Restricted List means the list of companies maintained by the Compliance Officer about which the Adviser or its affiliates potentially possess material nonpublic information.
Restricted List means a list of securities that from time to time are not to be acquired by access persons and which list will be maintained by the Underwriter.
Restricted List means the list of securities maintained by the Chief Compliance Officer in which trading by Access Persons is generally prohibited.
Examples of Restricted List in a sentence
Although transactions in securities of an issuer listed on the Restricted List are generally prohibited, case-by-case exceptions may be granted by the CCO or LCO.
More Definitions of Restricted List
Restricted List means the list of issuers for which Covered Persons or an Invesco NA entity may be in possession of MNPI.
Restricted List means the “Pipeline” report of potential investments combined with the current holdings of the clients. PennantPark Access Persons are restricted from trading any security on the Restricted List.
Restricted List means the list of issuers for which Employees may be in possession of MNPI. As a result of possessing such MNPI, trading in the issuer is restricted or prohibited.
Restricted List means the list that the investment department provides to the Compliance Department, which includes those Securities that are being purchased or sold for client accounts and Securities that are prohibited from purchase or sale by client accounts or Employees for various reasons (e.g., large concentrated ownership positions or possession of material, non-public information).
Restricted List means the MetLife Global Restricted Issuer List, which is a confidential list maintained by Investments Compliance that includes names of issuers about which MetLife or its Affiliates or Associates possess material nonpublic information.
Restricted List means that listing of securities maintained by the Compliance Officer in which trading by certain individuals subject to the Funds' 17j-1 code of ethics is generally prohibited.
Restricted List means the list of issuers for which Employees may be in possession of MNPI. As a result of possessing such MNPI, trading in the issuer is restricted or prohibited. The restricted List is maintained by the Compliance Department.