Security Held or to be Acquired by a Client definition

Security Held or to be Acquired by a Client means: (i) any Covered Security which, within the most recent 15 days, (A) is or has been held by a Client or (B) is being or has been considered by DWSIPM for purchase by a Client; and (ii) any option to purchase or sell, and any security convertible into or exchangeable for, a Covered Security described in the foregoing clause (i).
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Security Held or to be Acquired by a Client means any Covered Security that within the most recent fifteen (15) days:
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Examples of Security Held or to be Acquired by a Client in a sentence

  • Security Held or to be Acquired by a Client" means (A) any Reportable Security which, within the most recent 15 days: (1) is or has been held by a Client; or (2) is being or has been considered by a Client or the Adviser for purchase by a Client; and (B) any option to purchase or sell, and any security convertible into or exchangeable for, a Reportable Security described above.

  • A "Limited Offering or Security Held or to be Acquired" by a Client means any Limited Offering or Security which, within the most recent 15 days, (i) is or has been held by a Client or (ii) is being or has been considered by Pilgrim Baxter for purchase for a Client.

  • This Code is designed to prevent certain practices by Access Persons in connection with the purchase or sale, directly or indirectly, by Access Persons of a Security Held or to be Acquired by a Client.

  • A "Limited Offering or Security Held or to be Acquired" by a Client means any Limited Offering or Security which, within the most recent 15 days, (i) is or has been held by a Client or (ii) is being or has been considered by PBVI for purchase for a Client.

  • Security Held or to be Acquired by a Client Any Covered Security (or Related Security) that within the most recent fifteen (15) days: • is or has been held by a Client, or • is being or has been considered by a NB Adviser for purchase by such Client.

  • Security Held or to be Acquired by a Client" means i) any Covered Security which, within the most recent 15 days: (A) is or has been held by a Client; or (B) is being or has been considered by a Client or the Adviser for purchase by a Client; and (ii) any option to purchase or sell, and any security convertible into or exchangeable for, a Covered Security described above.

Related to Security Held or to be Acquired by a Client

  • Security Held or to be Acquired by a Fund means (1) any Covered Security that within the most recent 15 days (a) is or has been held by one of the Funds or a mutual fund sub-advised by MCM; or (b) is being or has been considered by a Fund or MCM for purchase by the Fund or a mutual fund sub-advised by MCM; and (2) any option to purchase or sell, and any security convertible into or exchangeable for, such a Covered Security.

  • Security Held or to be Acquired means any Security or any equivalent Security which, within the most recent 15 days: (1) is or has been held by the Fund; or (2) is being considered by the Fund or its investment adviser for purchase by the Fund.

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

  • Nonpublic Personal Information means nonpublic personal financial information and nonpublic personal health information.

  • Statement of Additional Information means, respectively, the form of prospectus and statement of additional information with respect to the Fund filed by the Investment Company as part of the Registration Statement, or as they may be amended or supplemented from time to time.

  • Non-Public Personal Information about a Shareholder shall mean (i) personally identifiable financial information; (ii) any list, description, or other grouping of consumers that is derived from using any personally identifiable information that is not publicly available; and (iii) any other information that the Transfer Agent is prohibited from using or disclosing pursuant to Regulation S-P under Section 504 of the Gramm Xxxxx Xxxxxx Act.

  • Internal confidentiality agreement or statement means a confidentiality agreement or any other written statement that the contractor requires any of its employees or subcontractors to sign regarding nondisclosure of contractor information, except that it does not include confidentiality agreements arising out of civil litigation or confidentiality agreements that contractor employees or subcontractors sign at the behest of a Federal agency.