Examples of Immediate Family Member of an Access Person in a sentence
HIMCO maintains a list of Designated Broker-Dealers, which is available on SunGard PTA as well as on HIMCO’s intranet site.ExemptionsIf an Immediate Family Member of an Access Person is employed in the financial services industry, such Immediate Family Member may be subject to a code of ethics (or its equivalent) adopted by their employer.
Gifts” are items (or services) of value that a third party provides to an Access Person or an Immediate Family Member of an Access Person (or an Access Person or an Immediate Family Member of an Access Person gives to the third party) where there is no business communication involved in the enjoyment of the gift.
The Firm’s “Gifts and Entertainment Policy” distinguishes between a “Gift” and “Entertainment.”· “Gifts” are items (or services) of value that a third party provides to an Access Person or an Immediate Family Member of an Access Person (or an Access Person or an Immediate Family Member of an Access Person gives to the third party) where there is no business communication involved in the enjoyment of the gift.
To the extent that an Immediate Family Member of an Access Person is subject to such a code and is by the terms thereof required to maintain personal brokerage accounts with broker-dealers who are not Designated Broker-Dealers, those personal brokerage accounts will be exempt from the requirement that all Employee Related Accounts be maintained with Designated Broker-Dealers.Other exemptions include:· Direct Investments in Hartford-Sponsored Mutual Funds (see Section IV.B.(ii) above).
HIMCO maintains a list of Designated Broker-Dealers, which is available on HIMCO’s Personal Trading Application as well as on Compliance’s intranet site.ExemptionsIf an Immediate Family Member of an Access Person is employed in the financial services industry, they may be subject to a code of ethics (or its equivalent) adopted by their employer.
ExemptionsIf an Immediate Family Member of an Access Person is employed in the financial services industry, such Immediate Family Member may be subject to a code of ethics (or its equivalent) adopted by their employer.
HIMCO maintains a list of Designated Broker-Dealers, which is available on HIMCO’s Personal Trading Application as well as on HIMCO’s intranet site.ExemptionsIf an Immediate Family Member of an Access Person is employed in the financial services industry, such Immediate Family Member may be subject to a code of ethics (or its equivalent) adopted by their employer.
For purposes of this Code, "Immediate Family Member" of an Access Person means any child, stepchild, grandchild, parent, stepparent, grandparent, spouse sibling, mother-in-law, father-in-law, son-in-law, daughter-in-law, brother-in-law or sister-in-law sharing the same household as the Access Person.
No Access Person or an Immediate Family Member of an Access Person may engage in any transaction involving FTAM if the Access Person or such Immediate Family has a substantial interest in the transaction or can benefit directly or indirectly from the transaction, unless authorized in writing by the Chief Compliance Officer.
To the extent that an Immediate Family Member of an Access Person is subject to such a code and is by the terms thereof required to maintain personal brokerage accounts with broker-dealers who are not Designated Broker-Dealers, those personal brokerage accounts will be exempt from the requirement that all Employee Related Accounts be maintained with Designated Broker-Dealers.