Compliance Advisor Sample Clauses

The Compliance Advisor clause designates a specific individual or entity responsible for monitoring and advising on regulatory and legal compliance within the scope of an agreement. Typically, this advisor reviews business practices, policies, and transactions to ensure they align with applicable laws and industry standards, and may provide recommendations or reports to the parties involved. The core function of this clause is to help prevent legal or regulatory violations by ensuring ongoing oversight and expert guidance, thereby reducing compliance risks for the parties.
Compliance Advisor maintain the appointment of such compliance advisor and obtain advice from such compliance advisor in relation to its compliance with the Listing Rules and all other applicable laws, rules and regulations in such manner and for such period as set out in Rules 3A.19 and 3A.20 of the Listing Rules;
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Compliance Advisor. Ombudsman (IFC / ICC and MIGA).—Osvaldo Luis Gratacos. Vice President and General Counsel.—Ethiopis Tafara. Vice President: Human Resource.—Sean McGrath.
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Compliance Advisor. Ombudsman (IFC / ICC and MIGA).—
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Compliance Advisor. Ombudsman (IFC/ICC AND MIGA).—Meg Taylor.
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Compliance Advisor. Ombudsman (IFC/ICC AND MIGA).—Osvaldo Luis Gratacos. Vice President and Chief Operating Officer.—Karin Finkelston.
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Compliance Advisor. This Appendix contains the requirements relating to the Compliance Advisor required by Section III.A.3 of the CIA.
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Compliance Advisor. The Parties also agree that they shall cause the Board, consistent with their duties as directors, to appoint, as an advisor to the Board, an individual with extensive experience in compliance with U.S. economic sanctions, export and re-export control laws, the FCPA and Anti-boycott Laws. This advisor will assist the Board in overseeing the Company’s compliance with such Laws.
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Related to Compliance Advisor

  • Compliance Audit LEA shall have the right but shall be under no obligation to conduct audit(s), from time to time, of Provider’s records concerning its compliance obligations as set forth in this Article V. Provider shall make such records and other documents available to LEA upon request.

  • Compliance Reporting a. Provide reports to the Securities and Exchange Commission, the National Association of Securities Dealers and the States in which the Fund is registered. b. Prepare and distribute appropriate Internal Revenue Service forms for corresponding Fund and shareholder income and capital gains. c. Issue tax withholding reports to the Internal Revenue Service.

  • Compliance Audits D. 4.1 Compliance Audit(s). Without limiting the generality of section A.7.4 (Records Review), if requested by the Province from time to time, which request shall be at the Province’s sole discretion, the Recipient, at its own expense, will forthwith retain an independent third party auditor to conduct one or more compliance audits of the Recipient or any Project. The audit will be conducted in accordance with Canadian Generally Accepted Auditing Standards, as adopted by the Canadian Institute of Chartered Accountants, applicable as of the date on which a record is kept or required to be kept under such standards. In addition, the audit will assess the Recipient’s compliance with the terms of the Agreement and will address, with respect to each Project, without limitation, the following: (a) whether the Funds were spent in accordance with the Agreement and with due regard to economy, efficiency, and effectiveness; (b) the Project’s progress or state of completion; (c) whether the financial information the Recipient provided is complete, accurate, and timely, and in accordance with the Agreement; (d) whether the Recipient’s information and monitoring processes and systems are adequate to identify, capture, validate, and monitor the achievement of intended benefits of the Project; (e) the overall management and administration of the Project; (f) recommendations for improvement or redress; and (g) whether prompt and timely corrective action is taken on prior audit findings.

  • Compliance Review During the Term, Developer agrees to permit the GLO, HUD, and/or a designated representative of the GLO or HUD to access the Property for the purpose of performing Compliance-Monitoring Procedures. In accordance with GLO Compliance-Monitoring Procedures, the GLO or HUD will periodically monitor and audit Developer’s compliance with the requirements of this Agreement, the CDBG-DR Regulations, the CDBG Multifamily Rental Housing Guidelines, and any and all other Governmental Requirements during the Term. In conducting any compliance reviews, the GLO or HUD will rely primarily on information obtained from Developer’s records and reports, on-site monitoring, and audit reports. The GLO or HUD may also consider other relevant information gained from other sources, including litigation and citizen complaints. 5.04 HAZARDOUS MATERIALS: INDEMNIFICATION

  • Compliance Reports The Subadvisor at its expense will provide the Advisor with such compliance reports relating to its duties under this Agreement as may be agreed upon by such parties from time to time.