Sentences with phrase «of nonpublic information»

Encryption of Nonpublic Information A Covered Entity must encrypt all Nonpublic Information held or transmitted by the Covered Entity both in transit and at rest.

To the extent that encryption of Nonpublic Information is currently infeasible, the regulation permits the use of alternative controls for specified amounts of time.

Insider trading remains a rampant problem on Wall Street, with new research finding that the nation's largest financial institutions pocket hefty sums with the help of nonpublic information.

Not exact matches

For most of the stock market's history, buybacks were actually illegal — considered to be insider trading — the thought being that if you ran the company, you would have nonpublic information to know when to buy shares.

It bars staff from discussing «all nonpublic information I learn of or gain access to in the course of my official duties in the service of the United States Government on White House staff,» including «communications. . .

You also agree not to disclose or disseminate the Holdings Information to any third party and to treat the Holdings Information as nonpublic and proprietary, and you further acknowledge that the Holdings Information constitutes a valuable asset of FTI, the Funds and Fund shareholders.

«I see the memo as the CFTC cautioning its employees on the ethical issues that could be raised by their trading in cryptocurrencies, encouraging them to consider and seek advice from the CFTC ethics team before trading in cryptocurrencies, noting that employees may not transact in cryptocurrencies if they have nonpublic information about them from their work at the CFTC, and advising that those who participate in CFTC dealings related to cryptocurrencies may not trade in them for conflict of interest reasons.»

Illegal insider trading is, roughly, trading on material nonpublic information that is disclosed to you «in breach of a fiduciary duty or other relationship of trust and confidence.»

According to U.S. Securities and Exchange Commission (SEC), Stewart avoided a loss of $ 45,673 by selling all 3,928 shares of her ImClone Systems stock on December 27, 2001, after receiving material, nonpublic information from Peter Bacanovic, who was Stewart's broker at Merrill Lynch.

Illegal insider trading generally refers to insider buying or selling a security, in breach of a fiduciary duty or other relationship of trust and confidence, while in possession of material, nonpublic information about the security.

Concussion and Sports - Related Head Injury: Code 18 -2-25a (2013) requires the governing authority of each public and nonpublic elementary school, middle school, junior high school and high school, working through guidance approved by the department of health and communicated through the department of education, to do the following: (A) Adopt guidelines and other pertinent information and forms as approved by the department of health to inform and educate coaches, school administrators, youth athletes and their parents or guardians of the nature, risk and symptoms of concussion and head injury, including continuing to play after concussion or head injury; (B) Require annual completion by all coaches, whether the coach is employed or a volunteer, and by school athletic directors of a concussion recognition and head injury safety education course program approved by the department.

Concussion or Sports - Related Head Injury: Code 20 -2-324.1 (2013) requires each local board of education, administration of a nonpublic school and governing body of a charter school to adopt and implement a concussion management and return to play policy that includes the following components: 1) an information sheet to all youth athletes» parents or legal guardians informing them of the nature and risk of concussion and head injury, 2) requirement for removal from play and examination by a health care provider for those exhibiting symptoms of a concussion during a game, competition, tryout or practice and 3) for those youth that have sustained a concussion (as determined by a health care provider), the coach or other designated personnel shall not permit the youth athlete to return to play until they receive clearance from a health care provider for a full or graduated return to play.

Concussion and Sports - Related Head Injury: SB189 (2011) requires the governing authority of each public and nonpublic school to provide information to all coaches, officials, volunteers, youth athletes and their parents / guardians about the nature and risk of concussion and head injury, including continuing to play after a concussion or head injury.

Yes, Bharara put plenty of people in jail for trading on what's known as «material nonpublic information,» and some made perfectly reasonable targets.

The report, which was initially adopted by OCE in July, recommends further review of the allegation the congressman shared nonpublic information in the purchase of Innate stock.

New York University (NYU) associate professor of radiology Yudong Zhu and NYU graduate student Xing Yang, both Chinese citizens, were arrested on 19 May on federal bribery charges in connection with an alleged conspiracy to pass nonpublic information from research funded by the U.S. National Institutes of Health (NIH) to a Chinese company with ties to the Chinese government.

any additional information which the chief administrative officer of the nonpublic school believes will reflect the relative assessment of a school building or district.

Information about California public schools, private schools, nonpublic nonsectarian schools, school districts, and county offices of education.

Prohibit employees from engaging in financial transactions using nonpublic Government information, making unauthorized commitments, using public office for private gain, and engaging in nonofficial activities that conflict with the performance of duty.

Diamond Residential Mortgage Corporation shares nonpublic personal information: To companies involved in the loan process such as appraisers, title companies, credit reporting companies and insurance companies and mortgage investors and mortgage servicers who are a necessary part of the mortgage transaction and therefore we must provide some of your information to these companies in order to process and fund your loan.

We restrict access to your nonpublic personal information to our employees who need the information and to our contractors and agents in order to provide service to you in connection with the administering, servicing, and collection of your loan account.

When necessary, we may disclose nonpublic personal information about you to the following types of third parties:

The Fund's Chief Compliance Officer, or a Compliance Manager designated by the Chief Compliance Officer, may also grant exceptions to permit additional disclosure of Fund portfolio holdings information at differing times and with different lag times (the period from the date of the information to the date the information is made available), if any, in instances where the Fund has legitimate business purposes for doing so, it is in the best interests of shareholders, and the recipients are subject to a duty of confidentiality, including a duty not to trade on the nonpublic information and are required to execute an agreement to that effect.

Illegal insider trading refers generally to buying or selling a security, in breach of a fiduciary duty or other relationship of trust and confidence, while in possession of material, nonpublic information about the security.

On April 15, 2008, in response to a phone call from Kevin Tang of Tang Capital LP, we began a series of communications with Mr. Tang over several months during which we attempted to negotiate a confidentiality agreement with Mr. Tang and Tang Capital to permit discussions covering nonpublic information relating to Northstar and our operations.

Our service providers are held accountable for adhering to strict policies and procedures to prevent any misuse of your nonpublic personal information.

A few lawmakers proposed a bill that would prevent members and employees of Congress from trading securities based on nonpublic information they obtain.

Carbone was accused of soliciting information from Bachelor participants, cast, crew and other employees of the series and inducing them to breach contracts promising not to divulge nonpublic information.

The speed and fluidity of media like Twitter can also invite inadvertent disclosure of trade secrets or nonpublic information about a publicly traded company.

White - Collar Crime columnists Elkan Abramowitz and Jonathan S. Sack discuss recent charges brought against an Equifax employee, which raise interesting questions as to when nonpublic information within a public company should be deemed material for purposes of insider trading enforcement.

Insider trading is the trading of a public company's stock or other securities (such as bonds or stock options) by individuals with access to nonpublic information about the company.

The findings stated that by transmitting nonpublic personal information to his personal email address and to a third party, the broker placed the customers» information at risk and caused his firm to violate Regulation S - P of the Securities Exchange Act of 1934.

The article considers the practical consequences for investment professionals of the Stop Trading on Congressional Knowledge Act, which regulates the dissemination by government employees and political consultants of material nonpublic information about policy initiatives undertaken by the legislative and executive branches of government.

Monitoring of Authorized Users A Covered Entity must implement risk - based policies, procedures and controls to monitor the activity of Authorized Users and detect unauthorized access or use of, or tampering with, Nonpublic Information.

The regulation does not specify the form that the program must take, but requires that it be «designed to perform the following core cybersecurity functions:» (1) identify internal and external cyber risks by, at a minimum, identifying the Nonpublic Information stored on the Covered Entity's Information Systems, the sensitivity of such Nonpublic Information, and how and by whom such Nonpublic Information may be accessed; (2) use defensive infrastructure and the implementation of policies and procedures to protect the company's Information Systems and the Nonpublic Information stored on those Information Systems, from unauthorized access, use or other malicious acts; (3) detect Cybersecurity Events - which are defined broadly to include «any act or attempt, successful or unsuccessful, to gain unauthorized access to, disrupt or misuse an Information System or information stored on an Information System;» (4) respond to identified or detected Cybersecurity Events to mitigate any negative effects; (5) recover from Cybersecurity Events and restore normal operations and services; and (6) fulfill all regulatory reporting oInformation stored on the Covered Entity's Information Systems, the sensitivity of such Nonpublic Information, and how and by whom such Nonpublic Information may be accessed; (2) use defensive infrastructure and the implementation of policies and procedures to protect the company's Information Systems and the Nonpublic Information stored on those Information Systems, from unauthorized access, use or other malicious acts; (3) detect Cybersecurity Events - which are defined broadly to include «any act or attempt, successful or unsuccessful, to gain unauthorized access to, disrupt or misuse an Information System or information stored on an Information System;» (4) respond to identified or detected Cybersecurity Events to mitigate any negative effects; (5) recover from Cybersecurity Events and restore normal operations and services; and (6) fulfill all regulatory reporting oInformation Systems, the sensitivity of such Nonpublic Information, and how and by whom such Nonpublic Information may be accessed; (2) use defensive infrastructure and the implementation of policies and procedures to protect the company's Information Systems and the Nonpublic Information stored on those Information Systems, from unauthorized access, use or other malicious acts; (3) detect Cybersecurity Events - which are defined broadly to include «any act or attempt, successful or unsuccessful, to gain unauthorized access to, disrupt or misuse an Information System or information stored on an Information System;» (4) respond to identified or detected Cybersecurity Events to mitigate any negative effects; (5) recover from Cybersecurity Events and restore normal operations and services; and (6) fulfill all regulatory reporting oInformation, and how and by whom such Nonpublic Information may be accessed; (2) use defensive infrastructure and the implementation of policies and procedures to protect the company's Information Systems and the Nonpublic Information stored on those Information Systems, from unauthorized access, use or other malicious acts; (3) detect Cybersecurity Events - which are defined broadly to include «any act or attempt, successful or unsuccessful, to gain unauthorized access to, disrupt or misuse an Information System or information stored on an Information System;» (4) respond to identified or detected Cybersecurity Events to mitigate any negative effects; (5) recover from Cybersecurity Events and restore normal operations and services; and (6) fulfill all regulatory reporting oInformation may be accessed; (2) use defensive infrastructure and the implementation of policies and procedures to protect the company's Information Systems and the Nonpublic Information stored on those Information Systems, from unauthorized access, use or other malicious acts; (3) detect Cybersecurity Events - which are defined broadly to include «any act or attempt, successful or unsuccessful, to gain unauthorized access to, disrupt or misuse an Information System or information stored on an Information System;» (4) respond to identified or detected Cybersecurity Events to mitigate any negative effects; (5) recover from Cybersecurity Events and restore normal operations and services; and (6) fulfill all regulatory reporting oInformation Systems and the Nonpublic Information stored on those Information Systems, from unauthorized access, use or other malicious acts; (3) detect Cybersecurity Events - which are defined broadly to include «any act or attempt, successful or unsuccessful, to gain unauthorized access to, disrupt or misuse an Information System or information stored on an Information System;» (4) respond to identified or detected Cybersecurity Events to mitigate any negative effects; (5) recover from Cybersecurity Events and restore normal operations and services; and (6) fulfill all regulatory reporting oInformation stored on those Information Systems, from unauthorized access, use or other malicious acts; (3) detect Cybersecurity Events - which are defined broadly to include «any act or attempt, successful or unsuccessful, to gain unauthorized access to, disrupt or misuse an Information System or information stored on an Information System;» (4) respond to identified or detected Cybersecurity Events to mitigate any negative effects; (5) recover from Cybersecurity Events and restore normal operations and services; and (6) fulfill all regulatory reporting oInformation Systems, from unauthorized access, use or other malicious acts; (3) detect Cybersecurity Events - which are defined broadly to include «any act or attempt, successful or unsuccessful, to gain unauthorized access to, disrupt or misuse an Information System or information stored on an Information System;» (4) respond to identified or detected Cybersecurity Events to mitigate any negative effects; (5) recover from Cybersecurity Events and restore normal operations and services; and (6) fulfill all regulatory reporting oInformation System or information stored on an Information System;» (4) respond to identified or detected Cybersecurity Events to mitigate any negative effects; (5) recover from Cybersecurity Events and restore normal operations and services; and (6) fulfill all regulatory reporting oinformation stored on an Information System;» (4) respond to identified or detected Cybersecurity Events to mitigate any negative effects; (5) recover from Cybersecurity Events and restore normal operations and services; and (6) fulfill all regulatory reporting oInformation System;» (4) respond to identified or detected Cybersecurity Events to mitigate any negative effects; (5) recover from Cybersecurity Events and restore normal operations and services; and (6) fulfill all regulatory reporting obligations.

These policies and procedures must address (1) the identification and risk assessment of third parties with access to Information Systems or Nonpublic Information; (2) minimum cybersecurity practices required to be met by such third parties; (3) due diligence processes used to evaluate the adequacy of cybersecurity practices of such third parties; and (4) periodic assessment, at least annually, of such third - parties and the continued adequacy of their cybersecurity practices.

Access Privileges As part of its cybersecurity program, a Covered Entity must limit access privileges to Information Systems that contain Nonpublic Information.

Notification to the Superintendent A Covered Entity must notify the superintendent of any Cybersecurity Event that has a reasonable likelihood of materially affecting the normal operation of the Covered Entity or that affects Nonpublic Information.

Third - Party Information Security Policy A Covered Entity must have written policies and procedures designed to ensure the security of Information Systems and Nonpublic Information that are accessible to, or held by, third parties.

The Gramm - Leach - Bliley act includes chapter 15 section 6801 Protection of nonpublic personal information: (a) Privacy obligation policy It is the policy of the Congress that each financial...

The restriction on using nonpublic information is not intended to affect a judge's ability to act on information as necessary to protect the health or safety of the judge or a member of a judge's family, court personnel, or other judicial officers if consistent with other provisions of this Code.

L. 106 - 102, which included provisions, section 501 et seq., that limit the ability of financial institutions to disclose «nonpublic personal information» about consumers to non-affiliated third parties and require financial institutions to provide customers with their privacy policies and practices with respect to nonpublic Start Printed Page 82484personal information.

The types of nonpublic personal information we collect and share depend on the product or service you have with us.

Insurance companies must collect a certain amount of nonpublic personal information to serve customers and administer business.

ARCH values your trust and is committed to the responsible management, use and protection of your nonpublic personal information.

Does ARCH maintain confidentiality of nonpublic personal information after a policy expires?

Sources from which we may collect nonpublic information about you include: information we receive from you on applications or other forms in writing, via facsimile transmission, by telephone, by electronic means including e-mail and our website, or by other means of communication; information resulting from your transactions with us, our affiliates or others; information resulting from entitled services that you have received from us, our affiliates or others; information obtained from governmental sources, such as your driving record and claims history (insurance clients); and information obtained from non-governmental sources, such as demographic data used for marketing purposes.

7.3 If OnePlus is informed that the security of the data it has acquired and stored is compromised or the user's nonpublic information is disclosed to an unrelated third party due to external acts (such as hacker attack), OnePlus will take reasonable actions (including but not limited to internal investigations, reporting and notification to law enforcement agencies, and cooperation with the law enforcement agencies) as it may consider appropriate, notwithstanding any disclaimer in this Policy.

The app also scooped up information from the typically nonpublic profiles of the quiz - takers» friends — turning 270,000 people into 87 million.

When TRID went into effect in 2015, lenders were reluctant to share the new required Closing Disclosure (CD) with real estate professionals out of fear of liability for disclosing clients» nonpublic personal information.