Restricted List Securities definition
Restricted List Securities means the list of securities that are provided to the Compliance Department by Invesco Ltd. or investment departments, which include those securities that are restricted from purchase or sale by Client or Employee accounts for various reasons (e.g., large concentrated ownership positions that may trigger reporting or other securities regulatory issues, or possession of material, non-public information, or existence of corporate transaction in the issuer involving an Invesco Ltd. unit).
Restricted List Securities means the list of securities that are provided to the Compliance Department by Invesco Ltd. or investment departments, which include those securities that are restricted from purchase or sale by Client or Employee accounts for various reasons (e.g., large concentrated ownership positions
Restricted List Securities are those securities included on a list (the “Restricted List”) posted by the LGFA Compliance Officer on a Company intranet web page accessible to all Employees.
Examples of Restricted List Securities in a sentence
Any actual or appearance of a conflict of interest in the trading in the Employee’s excepted accounts will render these accounts subject to the trading restrictions applicable to Restricted List Securities.
In situations where a third party exercises complete investment discretion in managing an Employee’s Personal Account, the restrictions on trading Restricted List Securities are not applicable.