Policies and Procedures of the Fund Sample Clauses

Policies and Procedures of the Fund. Conduct a detailed review of the Fund’s Compliance Program pertaining to compliance by registered investment companies with the Federal Securities Laws, among other things: 1. Pricing of portfolio securities and Portfolio shares, with a focus on the following items within the pricing polices and procedures: (a) monitoring for circumstances that may necessitate the use of fair value prices; (b) establishing criteria for determining when market quotations are no longer reliable for a particular portfolio security; (c) providing a methodology or methodologies by which the Portfolios determine the current fair value of their portfolio securities; and (d) reviewing the appropriateness and accuracy of the methodology used in valuing securities, including making any necessary adjustments. 2. Processing of Portfolio shares, with a focus on the following items: (a) segregation of investor orders received before the Portfolios price their shares from those that were received after the Portfolios price their shares; and (b) methodology used by the Portfolios to protect themselves and their shareholders against late trading. 3. Identification of affiliated persons to ensure that any transactions with affiliated persons are executed in compliance with the 1940 Act. 4. Protection of nonpublic information, including: (a) prohibitions against trading portfolio securities on the basis of information acquired by analysts or portfolio managers employed by the Fund or the Portfolios’ investment adviser (“Adviser”) or the Portfolio’s investment subadviser (“Subadviser”) ; (b) disclosure to third parties of material information about the Portfolios’ holdings, trading strategies or pending transactions; and (c) purchase or sale of Portfolio shares by the personnel of the Fund or the Adviser or Subadviser based on material, nonpublic information about the Portfolios. 5. Compliance with Portfolio governance requirements, including the procedures to guard against: (a) an improperly constituted Board of Directors; (b) failure of the Board of Directors to properly consider matters entrusted to it; and (c) failure of the Board of Directors to request and consider information required by the 1940 Act from the Fund and other Service Providers. 6. The excessive short-term trading of mutual fund shares that may be harmful to the Portfolios, including a focus on the following areas: (a) consistency of policies and procedures with the Portfolios’ disclosed policies regarding market timing; ...
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Related to Policies and Procedures of the Fund

  • Policies and Procedures i) The policies and procedures of the designated employer apply to the employee while working at both sites. ii) Only the designated employer shall have exclusive authority over the employee in regard to discipline, reporting to the College of Nurses of Ontario and/or investigations of family/resident complaints. iii) The designated employer will ensure that the employee is covered by WSIB at all times, regardless of worksite, while in the employ of either home. iv) The designated employer will ensure that the employee is covered by liability insurance at all times, regardless of worksite, while in the employ of either home. v) The designated employer shall have exclusive authority over the employee’s personnel files and health records. These files will be maintained on the site of the designated employer.

  • Violence Policies and Procedures The Employer agrees to have in place explicit policies and procedures to deal with violence. The policy will address the prevention of violence, the management of violent situations, provision of legal counsel and support to employees who have faced violence. The policies and procedures shall be part of the employee's health and safety policy and written copies shall be provided to each employee. Prior to implementing any changes to these policies, the employer agrees to consult with the Association.

  • Compliance Policies and Procedures To assist the Fund in complying with Rule 38a-1 of the 1940 Act, BBH&Co. represents that it has adopted written policies and procedures reasonably designed to prevent violation of the federal securities laws in fulfilling its obligations under the Agreement and that it has in place a compliance program to monitor its compliance with those policies and procedures. BBH&Co will upon request provide the Fund with information about our compliance program as mutually agreed.

  • Company Policies and Procedures 7.1.1 The Company will ensure that Employees are able to readily access Company policies and procedures that apply to the Employees. 7.1.2 The Employees will observe and act in accordance with Company policies and procedures that apply to the Employees, as implemented and amended from time to time.

  • COMPLIANCE WITH POLICIES AND PROCEDURES During the period that Executive is employed with the Company hereunder, Executive shall adhere to the policies and standards of professionalism set forth in the Company’s Policies and Procedures as they may exist from time to time.