Portfolio Holdings Information definition

Portfolio Holdings Information is defined as information which, at any point in time, identifies, or may be used to identify (i) any security or other financial instrument owned in any of the client accounts at GEAM (each an “Account”) (ii) the value of any security or other financial instrument owned in an Account, (iii) information concerning the purchase and sale of securities or other financial instruments in an Account; and (iv) characteristics of securities or other financial instruments owned in an Account (such as sector, country, regional, quality and duration breakdowns, depending on the type of account). Portfolio Holdings Information does not include information that is as of a date at least 30 calendar days old.
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Examples of Portfolio Holdings Information in a sentence

  • Disclosure of Non-Public Portfolio Holdings Information If you have access to non-public portfolio holdings information of a Fund, you must treat such information in accordance with the Funds’ Portfolio Holdings Disclosure Policies and Procedures, which are attached to this Code of Ethics as Appendix V.

  • Portfolio Holdings Information In addition to the information disclosed in the periodic reports of the Company, the Company may, from time to time, make available to investors portfolio holdings and portfolio-related information in respect of one or more of the Funds.

  • II-37 Portfolio Holdings Information ................................................................................................................

  • In addition, certain service providers and agents to the Trust and the Funds may have access to Portfolio Holdings Information prior to its public dissemination by the Trust.

  • Disclosure of Non-Public Portfolio Holdings Information If you have access to non-public portfolio holdings information of a Fund, you must treat such information in accordance with the Trust’s Portfolio Holdings Disclosure Policies and Procedures, which are attached to this Code of Ethics as Appendix V.

  • As a result of their provision of services to the Funds, employees of these investment advisers may have access to Portfolio Holdings Information (as defined herein) of one or more Funds prior to the time such information is publicly disseminated.Each investment adviser has adopted a code of ethics pursuant to Rule 17j-1 of the Investment Company Act designed to prohibit fraudulent or deceitful conduct.

  • Furthermore, except as required by law (including, but not limited to semi-annual, annual or other filings made under the 1940 Act), or as agreed to by VALIC and the SUB-ADVISER, VALIC AND VCII will not disclose any list of securities held by the Covered Funds, in any manner whatsoever except as expressly permitted in VC II's Policies and Procedures for the Protection of Non-Public Portfolio Holdings Information (the 'Policy').

  • The codes of ethics of the Trust, its investment advisers (and sub-advisers) and principal underwriter are intended to address, among other things, potential conflicts of interest arising from the misuse of information concerning a Fund’s Portfolio Holdings Information.

  • Nevertheless, to the extent that the disclosure of a Fund’s Portfolio Holdings Information results or will result in a conflict between the Fund, on the one hand, and a Potential Recipient on the other, the CCO shall determine how to resolve the conflict in the best interests of the Fund, and shall report such determination to the Board at the end of the quarter in which such determination was made.

  • Prior to approving any such disclosure, the CCO will ensure that procedures, processes and agreements are in place to provide reasonable assurance that the Portfolio Holdings Information will only be used in accordance with the objectives of this Policy.Any suspected breach of this obligation should be reported immediately to the CCO of the Trust or to the CCO of the adviser to the Fund, each of whom shall promptly inform the other.

Related to Portfolio Holdings Information

  • Portfolio Information means confidential and proprietary information of the Fund, the Adviser or the Sub-Adviser that is received by a party hereto in connection with this Agreement, and information with regard to the portfolio holdings, investment activity and characteristics of the Fund.

  • Member Information means the share, deposit, loan account balances, or other information related to any member of a domestic credit union maintained in any form.

  • Servicer Information As defined in Section 12.07(a).

  • Company Financial Information As defined in Section 2(a)(ii).

  • Student Personal Information means information collected through a school service that personally identifies an individual student or other information collected and maintained about an individual student that is linked to information that identifies an individual student, as identified by Washington Compact Provision 28A.604.010. For purposes of this DPA, Student Personal Information is referred to as Student Data.

  • Confidential commercial or financial information means any business information (other than trade secrets) which is exempt from the mandatory disclosure requirement of the Freedom of Information Act, 5 U.S.C. 552. Exemptions from mandatory disclosure which may be applicable to business information contained in proposals include exemption (4), which covers “commercial and financial information obtained from a person and privileged or confidential,” and exemption (9), which covers “geological and geophysical information, including maps, concerning wells.”

  • Staffing Information in relation to all persons identified on the Supplier's Provisional Supplier Personnel List or Supplier's Final Supplier Personnel List, as the case may be, such information as the Department may reasonably request (subject to all applicable provisions of the DPA), but including in an anonymised format: (a) their ages, dates of commencement of employment or engagement, gender and place of work; (b) details of whether they are employed, self employed contractors or consultants, agency workers or otherwise; (c) the identity of the employer or relevant contracting Party; (d) their relevant contractual notice periods and any other terms relating to termination of employment, including redundancy procedures, and redundancy payments; (e) their wages, salaries, bonuses and profit sharing arrangements as applicable; (f) details of other employment-related benefits, including (without limitation) medical insurance, life assurance, pension or other retirement benefit schemes, share option schemes and company car schedules applicable to them; (g) any outstanding or potential contractual, statutory or other liabilities in respect of such individuals (including in respect of personal injury claims); (h) details of any such individuals on long term sickness absence, parental leave, maternity leave or other authorised long term absence; (i) copies of all relevant documents and materials relating to such information, including copies of relevant Agreements of employment (or relevant standard Agreements if applied generally in respect of such employees); and (j) any other “employee liability information” as such term is defined in regulation 11 of the Employment Regulations;

  • Exempt Information means any information or class of information (including but not limited to any document, report, Agreement or other material containing information) relating to this Agreement or otherwise relating to the Provider, which potentially falls within an exemption to FOIA (as set out therein);

  • Information Assets means any information, including Confidential Information, necessary to the operation of either party that is created, stored, transmitted, processed, or managed on any hardware, software, network components, or any printed form, or is communicated orally. “Information Assets” does not include information that has been transferred from the Disclosing Party to the Receiving Party under applicable laws, regulations, and agency guidance, and that is being maintained and used by the Receiving Party solely for purposes that are not Contractor Covered California Functions.

  • Management Information or “MI” means the management information specified in Framework Schedule 8 (Management Information);

  • Business Information means all information and records (in whatever form held and whether commercial, financial, technical or otherwise) relating to the Company or the business or activities or affairs of the Company, which can be reasonably considered to be confidential to the Company.

  • Pool Information means the mortgage pool information reflected in the Master Tapes and the Prospectus Supplement. “Master Tapes” shall mean the respective compilations of information and data regarding the Mortgage Loans covered by the Independent Accountants’ Reports on Applying Agreed-Upon Procedures dated the date of the Preliminary FWP and the date hereof, respectively, rendered by a third party accounting firm described in Section 6(h)(ii) of this Agreement.

  • Transaction Personal Information has the meaning ascribed thereto in Section 9.1;

  • Static Pool Information Static pool information as described in Item 1105(a)(1)-(3) and 1105(c) of Regulation AB.

  • information gathering measures means laws and administrative or judicial procedures that enable a Contracting Party to obtain and provide the requested information;

  • Confidential System Information means any communication or record (whether oral, written, electronically stored or transmitted, or in any other form) provided to or made available to Grantee; or that Grantee may create, receive, maintain, use, disclose or have access to on behalf of HHSC or through performance of the Project, which is not designated as Confidential Information in a Data Use Agreement.

  • Seller Information As defined in Subsection 34.04(a).

  • Highly restricted personal information means an individual’s photograph or image, social security number, digitized signature, and medical and disability information.

  • Financing Information means (i) audited consolidated balance sheets and related statements of income, comprehensive income and cash flows of the Company and its Subsidiaries for the three most recently completed fiscal years ended at least 60 days prior to the Closing Date; (ii) unaudited interim consolidated balance sheets and related statements of income, comprehensive income and cash flows of the Company and its Subsidiaries for the fiscal quarter ended at least 60 days prior to the Closing Date (but excluding the fourth quarter of any fiscal year); and (iii) all other information regarding the Company and its Subsidiaries required by Regulation S-X and Regulation S-K under the Securities Act for an offering of securities of Parent on a registration statement filed with the SEC, in each case, of the type that would permit the Company’s independent auditors to deliver customary “comfort” (including customary “negative assurance” comfort) in connection with such offering which such auditors are prepared to provide upon completion of customary procedures.

  • Blackstone means collectively, The Blackstone Group L.P., a Delaware limited partnership, and any Affiliate thereof (excluding any natural persons and any portfolio companies of any Blackstone-sponsored fund).

  • Dealer Information means material concerning the Dealer provided by the Dealer in writing expressly for inclusion in the Private Placement Memorandum.

  • Underwriter Information means, with respect to any document, statements in or omissions from such document based upon information furnished to the Company in writing by or on behalf of any Underwriter through the Representatives specifically for use in such document. The Company acknowledges that the statements identified in the Pricing Agreement as “Underwriter Information” constitute the only information furnished in writing by or on behalf of the Underwriters for inclusion in any Preliminary Prospectus or the Prospectus.

  • Biometric information means any information, regardless of how it is captured, converted, stored, or shared, based on an individual’s biometric identifier used to identify an individual. Biometric information does not include information derived from items or procedures excluded under the definition of biometric identifiers.

  • Program Information has the meaning set forth in Section 14.8.

  • Issuer Information shall have the meaning set forth in Section 5(a) hereof.

  • Rating Information means any information provided for the purpose of determining the initial credit rating for the Notes or undertaking credit rating surveillance on the Notes (as contemplated by paragraph (a)(3)(iii)(C) of Rule 17g-5).