Preclearance Officer definition

Preclearance Officer means each person designated as a Preclearance Officer in Appendix 1 hereof or such person’s designee.
Preclearance Officer means the person designated as the Preclearance Officer in Appendix 2 hereof.
Preclearance Officer means each person designated as a Preclearance Officer by the Code of Ethics Review Committee or a Code of Ethics Review Committee delegate.

Examples of Preclearance Officer in a sentence

  • In some cases, a Preclearance Officer may refuse to authorize a securities transaction for a reason that is confidential.

  • Investment Persons must obtain approval from the Preclearance Officer or preclearance delegatee prior to entering into any securities transaction (with the exception of exempted securities listed below and shares of Reportable Funds) in any account.

  • No order for a securities transaction for which preclearance authorization is required may be placed prior to the receipt of approval from a Preclearance Officer through the Schwab Compliance Technologies System..

  • Any purchase or sale of limited offerings and “private placement” securities (including all private equity partnerships, hedge funds, limited partnership or venture capital funds) by any Access or Supervised Person must be precleared with an SIMG Preclearance Officer prior to the transaction.

  • Any other transaction deemed by the Preclearance Officer to involve a conflict of interest, possible diversions of corporate opportunity, or an appearance of impropriety.


More Definitions of Preclearance Officer

Preclearance Officer means the person designated as a Preclearance Officer in Appendix 1 hereof or such person's designee(s).
Preclearance Officer means: the persons designated as a Preclearance Officer, or such person’s designee.
Preclearance Officer means a U.S. Customs and Border Protection (CBP) official authorized by Ireland to carry out Preclearance in Ireland.
Preclearance Officer means the person designated as a Preclearance Officer in Contact Persons (Appendix 1) hereof or such person’s designee(s).
Preclearance Officer means the Equity Division Business Manager for all Employees except the Equity Division Manager, and means the Equity Division Director for the Equity Division Business Manager.