Covered Associates means, as it relates to the Firms, any:
Covered Associates means (i) the Adviser’s general partners, managing members, executive officers and other individuals with a similar status or function; (ii) the Adviser’s employees who solicit a government entity for the Adviser and persons who supervise, directly or indirectly, such employees; and (iii) any political action committee controlled by the Adviser or by any person described in (i) or (ii) above. An “executive officer” of the Adviser means the president, any vice president in charge of a principal business unit, division or function (such as sales, administration or finance), any other officer of the Adviser who performs a policy-making function or any other person who performs similar policy-making functions for the Adviser.
Covered Associates means (i) Finisterre’s general partners, managing members, executive officers and other individuals with a similar status or function; (ii) Finisterre’s employees who solicit a government entity for Finisterre and persons who supervise, directly or indirectly, such employees; and (iii) any political action committee controlled by Finisterre or by any person described in (i) or (ii) above. An “executive officer” of Finisterre means the president, any vice president in charge of a principal business unit, division or function (such as sales, administration or finance), any other officer of Finisterre who performs a policy-making function or any other person who performs similar policy-making functions for Finsiterre.
Examples of Covered Associates in a sentence
Covered Associates may elect COBRA continuation coverage on behalf of their spouses, and parents may elect COBRA continuation coverage on behalf of their children.
It shall be a violation of this Policy for a Vendor or any of its Covered Associates to do anything indirectly that, if done directly, would result in a violation of this Policy.
It is the intent of the Company that Options and SARs granted to Covered Associates and other Awards designated as Awards to Covered Associates subject to Section 7 shall constitute qualified “performance-based compensation” within the meaning of Code Section 162(m) and regulations thereunder, unless otherwise determined by the Committee at the time of allocation of an Award.
The Land Commissioner of the State of New Mexico.Contractor covenants and agrees that it will re-make the above representation in writing on at least an annual basis upon the SIO’s request.In the event that Contractor or any of its Covered Associates makes or has made a Contribution that would cause the above representation to be untrue in any respect, Contractor shall promptly notify the SIO in writing.XII.
The time out applies to political contributions made by a person within (i) two years of becoming a covered associate if the covered associate solicits clients upon becoming a covered person, or (ii) six months if he or she doesn’t.392 The adviser hiring the covered person (or promoting an employee to be a covered person) will be subject to the time out until the two-year (or six month) period has run with respect to that person’s contribution.393(2) Departing Covered Associates.
More Definitions of Covered Associates
Covered Associates means (i) the Advisor’s general partners, managing members, executive officers and other individuals with a similar status or function; (ii) the Advisor’s employees who solicit a government entity for the Advisor and persons who supervise, directly or indirectly, such employees; and (iii) any political action committee controlled by the Advisor or by any person described in (i) or (ii) above. An “executive officer” of the Advisor means the president, any vice president in charge of a principal business unit, division or function (such as sales, administration or finance), any other officer of the Advisor who performs a policy-making function or any other person who performs similar policy-making functions for the Advisor.
Covered Associates means (i) the Firm’s general partners, managing members, executive officers and other individuals with a similar status or function; (ii) the Firm’s employees who solicit a government entity for the Firm and persons who supervise, directly or indirectly, such employees; and (iii) any political action committee controlled by the Firm or by any person described in (i) or (ii) above. An “executive officer” of the Firm means the president, any vice president in charge of a principal business unit, division or function (such as sales, administration or finance), any other officer of the Firm who performs a policy-making function or any other person who performs similar policy-making functions for the Firm.
Covered Associates means the chief executive officer (or an individual acting in such capacity) as of the end of the Fiscal Year and any other employee whose total compensation for the Fiscal Year is required to be reported to stockholders under the Securities Exchange Act of 1934 by reason of such employee being among the four highest compensated officers (other than the chief executive officer or other individual acting in such capacity) for the Fiscal Year.
Covered Associates means (i) any general partner, managing member or executive officer of the Forward Management, or other individual with similar status or function, (ii) any employee who solicits a government entity for Forward Management and any person who supervises, directly or indirectly, such employee, (iii) any political action committee controlled by any person described in clauses (i) and (ii), above, and (iv) any other supervised person of Forward Management.
Covered Associates means any Employees who are specifically subject to the regulatory restrictions governing Contributions under the Pay-to-Play Rule. Covered Associates include: (i) any partner, managing member or “executive officer,” or an individual with a similar status or function; (ii) any employee who Solicits a government entity for the Firm (and any person who directly or indirectly supervises such employee); and (iii) any Political Action Committee (“PAC”) controlled by the Firm or a Covered Associate. For purposes of the Code and specifically in reference to political contribution, Covered Associates shall include any person(s) designated as such by Mariner’s General Counsel or Chief Compliance Officer. This shall include any Employee who is Managing Director level or above or who serves in a marketing (e.g., MGCM Registered Representatives), or sales support capacity as further described in the Pay-to-Play section of this Code.
Covered Associates means (i) the Firm’s general partners, managing members, executive officers and other individuals with a similar status or function; (ii) the Firm’s employees who solicit a government entity for CQS US and persons who supervise, directly or indirectly, employees; and (iii) any political action committee controlled by the Firm or by any person described in (i) or (ii) above. An “executive officer” of the Firm means the president, any vice president in charge of a principal business unit, division or function (such as sales, administration or finance), any other officer of CQS US who performs a policy-making function or any other person who performs similar policy-making functions for the Firm. Covered Investment Pool means (i) an investment company registered under the Investment Company Act of 1940 that is an investment option of a plan or program of a government entity or (ii) any company that would be an investment company under section 3(a) of the Investment Company Act of 1940, but for the exclusion provided from that definition by either section 3(c)(1), section 3(c)(7) or section 3(c)(11) of that Act. Government entity means any state or political subdivision of a state, including (i) any agency, authority or instrumentality of the state or political subdivision; (ii) a pool of assets sponsored or established by the state or political subdivision or any agency, authority or instrumentality , including, but not limited to, a “defined benefit plan” as defined in section 414(j) of the Internal Revenue Code, or a state general fund; (iii) a plan or program of a government entity; and (iv) officers, agents or employees of the state or political subdivision or any agency, authority or instrumentality, acting in their official capacity. Official means any person (including any election committee for the person) who was, at the time of the contribution, an incumbent, candidate or successful candidate for elective office of a government entity if the office (i) is directly or indirectly responsible for, or can influence the outcome of, the hiring of CQS US by the government entity or (ii) has the authority to appoint any person who is directly or indirectly responsible for, or can influence the outcome of, the hiring of CQS US by the government entity. Payments means gifts, subscriptions, loans, advances or deposits of money or anything of value. Regulated person means an investment adviser registered with the SEC that has not, and whose covered associates ha...
Covered Associates means (i) the Adviser’s general partners, managing members, executive officers and other individuals with a similar status or function; (ii) the Adviser’s employees who solicit a government entity for the Adviser and persons who supervise, directly or indirectly, such employees; and (iii) any political action committee controlled by the Adviser or by any person described in (i) or (ii) above.Covered Associates must submit an annual reporting of any political contributions, including all direct or indirect contributions or payments made by the Adviser or any of its covered associates to an official of a government entity, a political party of a state or political subdivision thereof, or a political action committee (PAC). If you have no contributions to report, write “NONE” in the table below.Recipient of Contribution Date of Contribution Amount of Contribution Signature:Name: Date:H2-8APPENDIX H3WHISTLEBLOWER POLICY AND PROCEDURESSeptember 2018