Trade Processing Clause Samples

Trade Processing. FundQuest and Envestnet will agree to a Portfolio Administration Policy which will provide Envestnet with the necessary guidance when processing trades on FQ Program accounts. (i) FundQuest Managed Model Programs and UMA Programs.
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Trade Processing. The Fund will send to both HNB and Unified Fund Services a listing of all Portfolio Managers, both internal and external, authorized by the Fund to execute trades on its behalf. This list will be updated for the termination of a Manager, or for the addition of a Manager prior to the effective date of the addition. In addition, the Fund will send to HNB and Unified Fund Services a list of all persons approved by the Fund to authorize the purchase or sale of investments. This list will be updated when there is any change in authorization. Trade Execution Trade Date ---------- Fund Portfolio Managers write up a trade ticket and give to their brokers who, in turn, execute the trade. Trade Date + 1 -------------- Fund Portfolio Managers affirm trades confirmed by their chosen brokers through the DTC ID System. Unified Fund Services downloads affirmed trades automatically into their accounting system by specific fund. Portfolio Managers, who do not affirm trades, will forward copies of trade tickets to the Fund and/or Unified Fund Services who will manually verify trades against DTC Confirmations entered by the brokers. Upon trade verification the Fund and/or Unified Fund Services will instruct HNB to affirm the DTC ID Confirm using electronic file from advisors, designated by Fund. In this latter case, if a trade discrepancy is found, the Fund and/or Unified Fund Services will contact the trader to get a corrected trade ticket or await a cancel and rebill. A report from the Fund and/or Unified Fund Services accounting system is compared to the DTC affirmed trades listing or the trade tickets by 9:00 a.m. to ensure no importing or data entry errors have occurred. An authorized person for the Fund will send HNB a listing of all approved transactions via e-mail. The e-mail will contain the following language: "The attached listing contains transactions authorized by the `Fund'." Any necessary files will be attached. HNB will provide an electronic receipt of the transmission. HNB will also provide a method of storing these communications for not less than seven years. Trade Communication: HNB and Fund will adhere to NYSE Rule 387, which states in part that "That client or its agent shall utilize the facilities of securities depository for confirmation, acknowledgment, and book entry settlement of all depository eligible transactions." >> All eligible trades that are affirmed by the industry deadlines will automatically load into the Custodial Bank's system and sett...
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Trade Processing a. Transmission of Orders and Plan Orders. Schwab will transmit Orders to Fund Company via NSCC in a Fund/SERV file format and will transmit Plan Orders to Fund Company via NSCC in a DCC&S file format, except as stated below. Schwab agrees that:
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Trade Processing 
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Related to Trade Processing

  • Sub-Processing 10.1 In respect of any Processing of Personal Data performed by a third party on behalf of a Party, that Party shall: (a) carry out adequate due diligence on such third party to ensure that it is capable of providing the level of protection for the Personal Data as is required by the contract, and provide evidence of such due diligence to the other Party where reasonably requested; and (b) ensure that a suitable agreement is in place with the third party as required under applicable Data Protection Legislation.

  • Subprocessing The data importer shall not subcontract any of its processing operations performed on behalf of the data exporter under the Clauses without the prior written consent of the data exporter. Where the data importer subcontracts its obligations under the Clauses, with the consent of the data exporter, it shall do so only by way of a written agreement with the subprocessor which imposes the same obligations on the subprocessor as are imposed on the data importer under the Clauses. Where the subprocessor fails to fulfil its data protection obligations under such written agreement the data importer shall remain fully liable to the data exporter for the performance of the subprocessor's obligations under such agreement.

  • Data Collection, Processing and Usage Personal data collected, processed and used by the Company in connection with Awards granted under the Plan includes the Grantee’s name, home address, email address, telephone number, date of birth, social insurance number or other identification number, salary, citizenship, job title, any shares of Common Stock or directorships held in the Company, and details of all Awards granted, cancelled, exercised, vested, or outstanding. In granting Awards under the Plan, the Company will collect the Grantee’s personal data for purposes of allocating shares of Common Stock in settlement of the Awards and implementing, administering and managing the Plan. The Company collects, processes and uses the Grantee’s personal data in compliance with Company’s Employment Data Protection Standards and the Uses of Employment Data for the Company’s Entities. The Grantee may exercise rights to access, correction, or restriction or deletion where applicable, by contacting the Grantee’s local HR manager or initiating a request through ▇▇▇.▇▇▇▇.gehealthcare.com.

  • Transaction Processing All orders are subject to acceptance by us and by the Fund or its transfer agent, and become effective only upon confirmation by us. If required by law, each transaction shall be confirmed in writing on a fully disclosed basis and if confirmed by us, a copy of each confirmation shall be sent to you if you so request. All sales are made subject to receipt of shares by us from the Funds. We reserve the right in our discretion, without notice, to suspend the sale of shares of the Funds or withdraw the offering of shares of the Funds entirely. Orders will be effected at the price(s) next computed on the day they are received if, as set forth in the applicable Fund’s current Prospectus, the orders are received by us or an agent appointed by us or the Fund prior to the close of trading on the New York Stock Exchange, generally 4:00 p.m. eastern time (“Close of Trading”). Orders received after that time will be effected at the price(s) computed on the next business day. All orders must be accompanied by payment in U.S. Dollars. Orders payable by check must be drawn payable in U.S. Dollars on a U.S. bank, for the full amount of the investment. If you have entered into a FundSERV Agreement with us to effect transactions in Fund shares through FundSERV, you are hereby authorized to act on our behalf for the limited purpose of receiving purchase, exchange and redemption orders for Fund shares executed through FundSERV. You represent and warrant that all orders for the purchase, exchange or redemption of Fund shares transmitted to FundSERV for processing on or as of a given business day (Day 1) shall have been received by you prior to the Close of Trading on Day 1. Such orders shall receive the share price next calculated following the Close of Trading on Day 1 .You represent and warrant that orders received by you after the Close of Trading on Day 1 shall be treated by you and transmitted to FundSERV as if received on the next business day (Day 2). Such orders shall receive the share price next calculated following the Close of Trading on Day 2. You represent that you have systems in place reasonably designed to prevent orders received after the Close of Trading on Day 1 from being executed with orders received before the Close of Trading on Day 1.

  • Grievance Processing Union stewards or Union officials shall be permitted to have time off without loss of pay for the investigation and processing of grievances and arbitrations. Requests for such time off shall be made in advance and shall not be unreasonably denied. The Union will furnish the Employer with a list of Union stewards and their jurisdictions. The Union shall delineate the jurisdiction of Union stewards so that no ▇▇▇▇▇▇▇ need travel between work locations or sub-divisions thereof while investigating grievances. Grievants shall be permitted to have time off without loss of pay for processing their grievances through the contractual grievance procedure, except that for class action grievances no more than three (3) grievants shall be granted such leave.