Examples of Vaughan in a sentence
This prohibition applies to shares of funds advised / sub-advised by Vaughan Nelson held in retirement or 401(k) plan accounts, as well as in other accounts in which you or a member of your Family/Household has Beneficial Ownership.
Note that Section 3 above contains separate prohibitions on short-term trading in funds sub-advised by Vaughan Nelson.
Transactions in securities of collective investment vehicles for which the Firm serves as an investment adviser, other than funds sub-advised by Vaughan Nelson.
Transactions in securities of collective investment vehicles (other than a fund sub-advised by Vaughan Nelson) for which the Firm serves as the investment adviser (for example, the purchase or redemption by you of an interest in a Firm-managed hedge fund would not be subject to pre-clearance).
Vaughan Its: Managing Director By: /s/ David Co -------------------------------- Name: David Co Its: Director By: /s/ Jose Sicilia -------------------------------- Name: Jose Sicilia Its: Managing Director By: /s/ Kevin Fischer -------------------------------- Name: Kevin Fischer Its: Vice President By: /s/ Robert Frier -------------------------------- Name: Robert Frier Its: Director DEUTSCHE BANK TRUST COMPANY AMERICAS By: /s/ Kevin C.
In applying the prohibition on short-term trading in funds sub-advised by Vaughan Nelson, the Firm may take account of all purchase and sale transactions in the Vaughan Nelson sub-advised fund, even if the transactions were made in different accounts.
Transactions under automatic investment or withdrawal plans, including automatic 401(k) plan investments, and transactions under a “fundsub-advised by Vaughan Nelson’s” dividend reinvestment plan.
Note that Section 3 above contains separate prohibitions on short-term trading in funds advised/sub-advised by Vaughan Nelson.
Transactions in securities of collective investment vehicles for which the Firm serves as an investment adviser, other than funds advised/sub-advised by Vaughan Nelson.
In applying the prohibition on short-term trading in funds advised/sub-advised by Vaughan Nelson, the Firm may take account of all purchase and sale transactions in the Vaughan Nelson advised/sub-advised fund, even if the transactions were made in different accounts.