Security Fiduciary definition

Security Fiduciary means any broker, bank, trust company, investment adviser, investment manager, counterparty or other similar entity.
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Examples of Security Fiduciary in a sentence

  • A “Personal Account” means an account or any retirement, savings, investments, deferred compensation or other benefit or compensation plan for the purchase, sale or ownership of Securities, with a Security Fiduciary, of which an Access Person or a Family Member has Beneficial Ownership.

  • Each Access Person must, by letter (see Appendix C), direct each Security Fiduciary with which the Access Person or any Family Member of the Access Person maintains a Personal Account to promptly send to Metropolitan Life Insurance Company, Attention: Ethics Officer, P.O. Box No. 1941, Morristown, NJ 07962-1941, the following documents, either by mail or, if available, by direct electronic feed: • Duplicate Confirmations.

  • A “Personal Account” means an account or any retirement, savings, investments, deferred compensation or other benefit or compensation plan for the purchase, sale or ownership of Securities, with a Security Fiduciary otherwise, of which an Associate or a Family Member has Beneficial Ownership.

  • The Access Person must require each Security Fiduciary to (a) prepare an account statement as of December 31st of each year (or monthly, if available electronically from the Security Fiduciary), and (b) deliver each such account statement to the above address no later than 30 days after each such year-end (or month-end).

  • The List must attach the annual statement from each applicable Security Fiduciary, for each Personal Account of which the Access Person or a Family Member of the Access Person has Beneficial Ownership.

  • The report must attach the annual statement from each applicable Security Fiduciary, for each Personal Account of which the Access Person or a Family Member of the Access Person has Beneficial Ownership.

  • If the Initial Securities Holdings Report is not entered through the STAR System, an Access Person may send a hard copy of the Initial Securities Holdings Report to the Compliance Director and should attach an account statement from each applicable Security Fiduciary, for each Personal Account of which the Access Person or a Family Member of the Access Person has Beneficial Ownership.

  • Requests for preclearance must include the information required in PTA, including but not limited to, name of Security issuer, description of Security (e.g., common stock), nature of transaction (e.g., buy, sell), name of Security Fiduciary who will effect the purchase or sale, account number, number of shares, and order type (e.g., market or limit).

  • Personal Account Account or any retirement, savings, investments, deferred compensation or other benefit or compensation plan for the purchase, sale, or ownership of Securities, with a Security Fiduciary, of which an Access Person or a Family Member has Beneficial Ownership.

  • A Personal Account becomes a Discretionary Account when such person has given the Security Fiduciary as to such Account, written authority to make investment decisions and purchase and sell Securities for such account.

Related to Security Fiduciary

  • Plan Fiduciary As defined in Section 5.3(o).

  • Named Fiduciary means the Fiduciary or Fiduciaries named herein or in the Adoption Agreement who jointly or severally have the authority to control and manage the operation and administration of the Plan.

  • Claims Administrator means the firm proposed by Class Counsel and appointed by the Courts to administer the Settlement Amount in accordance with the provisions of this Settlement Agreement and the Distribution Protocol, and any employees of such firm.

  • Independent Fiduciary means an independent fiduciary who will serve as a fiduciary to the Plan in accordance with Article 3 that has no relationship or interest in any of the Settling Parties and is mutually agreed to by the Settling Parties.

  • Security Plan means the Contractor’s security plan prepared pursuant to paragraph 3 of Schedule (Security Requirements & Plan)

  • Information Security Program means the administrative, technical, and physical safeguards that a licensee uses to access, collect, distribute, process, protect, store, use, transmit, dispose of, or otherwise handle nonpublic information.

  • Plan Administrator means the plan administrator described in Article 8.

  • Claims Administration means the processing of claims made under the Shared Policies, including the reporting of claims to the insurance carriers, management and defense of claims and providing for appropriate releases upon settlement of claims.

  • National Repository means any Nationally Recognized Municipal Securities Information Repository for purposes of the Rule.

  • Administrative Committee means the committee in charge of Plan administration, as described in Article VII.

  • Non-bank fiduciary or agent means a fiduciary or agent other than (a) a bank, as defined in Section 3(a)(2) of the Securities Act, or (b) a savings and loan association, as defined in Section 3(a)(5)(A) of the Securities Act.

  • Program Administrator means the person retained by the Wisconsin PACE Commission as provided in subsection (5)(b).

  • Administrative Safeguards are administrative actions, and policies and procedures, to manage the selection, development, implementation, and maintenance of security measures to protect electronic PHI and to manage the conduct of Contractor’s workforce in relation to the protection of that information.

  • Enhancement Provider means, with respect to any Series, the Person, if any, designated as such in the related Supplement.

  • Delegates means those persons elected or appointed to vote in a representative assembly for the election of a director or directors or on other matters.

  • Security Clearance means that level of security clearance required by the City or its police department for Contractor personnel accessing the information or premises required to be accessed in order to perform the Work under this Contract;

  • Responsibility means a duty for which a person is accountable by virtue of licensure.

  • Security Policy means the Authority’s Security Policy annexed to Schedule (Security Requirements and Plan) as updated from time to time.