JABIL CIRCUIT, INC. INSIDER TRADING POLICY and Guidelines …or her broker provides the Compliance Officer or his designee with detailed information (trade. date, number of shares, exact price) regarding every transaction involving the Company’s. securities, including gifts, transfers, pledges and all Rule 10b5-1 transactions, …Read more
Data Retention Compliancesupervisory system to assure compliance with NASD and NYSE rules and the federal securities and Security Compliance (Auerbach) in 2003, The Business Executive Practical Guides to …Read more
BHEL CODE OF CONDUCT FOR PREVENTION OF INSIDER TRADINGand control of the Compliance Officer and changes taking place in the 5.4 The Compliance Officer shall assist all the employees in addressing any. clarifications regarding the Securities and Exchange …Read more
1 of 3 (Rev. November 14, 2003) BUSINESS CONDUCT POLICIESThis Policy prohibits trading in Alcoa securities by officers, director and certain and Chief Compliance Officer. All Financial Professionals are prohibited from directly or indirectly taking any action to coerce, …Read more
Compliance Reporting and “Whistleblower” ProtectionsCompliance Officer, who are charged by the Board of Trustees with reviewing Compliance Officer, or to a member of the Compliance Committee. …Read more
BEFORE THE DIVISION OF SECURITIESRespondent Stout, by his own admission, was the compliance officer for As the compliance officer, Respondent Stout was held to a higher. standard to comply with the Act – yet he did not act in a responsible manner. Based on the information in the Record, the Securities Commissioner finds …Read more
CODE OF ETHICSII. REPORTING OF PERSONAL SECURITIES. All supervised persons must report quarterly to the designated Compliance Officer or his/her Designee, any securities. transactions (as defined above) in which such supervised person has, or by reason of such transaction acquires, any direct …Read more
Trimeris Code of EthicsMichael Alrutz, Trimeris Legal Counsel, has been designated as the Trimeris Compliance Insider Trading Policy, all Trimeris employees, officers and directors. are prohibited …Read more
CODE OF ETHICSinformation may constitute a violation of federal securities laws. or Richard A. Bennett, Chief Executive Officer and Chief Compliance Officer. …Read more
NASD WATCH LIST INCLUDES 529s, RESEARCH, IPOsThe Securities Industry Association has written to the Securities and Exchange counsel, chief financial officer or treas- urer, have oversight of some areas of compliance, the SIA stated …Read more
