Firm Employee definition

Firm Employee means and includes each officer, manager and employee of the Firm.
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Examples of Firm Employee in a sentence

  • No Firm Employee should knowingly enter any order whereby Covered or Limited Insider accounts receive a more advantageous price than that received by a mutual fund in that security on the same day.

  • As a practical matter, no Firm Employee shall knowingly give a gift to a Restricted Recipient.

  • This act requires the Firm to establish, maintain, and enforce written policies and procedures designed to detect and prevent insider trading by any Firm Employee.

  • In order to effectively administer our Code, AMG requires that all securities accounts in which a Firm Employee has a Beneficial Interest (“Covered Account”) be maintained at Neuberger Berman.

  • No Firm Employee may transact (personally or on behalf of a Client) in the securities of any collateralized debt and/or loan vehicle managed by the Firm without obtaining express approval from a member of the Firm’s Legal and Compliance Department.

  • Hirtle Callaghan forbids any Firm Employee from trading, either personally or on behalf of others, on material nonpublic information or communicating material nonpublic information to others in violation of the law.

  • Marks10742 BRegistration of Firm/ Employee in this fieldNo. of years 5 years3-51-30-1 Max.

  • If a case should arise where it appears that the Firm or a Firm Employee has engaged in a transaction in contravention of this Policy, the Board of Directors or Compliance Officer may require such transactions to be unwound and/or may impose other sanctions, as deemed appropriate by the Firm.

  • The Compliance Officer or his/her designee will, at the end of each quarterly and/or annual period, provide each Firm Employee with the necessary reporting form and assure that any such form is completed and submitted to the Compliance Officer for review.

  • Neither the Firm nor any Firm Employee may acquire an interest in an offering of securities that are exempt from registration under the Securities Act of 1933 unless approval of such acquisition is requested and approved in writing by the Board of Directors or Compliance Officer in advance of the purchase.

Related to Firm Employee

  • Service employee, means any person engaged in the performance of this contract other than any person employed in a bona fide executive, administrative, or professional capacity, as these terms are defined in Part 541 of Title 29, Code of Federal Regulations, as revised. It includes all such persons regardless of any contractual relationship that may be alleged to exist between a Contractor or subcontractor and such persons.

  • Bona fide employee means a person, employed by a bidder and subject to the bidder's supervision and control as to time, place, and manner of performance, who neither exerts, nor proposes to exert improper influence to solicit or obtain contracts nor holds out as being able to obtain any contract(s) through improper influence.

  • Designated Employee means an employee who has been designated by the school to receive complaints of hazing, harassment and bullying pursuant to subdivision 16 V.S.A. 570a(a)(7). The designated employees for each school building are identified in Appendix A of this policy.

  • Public employee means an individual holding a position by appointment or employment in the government of this state, in the government of 1 or more of the political subdivisions of this state, in the public school service, in a public or special district, in the service of an authority, commission, or board, or in any other branch of the public service, subject to the following exceptions:

  • Qualifying Employee means any employee of Managing Agent or Parent or any of their respective subsidiaries who is and has been an employee of Managing Agent or Parent or any of their respective subsidiaries for at least thirty-six (36) months.

  • Contract employee means a probationary faculty employee or a grant- funded employee hired on a year-to-year basis in accordance with Education Code 87470.

  • Participating employee means an employee whose election to participate in a Plan has been approved by the employer.

  • Excluded Employee means an employee as defined in section 3527, subd. (b) of the Government Code (Ralph C. Dills Act) except those excluded employees who are designated managerial pursuant to section 18801.1 of the Government Code.

  • Short-term employee A person who is employed to perform a service for the District, upon the completion of which the service required or similar services will not be extended or needed on a continuing basis. (Short-term employees include: hourly, casual and temporary classified employees.)

  • Current Employee has the meaning set forth in Section 7.8(a).

  • Retained Employee does not include any individual who has a direct or an indirect ownership interest of at least five percent (5%) in the profits, equity, capital, or value of the Taxpayer, or a child, grandchild, parent, or spouse, other than a spouse who is legally separated from the individual, of any individual who has direct or indirect ownership interest of at least five percent (5%) of the profits, equity, capital or value of the Company.

  • Newly hired employee or “New Hire” means any employee, whether permanent, full-time, or part-time, hired by the Office and who is still employed as of the date of new employee orientation. It also includes all employees who are or have been previously employed by the Office and whose current position has placed them in the bargaining unit represented by CSEA. For those latter employees, for purposes of this article only, the “date of hire” is the date upon which the employees’ employment status changed as such that the employee was placed in the CSEA unit.

  • U.S. Employee means a person who is an employee of the Company (or of any Subsidiary) for purposes of section 422 of the Code.

  • Former Employee means all individuals (including common law employees, independent contractors and individual consultants) who were employed or engaged by the Company in connection with the Business but who are no longer so employed or engaged on the date hereof.

  • Inactive Employee means an employee who is not actively at work due to approved leave of absence, short-term disability leave or military leave.

  • Hired Employee has the meaning set forth in Section 6.1.6.

  • Regular Part-Time Employee means an employee who is appointed to a regularly scheduled position but works less than full-time. A regular part-time employee is entitled to all benefits outlined in the agreement on a pro rata basis, except where otherwise specified.

  • Active Employee means a contributing member of the TRS who is employed by a public school and is not entitled to coverage under a plan provided under Insurance Code Chapter 1551 (Texas Em- ployees Group Benefits Act) or 1601 (State University Employees Uniform Insurance Benefits Act).