Examples of Restricted Transaction in a sentence
All DoubleLine Personnel are prohibited from engaging in any Restricted Transaction (as defined below) without first obtaining prior approval by the Chief Compliance Officer or the CCO’s designates (collectively, the “Approving Officers”).
For purposes hereof, a Restricted Transaction shall mean: • acquiring ownership, directly or indirectly, in any security issued in an initial public offering or a limited offering or private placement (each as defined below), including any interest in a hedge fund • transfers of interest in private placements sponsored by the Companies, other than transfers for estate planning purposes or that are court-mandated • transactions involving Prohibited Securities (as defined in Exhibit VIII).
All DoubleLine Personnel are prohibited from engaging in any Restricted Transaction (as defined below) without first obtaining prior approval by the CCO or the CCO’s designees (collectively, the “Approving Officers”).
I agree that for a period of 6 months following the earlier of (i) expiry or termination of the Contract Period and (ii) my leaving the employment of the Company, I shall not provide advice or assistance to, and shall not be employed or engaged by, any person or entity (other than the Authority) in connection with any Restricted Transaction, other than with the express written consent of the Authority, such consent not to be unreasonably withheld.
All DoubleLine Personnel are prohibited from engaging in any Restricted Transaction (as defined below) without first obtaining prior approval by the Approving Officers.