ADVISORY REPRESENTATIVES definition

ADVISORY REPRESENTATIVES means any officer or director of the Advisers; or any Employee of the Advisers who makes any recommendation, who participates in the determination of which recommendation should be made or whose functions or duties relate to the determination of which recommendation shall be made.
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Examples of ADVISORY REPRESENTATIVES in a sentence

  • In addition, Quarterly Transaction Reports are required as described below: Code of Ethics Effective Xxx 00, 200X 1) Access PERSONS AND ADVISORY REPRESENTATIVES Except as provided below, all Access Persons and Advisory Representatives must prepare a quarterly report of all Personal Securities Transactions in Securities no later than 10 days following the end of each quarter in which such Personal Securities Transactions were effected.

  • RESTRICTED SMALL CAP ISSUES CANNOT BE PURCHASED BY WELLS CAPITAL ADVISORY REPRESENTATIVES UNTIL SUCH TIME THAT THE FUNDS ARE OUT OF THE SAME POSITIONS.

  • Such persons are collectively defined under sub-paragraph (A) of this rule as "ADVISORY REPRESENTATIVES".

  • APPENDIX A ADVISORY REPRESENTATIVES The names and titles of "advisory representatives" subject to the Code of Ethics as of May 15, 1998 were: ALL PORTFOLIOS EXCEPT TAX FREE FUND OF COLORADO (Trade preapproval is not required on Colorado tax exempt trades) Randall D.

  • ADVISORY REPRESENTATIVES CAN ALSO COMPLETE AND SUBMIT THE TRADE REPORT TO COMPLIANCE WHEN THE TRADE IS EXECUTED WITHOUT WAITING FOR QUARTER END TO ENSURE TIMELY SUBMISSION.

  • UPON REQUEST OF THE FUND OR ADVISER, THE MEMBER BROKER IS REQUIRED TO TRANSMIT DUPLICATE COPIES OF THE ADVISORY REPRESENTATIVE'S TRADE CONFIRMS AND ACCOUNT STATEMENTS.

  • I.2 "ADVISORY REPRESENTATIVES" ADVISORY REPRESENTATIVES For the purposes of this Code, MAA defines "advisory representative" as any director, officer or employee who in connection with his or her regular functions or duties - o makes, participates in, or obtains information regarding the purchase or sale of a security for an advisory client or o whose functions are related to the making of any recommendations with regard to such purchases or sales.

  • ALL OTHER SMALL CAPITALIZATION ISSUES THAT ARE NOT OWNED BY THESE MANAGED SMALL CAP FUNDS CAN BE PURCHASED BY ADVISORY REPRESENTATIVES SUBJECT TO PRE-CLEARANCE AND REPORTING REQUIREMENTS.

  • III.1 PRE-CLEARANCE - ALL ADVISORY REPRESENTATIVES in the firm must pre-clear personal securities transactions as specified in Section III.4. - All pre-clearance requests must be submitted via ELECTRONIC MAIL to WELLSCAP RISK MGT in the Global Address List.

  • DESIGNATED ADVISORY REPRESENTATIVES As a part of its business activities, Wells Capital may share investment recommendations with certain affiliates simultaneously with effective dissemination to the market.

Related to ADVISORY REPRESENTATIVES

  • Advisory representative means any Supervised Person, who in connection with his or her regular functions or duties, normally makes, participates in, or otherwise obtains current information regarding the Purchase or Sale of a Security by the Firm, or whose functions relate to the making of any recommendations with respect to such purchases or sales, and any natural Person in a Control relationship to the Firm who obtains information concerning recommendations made concerning a Purchase or Sale of a Security. This definition includes but is not limited to the following: partner, officer, Manager, investment person, Portfolio Manager and any other Supervised Person of the Firm designated as an “Advisory Representative” from time to time by the Review Officer.

  • Company Representatives shall have the meaning set forth in Section 6.5(a).

  • Designated Representatives means the Subordination Agent Representatives, the Trustee Representatives and the Provider Representatives identified under Section 2.5.

  • Independent representative means a person who:

  • Principal’s Representative means the person nominated by the Principal or other person from time to time appointed in writing by the Principal to act as the Principal’s Representative for the purposes of the Contract.

  • Management Representative means an individual designated to hear grievances on behalf of the University.

  • Member Representative means an individual who can make OHP-related decisions for a member who is not able to make such decisions themselves.

  • Parent Representatives has the meaning set forth in Section 5.2(a).

  • Investment adviser representative means an individual employed by or associated with an investment adviser or federal covered investment adviser and who makes any recommendations or otherwise gives investment advice regarding securities, manages accounts or portfolios of clients, determines which recommendation or advice regarding securities should be given, provides investment advice or holds herself or himself out as providing investment advice, receives compensation to solicit, offer, or negotiate for the sale of or for selling investment advice, or supervises employees who perform any of the foregoing. The term does not include an individual who:

  • Buyer Representatives shall have the meaning set forth in Section 6.4(a).

  • Company Representative means the person or persons appointed and approved in writing from time to time by the Company to act on its behalf for overall co- ordination.

  • Contractor’s Representative means the individual authorised to act on behalf of the Contractor for the purposes of the Contract.

  • Supplier Representative means the representative appointed by the Supplier from time to time in relation to this Framework Agreement;

  • Representative means, with respect to any Person, any and all directors, officers, employees, consultants, financial advisors, counsel, accountants and other agents of such Person.

  • City Representative means the Representative or appointee engaged by the City to supervise the work.

  • Seller Representatives has the meaning set forth in Section 5.8(a).

  • Appointed Representative has the meaning set forth in Section 10.1.

  • Engineer’s Representative means the official in the civil/ electrical engineering department who is authorized to be in-charge of the work to which these presents relate. It shall include any other official nominated to attend to the supervision of day to day execution of the work to which this CONTRACT relates.

  • Designated Representative has the meaning set forth in Section 6(j)(v) of this Agreement.

  • Partnership Representative has the meaning set forth in Section 5.2(a).

  • Purchaser Representative means any person who satisfies all of the following conditions or who the issuer reasonably believes satisfies all of the following conditions:

  • Agency Representative A person assigned by a primary, assisting, or cooperating federal, state, local, or tribal government agency or private entity that has been delegated authority to make decisions affecting that agency’s or organization’s participation in incident management activities following appropriate consultation with the leadership of that agency. Area: The lands in a described geographic area that are managed and/or protected by the Parties within this Agreement.