Investment Employee definition

Investment Employee means any person employed by the City who has been authorized to make decisions with respect to investment of City funds.
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Investment Employee has the meaning set forth in Section 3.15(g).
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Investment Employee means an Amherst Capital portfolio manager and an Amherst Capital research analyst who make recommendations or decisions regarding the purchase or sale of securities for mutual funds and other managed accounts.
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Examples of Investment Employee in a sentence

  • Investment Employees will generally not be given preclearance approval to execute a transaction in any security for which there is a pending buy or sale order for an affiliated account (other than an index fund) in the business unit where the Investment Employee has access to information about pending transactions.

  • Employees will be designated into one or more of the following classifications:Access Decision Maker Dreyfus/FINRA Employee Investment Employee Pre-Release Earning Group Insider Risk Employee Fund Officer Fund Service Employee Non-Classified Employees Service Employee U.S.-based employees must maintain their brokerage accounts with an approved broker-dealer.

  • Investment Employee An employee who, in the normal conduct of his/her job responsibilities, has access (or are likely to be perceived to have access) to nonpublic information regarding any advisory client’s purchase or sale of securities or nonpublic information regarding the portfolio holdings of any Proprietary Fund, is involved in making securities recommendations to advisory clients, or has access to such recommendations before they are public.

  • If one of these persons would be considered an Insider Risk Employee, Investment Employee or Access Decision Maker if he/she were a Mellon employee, the person’s manager should advise the Ethics Office and the Compliance Officer who will determine whether such individual should be subject to the preclearance and reporting requirements of the Policy.

  • Other Employee You are considered to be an Other Employee if you are an employee of Mellon or any of its direct or indirect subsidiaries who is not an Insider Risk Employee, Investment Employee, or an ADM.

  • For example, if an account contains only non-proprietary funds or other Exempt Securities, but has the capability to have reportable securities traded in it, the account must be reported and duplicate account statements and trade confirmations must be provided to Mellon.Initial Holdings Report – within 10 calendar days of being designated an Investment Employee or ADM, employees must file an “Initial Holdings Report”.

  • Employees will be designated into one of the following classifications: Access Decision Maker Investment Employee Insider Risk Employee Other Employee It is the responsibility of each manager to communicate an employee’s classification and an employee’s obligation to confirm their classification with their manager, Compliance Officer or the Ethics Office.

  • In such circumstances, a decision to acquire securities of that issuer for client accounts must be reviewed independently by an Investment Employee with no personal interest in that issuer prior to placing an order.

  • If no such Investment Employee exists, the transaction should not be effected for client accounts without specific client approval.

  • If one of these persons would be considered an Insider Risk Employee, Investment Employee or ADM if he/she were a Company employee, the person's manager should advise the Ethics Office and the Compliance Officer who will determine whether such individual should be subject to the preclearance and reporting requirements of the Policy.

Related to Investment Employee

  • Management Employee means an employee having responsibility for formulating, administering or managing the implementation of District policies and programs.

  • Student Employee means a student who is paid by the District, and may include students participating in a work study program or who receive stipends while they are acting within the scope of their employment at the District at the time the intellectual property was created.

  • Current Employee has the meaning set forth in Section 7.8(a).

  • Replacement employee is an employee specifically engaged to replace an employee proceeding on parental leave.

  • Permanent Employee means an employee in the classified service who has successfully completed a probationary period.

  • Parent Employee means, a current employee of Parent or any of its Subsidiaries.

  • Designated Employee means an employee who has been designated by the school to receive complaints of hazing, harassment and bullying pursuant to subdivision 16 V.S.A. 570a(a)(7). The designated employees for each school building are identified in Appendix A of this policy.

  • Client employer means an Employer that is involved in a Tri-Party Employment Relationship due to obtaining the services of a third-party entity.

  • Company Employee means an employee of the Company or any of its Subsidiaries.

  • Contract employee means a probationary faculty employee or a grant- funded employee hired on a year-to-year basis in accordance with Education Code 87470.

  • Affiliated employee means any individual employed by a recipient who receives compensation directly from government assistance or a contract with the District of Columbia government, including any employee of a contractor or subcontractor of a recipient who performs services pursuant to government assistance or a contract. The term “affiliated employee” does not include those individuals who perform only intermittent or incidental services with respect to the government assistance or contract, or who are otherwise employed by the contractor, recipient or subcontractor.

  • Qualifying Employee means any employee of Managing Agent or Parent or any of their respective subsidiaries who is and has been an employee of Managing Agent or Parent or any of their respective subsidiaries for at least thirty-six (36) months.

  • School employee means (1) a teacher, substitute teacher, school administrator, school superintendent, guidance counselor, psychologist, social worker, nurse, physician, school paraprofessional or coach employed by a local or regional board of education or working in a public elementary, middle or high school; or (2) any other individual who, in the performance of his or her duties, has regular contact with students and who provides services to or on behalf of students enrolled in a public elementary, middle or high school, pursuant to a contract with the local or regional board of education.

  • Non-Key Employee means any Employee who is not a Key Employee.

  • Current Employees has the meaning set forth in Section 6.4(a).

  • Managing Employee means a general manager, business manager, administrator, director, or other individual who exercises operational or managerial control over, or who directly or indirectly conducts the day-to-day operation of an institution, organization, or agency.

  • Permanent Employees means all employees who are not casual employees, or employees working in a long-term supply assignment, as defined below.

  • Transferred Employee has the meaning set forth in Section 6.01(a).

  • Public employee means an individual holding a position by appointment or employment in the government of this state, in the government of 1 or more of the political subdivisions of this state, in the public school service, in a public or special district, in the service of an authority, commission, or board, or in any other branch of the public service, subject to the following exceptions:

  • Former Employee means all individuals (including common law employees, independent contractors and individual consultants) who were employed or engaged by the Company in connection with the Business but who are no longer so employed or engaged on the date hereof.

  • Key Employee means any executive-level employee (including, division director and vice president-level positions) as well as any employee who, either alone or in concert with others, develops, invents, programs, or designs any Company Intellectual Property (as defined in the Purchase Agreement).

  • Restricted Employee means any individual who was employed by any member of the Company Group during the course of Employee’s term of employment and with whom Employee had material contact during the twelve (12) month period immediately preceding the date of Employee’s termination.

  • Authorized Employee means an employee of Processor who has a need to know or otherwise access Personal Data to enable Processor to perform their obligations under this Addendum or the Agreement.

  • Executive Employee means those employees of the Company of Grade Level 10 or above.

  • New employee means a Full-Time Employee first employed by the Company in the Project and who is hired on or after the Effective Date of this Agreement.

  • U.S. Employee means a person who is an employee of the Company (or of any Subsidiary) for purposes of section 422 of the Code.