Fund Personnel definition

Fund Personnel means an Access Person and/or Advisory Person.
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Examples of Fund Personnel in a sentence

  • All Fund Personnel shall pre-clear their personal securities transactions in securities requiring prior approval before executing an order.

  • The Compliance Officer shall identify all Fund Personnel and Non-Access Fund Personnel who have a duty to make the reports required hereunder, shall inform each such person of such duty, and shall receive and review all reports required hereunder.

  • At least annually, all Fund Personnel and Non-Access Fund Personnel will be required to certify that they (a) have read and understand the Code; (b) recognize that they are subject to the requirements outlined therein; (c) have complied with the requirements of the Code; (d) have disclosed and reported all personal securities transactions involving reportable securities required to be disclosed; and (e) have disclosed all personal securities holdings.

  • The Chief Compliance Officer shall identify all Access Persons and Non-Access Fund Personnel, who have a duty to make the reports required hereunder (as applicable), shall inform each such person of such duty, and shall receive and review all reports required hereunder.

  • This Code, a list of all persons required to make reports hereunder from time to time, a copy of each report made by Access Persons and Non-Access Fund Personnel (as applicable), each memorandum made by the Chief Compliance Officer hereunder, and a record of any violation hereof and any action taken as a result of such violation shall be maintained by the Investment Adviser or Fund as required under the Rule.

  • At least annually, all Access Persons and Non-Access Fund Personnel will be required to certify that they (a) have read and understand the Code; (b) recognize that they are subject to the requirements outlined therein; (c) have complied with the requirements of the Code; (d) have disclosed and reported all personal securities transactions involving reportable securities required to be disclosed; and (e) have disclosed all personal securities holdings.

  • Should Fund Personnel trade within the proscribed period, such trade should be canceled if possible.

  • Any profits realized on such short-term trades must be disgorged, and the profits will be paid to a charity selected by the Fund Personnel and approved by the officers of the Fund.

  • If it is not possible to cancel the trade, all profits from the trade must be disgorged, and the profits will be paid to a charity selected by the Fund Personnel and approved by the officers of the Fund.

  • Securities laws generally prohibit such Fund Personnel from trading in securities of that other issuer while in possession of such information or communicating such information to another person.

Related to Fund Personnel

  • Medical personnel means those persons assigned, by a Party to the conflict, exclusively to the medical purposes enumerated under subparagraph (e) or to the administration of medical units or to the operation or administration of medical transports. Such assignments may be either permanent or temporary. The term includes:

  • Contractor's Personnel means the personnel to be provided by the Contractor to provide services as per the contract.

  • Covered Personnel means any Person who is or was an employee, consultant or independent contractor of the Covered Parties, as of such date of the relevant act prohibited by this Section 2(a) or during the one (1) year period preceding such date.

  • Purchaser Personnel means the Purchasers’, and each Purchaser’s Affiliates’, officers, directors (or their equivalent), employees, agents, and contractors of any kind.

  • Senior Management Personnel means personnel of the company who are members of its core management team excluding Board of Directors. Normally, this would comprise all members of management one level below the executive directors, including all functional heads.

  • Investment Personnel means: (a) Portfolio Managers and other Advisory Persons who provide investment information and/or advice to the Portfolio Manager(s) and/or help execute the Portfolio Manager's(s') investment decisions, including securities analysts and traders; (b) any natural person in a control relationship to the Fund who obtains information concerning recommendations made to the Fund with regard to the purchase or sale of a security; and (c) certain other individuals as designated by the Compliance Officer.

  • Nominated sub Contractor means all specialists, merchants, tradesmen and others executing any special work or supplying any materials for which provisional or prime cost sums are included in the contract, who may have been or be nominated or selected or approved by the Employer / Employer’s Engineer and shall be deemed to be employed by the contractor.

  • Project Team means Owner, Contractor, A/E and consultants, any separate Contractors employed by Owner, and others employed for the purpose of programming, design, and construction of the Project. The members of the Project Team will be designated in writing by Owner and may be modified from time to time in writing by Owner.

  • Vendor Personnel means employees, agents, independent contractors, or any other staff or personnel acting on behalf of or at the direction of Vendor or any Vendor Contractor performing or providing Services or Deliverables under this Agreement.

  • Provider Personnel means all persons employed or engaged by the Provider together with the Provider’s servants, agents, consultants and Sub-Contractors (and all persons employed by any Sub-Contractor together with the Sub-Contractor’s servants, consultants, agents, Provider’s and Sub-Contractors) used in the performance of its obligations under this Agreement;

  • Company's Personnel means the personnel to be provided by OIL or OIL's Contractor (other than the Contractor executing the Contract). The Company representatives of OIL are also included in the Company's personnel.

  • Trained personnel means knowledgeable in the following through instruction and/or practice:

  • Supplier Personnel means Supplier’s employees, consultants, agents, independent contractors and Subcontractors.

  • Contractor Personnel means and refers to Contractor’s employees and employees of Contractor’s permitted subcontractors or permitted agents assigned by Contractor to perform Services under this Contract.

  • Supervised Persons for purposes of this Code means:

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

  • medical practitioner means a person who holds a valid registration from the Medical Council of any State or Medical Council of India or Council for Indian Medicine or for Homeopathy set up by the Government of India or a State Government and is thereby entitled to practice medicine within its jurisdiction; and is acting within its scope and jurisdiction of license. The registered practitioner should not be the insured or close Family members.

  • Management Team means Xxxxxx X. X’Xxxxxxx, Xxxxxxx X. Xxxxxx, Xx. and Xxxxx X. Xxxxxxxxxx.