No Trade List definition
No Trade List means the list of securities maintained by the Compliance Team in the Compliance Personal Trading System (as defined below) in which trading by Access Persons is generally prohibited. It includes any security or affiliated fund from which we have halted all trading due to the possession of material, non-public information (“MNPI”) by a Supervised Person. It also includes any security that is on the OMS Approved List (as defined below) which has the potential for near-term inclusion but is not yet part of the firm’s investment strategy(ies). Finally, it can include public companies where a Supervised Person serves as a director (or similar position).
No Trade List means any security or affiliated fund from which we have halted all trading due to the possession of MNPI by a firm employee.