Reporting and Monitoring. A. The Compliance Officer shall monitor the personal trading activity of all Access Persons pursuant to the procedures established under this Code. The forms (Form A-E) attached hereto are designed to achieve this purpose. B. Each Access Person, except the Independent Trustees*, shall submit to the Compliance Officer:
Appears in 4 contracts
Sources: Code of Ethics (Saratoga Advantage Trust), Code of Ethics (Orbitex Group of Funds), Code of Ethics (North Country Funds)
Reporting and Monitoring. A. The Compliance Officer shall monitor the personal trading activity of all Access Persons pursuant to the procedures established under this Code. The forms (Form A-E) attached hereto are designed to achieve this purpose.
B. Each Access Person, except the Independent Trustees*, shall submit to the Compliance Officer:: ----------- * Independent Trustees may be required to file a Quarterly Transaction Report - see Section VII C. below.
Appears in 1 contract
Reporting and Monitoring. A. The Compliance Officer shall monitor the personal trading activity of all Access Persons pursuant to the procedures established under this Code. The forms (Form A-E) attached hereto are designed to achieve this purpose.
B. Each Access Person, except the Independent TrusteesManagers*, shall submit to the Compliance Officer:
Appears in 1 contract
Sources: Code of Ethics (Aetos Distressed Investment Strategies Fund LLC)