Examples of Prohibited Practices in a sentence
If such discretionary account is not approved by the Funds' Compliance Coordinator the Investment Person or Access Person, as the case may be, is prohibited from maintaining the discretionary account regardless of whether the Investment Person or Access Person is seeking exemption from the Prohibited Practices of Section V.
If such discretionary account is not approved by the Funds' Compliance Coordinator the Investment Person or Access Person, as the case may be, is prohibited from maintaining the discretionary account regardless of whether the Investment Person or Access Person is seeking exemption from the Prohibited Practices of Section III.C. and III.D.
If such discretionary account is not approved by the Companies' Compliance Department the Investment Person or Access Person, as the case may be, is prohibited from maintaining the discretionary account regardless of whether the Investment Person or Access Person is seeking exemption from the Prohibited Practices of Section IV.C. and IV.D.
The following transactions shall be exempted from the Prohibited Practices of Section III and the Compliance Procedures set forth in Section IV; provided, however, that transactions included in Section V.A.2 must be included in the initial and annual holdings reports submitted pursuant to Section IV C.
The following shall be exempted from the Prohibited Practices of Section III.C., III.D. and III.H., BUT NOT FROM THE COMPLIANCE PROCEDURES AND REPORTING REQUIREMENTS SET FORTH IN SECTION IV.