Excessive Trader Sample Clauses

The Excessive Trader clause is designed to address situations where a party engages in trading activity that exceeds agreed-upon limits or is deemed unreasonable under the contract. Typically, this clause sets specific thresholds or criteria for what constitutes excessive trading, such as a maximum number of trades or a volume cap within a certain period. If these limits are breached, the clause may trigger consequences like suspension of trading privileges, additional fees, or even termination of the agreement. Its core function is to prevent disruptive or risky trading behavior, thereby protecting both parties from potential financial instability or operational issues caused by excessive trading.
Excessive Trader. Software application that monitors the number of trades (exchanges, redemptions) that meet fund family criteria for excessive trading and automatically prevents trades in excess of the fund family parameters. § $___ setup /fund group of 1-5 funds, $___ setup /fund group of over 5 funds § $___ /account per year
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Excessive Trader. Software application that monitors the number of trades (exchanges, redemptions) that meet fund family criteria for excessive trading and automatically prevents trades in excess of the fund family parameters. § $____ setup /fund group of 1-5 funds, $____ setup /fund group of over 5 funds § $____ /account per year
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Excessive Trader. Upon request of the Fund, the Transfer Agent will provide the Fund with periodic reports on trading activity in the Fund based on parameters provided to the Transfer Agent by the Fund, as amended from time to time. The services to be performed by the Transfer Agent for the Fund hereunder will be ministerial only and the Transfer Agent shall have no responsibility for monitoring or reviewing market-timing activities. In consideration of the performance of the duties by the Transfer Agent pursuant to this Section, the Fund agrees to pay the Transfer Agent the fee set forth on Schedule 3.1 attached hereto and the reasonable Reimbursable Expenses (as defined in Section 3.2 below) that may be associated with these additional duties;
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Excessive Trader. The Transfer Agent will monitor the Fund’s fully disclosed accounts using the Excessive Trader application. The Transfer Agent shall notify the Fund when an account has reached three (3) changes in direction within a thirty (30) day trading window at dollar thresholds greater than or equal to ten thousand dollars ($10,000.00), provide an Excessive Trader Exception Report and the trading history of the potential offending account, and send correspondence to Shareholders or broker-dealers. Upon the Fund’s request, the Transfer Agent shall place purchase restrictions on accounts, provide a monthly summary of all actively restricted accounts, and remove purchase restrictions when the time limits expire. In consideration of the performance of the duties by the Transfer Agent pursuant to this Section, the Fund agrees to pay the Transfer Agent the fee set forth on Schedule 3.1 attached hereto and the reasonable reimbursable expenses that may be associated with these additional duties.”
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Excessive Trader. Software application that monitors the number of trades (exchanges, redemptions) that meet fund family criteria for excessive trading and automatically prevents trades in excess of the fund family parameters. § $500 setup /fund group of 1-5 funds, 6-15 funds $1,000 16 or more funds $1,500. § Monthly fee per account: Accounts w/o stops placed - $0.005 Accounts w/stops placed - $0.01 § Account Management − $200 /month (account management, lead reporting and database administration) § Inbound Teleservicing Only − Account Management - $250 /month − Call Servicing - $1.25 /minute § Lead Conversion Reporting (Closed Loop) − Account Management - $500 /month − Database Installation, Setup - $1,500 /fund group § Out-of-Pocket Expenses − Included but not limited to specialized programming, kit and order processing expenses, postage, and printing.
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Related to Excessive Trader

  • Firearms The Resident agrees to comply with University policy which states that firearms are not allowed on University property, and acknowledges that California Penal Code section 626.9 prohibits the possession of firearms on University of California property.

  • Containers An extra charge will be made for returnable containers and special shipping devices (such as oil barrels, reels, tarpaulins, commutator clamps, etc.) where they are consigned to the Purchaser, but refund will be made if returned in good condition to the factory, or other points designated by EXION, within ninety (90) days from the date of original shipment, charges prepaid.

  • Preservative-treated Wood Containing Arsenic Grantee may not purchase preservative-treated wood products containing arsenic in the performance of this Agreement unless an exemption from the requirements of Chapter 13 of the San Francisco Environment Code is obtained from the Department of the Environment under Section 1304 of the Code. The term “preservative-treated wood containing arsenic” shall mean wood treated with a preservative that contains arsenic, elemental arsenic, or an arsenic copper combination, including, but not limited to, chromated copper arsenate preservative, ammoniacal copper zinc arsenate preservative, or ammoniacal copper arsenate preservative. Grantee may purchase preservative-treated wood products on the list of environmentally preferable alternatives prepared and adopted by the Department of the Environment. This provision does not preclude Grantee from purchasing preservative-treated wood containing arsenic for saltwater immersion. The term “saltwater immersion” shall mean a pressure-treated wood that is used for construction purposes or facilities that are partially or totally immersed in saltwater.

  • Anti-Piracy In order to prevent theft, piracy, unauthorized retransmissions, redistribution or exhibition, copying or duplication of any Channel, in whole or in part, (hereinafter collectively referred to as “Piracy”), the IPTV Operator shall, prior to the commencement of the Term of the agreement and at all times during such Term, employ, maintain, and enforce fully effective conditional access system delivery and content protection and security systems, and related physical security and operational procedures (hereinafter collectively referred to as the “Security Systems”) as may be specified (security specifications), in a non-discriminatory manner in writing, from time to time, by ZEEL. The IPTV Operator shall comply with the Anti-Piracy Requirements set out in Clause VI and VII in ANNEXURE XII and also provide full and complete information for conducting Technical Audit by the auditors, empaneled by the Authority for conducting such audit, by furnishing details outlined in Clause I, II, III, IV and V of ANNEXURE XII attached herewith. The IPTV Operator shall deploy finger printing mechanisms to detect any piracy, violation of copyright and unauthorized viewing of the Channels, distributed / transmitted through its Platform at least every 10 minutes on 24 x 7 x 365(6) basis. The IPTV Operator shall not authorize, cause or suffer any portion of any of the Zee Group Channels to be recorded, duplicated, cablecast, exhibited or otherwise used for any purpose other than for distribution by the IPTV Operator at the time these Channels are made available. If the IPTV Operator becomes aware that any unauthorized third party is recording, duplicating, cablecasting, exhibiting or otherwise using any or all of the Zee Group Channels for any other purpose, the IPTV Operator shall within ten minutes of so becoming aware of such recording, duplicating, cablecasting, exhibiting or otherwise using any or all of the Zee Group Channels for any other purpose, notify ZEEL and the IPTV Operator shall also switch off the concerned Set Top Box to prevent such unauthorized use. However, use of a Set Top Box with Personal Video Recorder/ Digital Video Recorder facility which has been supplied by the IPTV Operator shall not be treated as unauthorized use, as long as such Set Top Box is used in accordance with the terms and conditions of the subscription agreement between the IPTV Operator and the subscriber. The IPTV Operator shall comply with the specifications for Set Top Box, Conditional Access System and Subscriber Management System as set out in ANNEXURE X attached herewith. If so instructed by Information (as defined below) by ZEEL, the IPTV Operator shall shut off or de-authorize the transmission to any unauthorized subscriber/ subscriber indulging in piracy, within ten minutes from the time it receives such instruction from ZEEL. Any communication under this Clause shall be considered as valid Information only if (i) the information is sent through e-mail in a format as mutually agreed by the parties and (ii) the information is sent by a person(s) who is designated to send such information. However, the “information” may even be provided by ZEEL representatives through other means of communications such as telephonic message, fax etc. and the said “information” shall later be confirmed by ZEEL through e-mail and the IPTV Operator shall be under obligation to act upon such information.

  • Explosives Explosives or other highly flammable substances shall not be stored or used on Railroad's property without the prior written approval of Railroad.