Policies and procedures compliance Sample Clauses

Policies and procedures compliance. Assist the investment adviser with monitoring its compliance with Fund Board directives, such as "Approved Issuers Listings for Repurchase Agreements", Rule 17a-7, Rule 17e-1 and Rule 12d3-1 procedures.
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Policies and procedures compliance. The Producer shall comply with all (i) federal, state and local laws, regulations and rules applicable to the Producer’s solicitation of insurance products, and (ii) all rules, policies, procedures and standards which are provided or made available to the Producer by Xxxxx or any Xxxxx Carrier. a) The Producer shall be fully responsible for monitoring the information posted to the Xxxxx Bulletin, Carrier Bulletin section of the xxx.XxxxxXxxxXxxxxxxxx.xxx website and/or the Xxxxx Carrier(s) websites. b) The Producer shall hold the appropriate insurance license(s) in the state of solicitation and in the state where the application is signed prior to submitting an application for insurance to Xxxxx. c) The Producer shall complete pre-contracting or appointment paperwork with the Xxxxx Carrier prior to soliciting the sale of a product, if required. d) The Producer shall not alter, modify, waive, or amend any of the terms, rates or conditions of any advertisement, brochures, applications, policies, contracts or other materials provided to the Producer by Xxxxx or any Xxxxx Carrier unless submitted and approved in writing by Xxxxx and/or the Xxxxx Carrier. The Producer shall not create any materials that reference Xxxxx or Xxxxx Carriers unless submitted and approved in writing by Xxxxx and/or the Xxxxx Carrier.
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Policies and procedures compliance. Assist the Trust's Officers with monitoring each Fund's compliance with Board directives, such as the Trust's compliance procedures, including, but not limited to, guidelines for repurchase agreements and Rule 10f-3, Rule 12d3-1, Rule 17a-7 and Rule 17e-1 policies and procedures.
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Policies and procedures compliance. Assist the investment adviser with monitoring its compliance with Trust Board directives, such as "Approved Issuers Listings for Repurchase Agreements", Rule 17a-7, Rule 17e-1 and Rule 12d3-1 procedures.
Sample 1
Policies and procedures compliance. The Camp Sponsor shall comply with all College policies, regulations, and guidelines, and all local, state and federal laws concerning health, safety and public order. Failure to comply with the preceding may result in forfeiture of the privilege of using College facilities and services, or termination of this Agreement, in the discretion of the College.
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Policies and procedures compliance. Assist the Adviser with monitoring each Portfolio's compliance with Fund Board directives, such as "Approved Issuers Listings for Repurchase Agreements" and Rule 17a-7, Rule 17e-1 and Rule 12d3-1 policies and procedures.
Sample 1
Policies and procedures compliance. (1) Assist the Fund’s Investment Adviser with monitoring compliance with the 1940 Act and the 1933 Act and with rules, and amendments to rules, adopted thereunder, and notify the Trust of the results thereof. (2) Oversight and maintenance of required books and records for the Trust, as required by Rules 31(a)-1 and 31(a)-2 of the 1940 Act and the Orders of Exemption that are provided by the Fund to J.X. Xxxxxx. (3) Assist the Funds’ investment adviser with monitoring its compliance with Fund Board directives, including but not limited to Joint Repurchase Agreements and “Approved Issuers Listings for Repurchase Agreements” with J.X. Xxxxxx approved counter-parties, and procedures required under Rules 17a-7, 17e-1, 17(g), 17(j) and 12d3-1 of the 1940 Act. (4) With respect to J.X. Xxxxxx services; (i) assist with the development and monitoring of the Trust’s Disclosure Controls and Procedures; and (ii) will provide a representation letter to assist the Fund with its Sxxxxxxx-Xxxxx responsibilities; (5) Assist in the development and implementation of appropriate policies and procedures in response to applicable regulatory developments.
Sample 1
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Policies and procedures compliance. Notwithstanding any of the provisions of this Agreement to the contrary, all accounting, financial reporting and bookkeeping procedures of the Partnership (and its Controlled Affiliates) shall be established in conjunction with policies and procedures determined under the supervision of the General Partner and AMG. The Management Committee shall have a continuing obligation to keep AMG’s chief financial officer informed of material financial developments with respect to the Partnership (and its Controlled Affiliates). Notwithstanding any other provisions of this Agreement to the contrary, all legal, compliance and regulatory matters of the Partnership (and its Controlled Affiliates) shall be coordinated with the General Partner and AMG, and the Partnership’s (and its Controlled Affiliates’) legal compliance activities shall be conducted and established in conjunction with policies and procedures determined under the supervision of the General Partner. The Management Committee shall have a continuing obligation to keep AMG’s general counsel informed of material legal, compliance and regulatory developments with respect to the Partnership (and its Controlled Affiliates). The Partnership shall (and shall cause its Controlled Affiliates to) maintain a control environment and appropriate financial reporting, operational, legal and compliance control activities reasonably designed to ensure AMG’s compliance with Sections 302 and 404 of the Sarbanes Oxley Act of 2002 and consistent with best practices in the investment management industry, and each Employee Equityholder shall use his or her reasonable best efforts to cause the Partnership (and its Controlled Affiliates) to do so.
Sample 1

Related to Policies and procedures compliance

  • Policies and Procedures i) The policies and procedures of the designated employer apply to the employee while working at both sites. ii) Only the designated employer shall have exclusive authority over the employee in regard to discipline, reporting to the College of Nurses of Ontario and/or investigations of family/resident complaints. iii) The designated employer will ensure that the employee is covered by WSIB at all times, regardless of worksite, while in the employ of either home. iv) The designated employer will ensure that the employee is covered by liability insurance at all times, regardless of worksite, while in the employ of either home. v) The designated employer shall have exclusive authority over the employee’s personnel files and health records. These files will be maintained on the site of the designated employer.

  • Compliance Policies and Procedures To assist the Fund in complying with Rule 38a-1 of the 1940 Act, BBH&Co. represents that it has adopted written policies and procedures reasonably designed to prevent violation of the federal securities laws in fulfilling its obligations under the Agreement and that it has in place a compliance program to monitor its compliance with those policies and procedures. BBH&Co will upon request provide the Fund with information about our compliance program as mutually agreed.

  • COMPLIANCE WITH POLICIES AND PROCEDURES During the period that Executive is employed with the Company hereunder, Executive shall adhere to the policies and standards of professionalism set forth in the policies and procedures of the Company and IAC as they may exist from time to time.

  • Violence Policies and Procedures The Employer agrees to have in place explicit policies and procedures to deal with violence. The policy will address the prevention of violence, the management of violent situations, provision of legal counsel and support to employees who have faced violence. The policies and procedures shall be part of the employee's health and safety policy and written copies shall be provided to each employee. Prior to implementing any changes to these policies, the employer agrees to consult with the Association.

  • Policy and Procedures If the resident leaves the facility due to hospitalization or a therapeutic leave, the facility shall not be obligated to hold the resident’s bed available until his or her return, unless prior arrangements have been made for a bed hold pursuant to the facility’s “Bed Reservation Policy and Procedure” and pursuant to applicable law. In the absence of a bed hold, the resident is not guaranteed readmission unless the resident is eligible for Medicaid and requires the services provided by the facility. However, the resident may be placed in any appropriate bed in a semi-private room in the facility at the time of his or her return from hospitalization or therapeutic leave provided a bed is available and the resident’s admission is appropriate and meets the readmission requirements of the facility.

  • Sub-Advisor Compliance Policies and Procedures The Sub-Advisor shall promptly provide the Trust CCO with copies of: (i) the Sub-Advisor’s policies and procedures for compliance by the Sub-Advisor with the Federal Securities Laws (together, the “Sub-Advisor Compliance Procedures”), and (ii) any material changes to the Sub-Advisor Compliance Procedures. The Sub-Advisor shall cooperate fully with the Trust CCO so as to facilitate the Trust CCO’s performance of the Trust CCO’s responsibilities under Rule 38a-1 to review, evaluate and report to the Trust’s Board of Trustees on the operation of the Sub-Advisor Compliance Procedures, and shall promptly report to the Trust CCO any Material Compliance Matter arising under the Sub-Advisor Compliance Procedures involving the Sub-Advisor Assets. The Sub-Advisor shall provide to the Trust CCO: (i) quarterly reports confirming the Sub-Advisor’s compliance with the Sub-Advisor Compliance Procedures in managing the Sub-Advisor Assets, and (ii) certifications that there were no Material Compliance Matters involving the Sub-Advisor that arose under the Sub-Advisor Compliance Procedures that affected the Sub-Advisor Assets. At least annually, the Sub-Advisor shall provide a certification to the Trust CCO to the effect that the Sub-Advisor has in place and has implemented policies and procedures that are reasonably designed to ensure compliance by the Sub-Advisor with the Federal Securities Laws.

  • Company Policies and Procedures 7.1.1 The Company will ensure that Employees are able to readily access Company policies and procedures that apply to the Employees. 7.1.2 The Employees will observe and act in accordance with Company policies and procedures that apply to the Employees, as implemented and amended from time to time.

  • Safeguarding requirements and procedures (1) The Contractor shall apply the following basic safeguarding requirements and procedures to protect covered contractor information systems. Requirements and procedures for basic safeguarding of covered contractor information systems shall include, at a minimum, the following security controls: (i) Limit information system access to authorized users, processes acting on behalf of authorized users, or devices (including other information systems). (ii) Limit information system access to the types of transactions and functions that authorized users are permitted to execute. (iii) Verify and control/limit connections to and use of external information systems. (iv) Control information posted or processed on publicly accessible information systems. (v) Identify information system users, processes acting on behalf of users, or devices. (vi) Authenticate (or verify) the identities of those users, processes, or devices, as a prerequisite to allowing access to organizational information systems. (vii) Sanitize or destroy information system media containing Federal Contract Information before disposal or release for reuse. (viii) Limit physical access to organizational information systems, equipment, and the respective operating environments to authorized individuals. (ix) Escort visitors and monitor visitor activity; maintain audit logs of physical access; and control and manage physical access devices. (x) Monitor, control, and protect organizational communications (i.e., information transmitted or received by organizational information systems) at the external boundaries and key internal boundaries of the information systems. (xi) Implement subnetworks for publicly accessible system components that are physically or logically separated from internal networks. (xii) Identify, report, and correct information and information system flaws in a timely manner. (xiii) Provide protection from malicious code at appropriate locations within organizational information systems. (xiv) Update malicious code protection mechanisms when new releases are available. (xv) Perform periodic scans of the information system and real-time scans of files from external sources as files are downloaded, opened, or executed.

  • Performance of Services in Accordance with Regulatory Requirements; Furnishing of Books and Records In performing the services set forth in this Agreement, the Manager: A. shall conform with the 1940 Act and all rules and regulations thereunder, with all other applicable federal, state and foreign laws and regulations, with any applicable procedures adopted by the Trust’s Board of Trustees, and with the provisions of the Trust’s Registration Statement filed on Form N-1A as supplemented or amended from time to time; B. will make available to the Trust, promptly upon request, any of the Fund’s books and records as are maintained under this Agreement, and will furnish to regulatory authorities having the requisite authority any such books and records and any information or reports in connection with the Manager’s services under this Agreement that may be requested in order to ascertain whether the operations of the Trust are being conducted in a manner consistent with applicable laws and regulations.

  • Ordering Guidelines and Processes 1.13.1 For information regarding Ordering Guidelines and Processes for various Network Elements, Combinations and Other Services, PLI should refer to the “Guides” section of the BellSouth Interconnection Web site, which is incorporated herein by reference, as amended from time to time. The Web site address is: http//xxx.xxxxxxxxxxxxxxx.xxxxxxxxx.xxx/. 1.13.2 Additional information may also be found in the individual CLEC Information Packages, which are incorporated herein by reference, as amended from time to time, located at the “CLEC UNE Products” Web site address: xxxx://xxx.xxxxxxxxxxxxxxx.xxxxxxxxx.xxx/guides/html/unes.html. 1.13.3 The provisioning of Network Elements, Combinations and Other Services to PLI’s Collocation Space will require cross-connections within the central office to connect the Network Element, Combinations or Other Services to the demarcation point associated with PLI’s Collocation Space. These cross-connects are separate components that are not considered a part of the Network Element, Combinations or Other Services and, thus, have a separate charge pursuant to this Agreement.

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