Portfolio Holdings Information definition

Portfolio Holdings Information is defined as information which, at any point in time, identifies, or may be used to identify (i) any security or other financial instrument owned in any of the client accounts at GEAM (each an “Account”) (ii) the value of any security or other financial instrument owned in an Account, (iii) information concerning the purchase and sale of securities or other financial instruments in an Account; and (iv) characteristics of securities or other financial instruments owned in an Account (such as sector, country, regional, quality and duration breakdowns, depending on the type of account). Portfolio Holdings Information does not include information that is as of a date at least 30 calendar days old.
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Examples of Portfolio Holdings Information in a sentence

  • Disclosure of Non-Public Portfolio Holdings Information If you have access to non-public portfolio holdings information of a Fund, you must treat such information in accordance with the Funds’ Portfolio Holdings Disclosure Policies and Procedures, which are attached to this Code of Ethics as Appendix V.

  • Annual meetings between these entities should be promoted to ensure effective coordination and cooperation.

  • In addition, certain service providers and agents to the Trust and the Funds may have access to Portfolio Holdings Information prior to its public dissemination by the Trust.

  • II-37 Portfolio Holdings Information ................................................................................................................

  • Disclosure of Non-Public Portfolio Holdings Information If you have access to non-public portfolio holdings information of a Fund, you must treat such information in accordance with the Trust’s Portfolio Holdings Disclosure Policies and Procedures, which are attached to this Code of Ethics as Appendix V.

  • As a result of their provision of services to the Funds, employees of these investment advisers may have access to Portfolio Holdings Information (as defined herein) of one or more Funds prior to the time such information is publicly disseminated.Each investment adviser has adopted a code of ethics pursuant to Rule 17j-1 of the Investment Company Act designed to prohibit fraudulent or deceitful conduct.

  • Furthermore, except as required by law (including, but not limited to semi-annual, annual or other filings made under the 1940 Act), or as agreed to by VALIC and the SUB-ADVISER, VALIC AND VCII will not disclose any list of securities held by the Covered Funds, in any manner whatsoever except as expressly permitted in VC II's Policies and Procedures for the Protection of Non-Public Portfolio Holdings Information (the 'Policy').

  • Information contained in a filing on Form N-Q not made in accordance with the requirements of Rule 30b1-5 is still considered Portfolio Holdings Information for purposes of this Policy.

  • Portfolio Holdings Information A description of the Fund’s policies and procedures with respect to the disclosure of its portfolio securities is available in the SAI.

  • Permitted Disclosure of a Fund's Portfolio Holdings Information With respect to each Fund or group of Funds described on Table A hereto, PIMCO and its Employees shall be permitted to disclose information about each Fund's specific portfolio holdings after the dates described on Table A.

Related to Portfolio Holdings Information

  • Portfolio Information means confidential and proprietary information of the Fund, the Adviser or the Sub-Adviser that is received by a party hereto in connection with this Agreement, and information with regard to the portfolio holdings, investment activity and characteristics of the Fund.

  • Member Information means the share, deposit, loan account balances, or other information related to any member of a domestic credit union maintained in any form.

  • Servicer Information As defined in Section 12.07(a).

  • Company Financial Information As defined in Section 2(a)(ii).

  • Staffing Information in relation to all persons identified on the Supplier's Provisional Supplier Personnel List or Supplier's Final Supplier Personnel List, as the case may be, such information as the Department may reasonably request (subject to all applicable provisions of the DPA), but including in an anonymised format: (a) their ages, dates of commencement of employment or engagement, gender and place of work; (b) details of whether they are employed, self employed contractors or consultants, agency workers or otherwise; (c) the identity of the employer or relevant contracting Party; (d) their relevant contractual notice periods and any other terms relating to termination of employment, including redundancy procedures, and redundancy payments; (e) their wages, salaries, bonuses and profit sharing arrangements as applicable; (f) details of other employment-related benefits, including (without limitation) medical insurance, life assurance, pension or other retirement benefit schemes, share option schemes and company car schedules applicable to them; (g) any outstanding or potential contractual, statutory or other liabilities in respect of such individuals (including in respect of personal injury claims); (h) details of any such individuals on long term sickness absence, parental leave, maternity leave or other authorised long term absence; (i) copies of all relevant documents and materials relating to such information, including copies of relevant Agreements of employment (or relevant standard Agreements if applied generally in respect of such employees); and (j) any other “employee liability information” as such term is defined in regulation 11 of the Employment Regulations;

  • Exempt Information means any information or class of information (including but not limited to any document, report, Agreement or other material containing information) relating to this Agreement or otherwise relating to the Provider, which potentially falls within an exemption to FOIA (as set out therein);

  • Information Assets means any information, including Confidential Information, necessary to the operation of either party that is created, stored, transmitted, processed, or managed on any hardware, software, network components, or any printed form, or is communicated orally. “Information Assets” does not include information that has been transferred from the Disclosing Party to the Receiving Party under applicable laws, regulations, and agency guidance, and that is being maintained and used by the Receiving Party solely for purposes that are not Contractor Covered California Functions.

  • Business Information means all information in whatever form held, including (without limitation) all: (i) formulas, designs, specifications, drawings, know-how, manuals and instructions; (ii) customer lists, sales, marketing and promotional information; (iii) business plans and forecasts; (iv) technical or other expertise; and (v) all accounting and Tax records, correspondence, orders and inquiries;

  • Pool Information means the mortgage pool information reflected in the Master Tapes and the Prospectus Supplement. “Master Tapes” shall mean the respective compilations of information and data regarding the Mortgage Loans covered by the Independent Accountants’ Reports on Applying Agreed-Upon Procedures dated the date of the Preliminary FWP and the date hereof, respectively, rendered by a third party accounting firm described in Section 6(h)(ii) of this Agreement.

  • Transaction Personal Information has the meaning ascribed thereto in Section 9.1;

  • Static Pool Information Static pool information as described in Item 1105(a)(1)-(3) and 1105(c) of Regulation AB.

  • mixed financial holding company means a mixed financial holding company as defined in point (21) of Article 4(1) of Regulation (EU) No 575/2013;

  • Permitted Business Investment means any Investment made in the ordinary course of, and of a nature that is or shall have become customary in, the Oil and Gas Business including investments or expenditures for actively exploiting, exploring for, acquiring, developing, producing, processing, gathering, marketing or transporting oil, natural gas or other Hydrocarbons and minerals through agreements, transactions, interests or arrangements which permit one to share risks or costs, comply with regulatory requirements regarding local ownership or satisfy other objectives customarily achieved through the conduct of the Oil and Gas Business jointly with third parties including:

  • Seller Information As defined in Subsection 34.04(a).

  • Financing Information means (i) audited consolidated balance sheets and related statements of income, comprehensive income and cash flows of the Company and its Subsidiaries for the three most recently completed fiscal years ended at least 60 days prior to the Closing Date; (ii) unaudited interim consolidated balance sheets and related statements of income, comprehensive income and cash flows of the Company and its Subsidiaries for the fiscal quarter ended at least 60 days prior to the Closing Date (but excluding the fourth quarter of any fiscal year); and (iii) all other information regarding the Company and its Subsidiaries required by Regulation S-X and Regulation S-K under the Securities Act for an offering of securities of Parent on a registration statement filed with the SEC, in each case, of the type that would permit the Company’s independent auditors to deliver customary “comfort” (including customary “negative assurance” comfort) in connection with such offering which such auditors are prepared to provide upon completion of customary procedures.

  • Dealer Information means material concerning the Dealer provided by the Dealer in writing expressly for inclusion in the Private Placement Memorandum.

  • Underwriter Information means, with respect to any document, statements in or omissions from such document based upon information furnished to the Company in writing by or on behalf of any Underwriter through the Representatives specifically for use in such document. The Company acknowledges that the statements identified in the Pricing Agreement as “Underwriter Information” constitute the only information furnished in writing by or on behalf of the Underwriters for inclusion in any Preliminary Prospectus or the Prospectus.

  • Program Information is defined in Section 13.8(a)(i).

  • Portfolio Company means the issuer or obligor under any Portfolio Investment held by any Obligor.