (a) MUFG Bank, Ltd. (f/k/a The Bank of Tokyo-Mitsubishi UFJ, Ltd.), (b) Capital One, N.A., (c) Citizens Bank, National Association and (d) Fifth Third Bank, National Association.

  • TO Manager means TO Manager of the Agency. The Agency may change the TO Manager at any time by written notice to the TO Contractor.

  • Non-Discretionary Portfolio Management Services means a portfolio management services under which the Portfolio Manager, subject to express prior instructions issued by the Client from time to time in writing, for an agreed fee structure and for a definite described period, invests in respect of the Client’s account in any type of security entirely at the Client’s risk and ensure that all benefits accrue to the Client’s Portfolio.

  • portfolio adviser means a person or company that provides investment advice or portfolio management services under a contract with the investment fund or with the manager of the investment fund;

  • FIFA means the Federation Internationale de Football Association.

  • Asset Management Company/UTI AMC/AMC/Investment Manager means the UTI Asset Management Company Limited incorporated under the Companies Act, 1956, (1 of 1956) [replaced by The Companies Act, 2013 (No.18 of 2013)] and approved as such by Securities and Exchange Board of India (SEBI) under sub-regulation (2) of Regulation 21 to act as the Investment Manager to the schemes of UTI Mutual Fund.

  • Portfolio Securities or "investments" of the Series shall mean, respectively, such assets, net assets, securities, portfolio securities or investments which are from time to time under the management of the Subadviser pursuant to this Agreement.

  • Investment Portfolio means invested assets (including cash and cash equivalents, short-term investments, bonds or other fixed income securities and equity investments).

  • Asset Management Company/UTI AMC/AMC/Investment Manager means the UTI Asset Management Company Limited incorporated under the Companies Act, 1956, (1 of 1956) replaced by The Companies Act, 2013 (No. 18 of 2013) and approved as such by Securities and Exchange Board of India (SEBI) under sub-regulation (2) of Regulation 21 to act as the Investment Manager to the schemes of UTI Mutual Fund;

  • Portfolio Data means the Key Terms in relation to all outstanding Trades between you and us in a form and standard that is capable of being reconciled. The information comprising the Portfolio Data for Portfolio Data Delivery Date will be prepared as at the close of business New York time on the immediately preceding Business Day.

  • Portfolio means any account, trust or other investment vehicle (except "Fund") over which the Firm has investment management discretion.

  • The College means Plenty Valley Christian College [ABN 87 670 414 115].

  • Real Estate Business means homebuilding, housing construction, real estate development or construction and the sale of homes and related real estate activities, including the provision of mortgage financing or title insurance.

  • CCMA means the Commission for Conciliation, Mediation and Arbitration established in terms of section 112 of the Labour Relations Act, 1995;

  • Investment Client means (i) any investment company registered as such under the Investment Company Act, any series thereof, or any component of such series for which the Adviser acts as investment adviser; or (ii) any private account for which the Adviser acts as investment adviser.

  • School District/Public Entity means the School District/Public Entity that executes the contract.

  • Related Real Estate Documents with respect to any Real Estate subject to a Mortgage, the following, in form and substance satisfactory to Agent and received by Agent for review at least 10 days prior to the effective date of the Mortgage: (a) a mortgagee title policy (or binder therefor) covering Agent’s interest under the Mortgage, in a form and amount and by an insurer acceptable to Agent, which must be fully paid on such effective date; (b) such assignments of leases, estoppel letters, attornment agreements, consents, waivers and releases as Agent may require with respect to other Persons having an interest in the Real Estate; (c) a current, as-built survey of the Real Estate, containing a metes-and-bounds property description and flood plain certification, and certified by a licensed surveyor acceptable to Agent; (d) flood insurance in an amount, with endorsements and by an insurer acceptable to Agent, if the Real Estate is within a flood plain; (e) a current appraisal of the Real Estate, prepared by an appraiser acceptable to Agent, and in form and substance satisfactory to Required Lenders; (f) an environmental assessment, prepared by environmental engineers acceptable to Agent, and accompanied by such reports, certificates, studies or data as Agent may reasonably require, which shall all be in form and substance satisfactory to Required Lenders; and (g) an Environmental Agreement and such other documents, instruments or agreements as Agent may reasonably require with respect to any environmental risks regarding the Real Estate.

  • Real Estate-Related Securities shall have the meaning set forth in the Charter.

  • Public street means a public right-of-way, including a public highway, public avenue, public boulevard, public parkway, public road, public lane, public alley, public viaduct, public subway, public tunnel, public bridge, public byway, other public transportation easement, or other public way.

  • Real Estate means all Leases and all land, together with the buildings, structures, parking areas, and other improvements thereon, now or hereafter owned by any Loan Party, including all easements, rights-of-way, and similar rights relating thereto and all leases, tenancies, and occupancies thereof.