Code of Ethics Compliance Officer definition

Code of Ethics Compliance Officer means the Chief Compliance Officer of the Funds and Investment Adviser.
Sample 1Sample 2Sample 3
Code of Ethics Compliance Officer means the individual designated by a Fund to make decisions and offer advice regarding Rule 17j-1 and the Code of Ethics adopted by the Fund.
Sample 1Sample 2Sample 3
Code of Ethics Compliance Officer means the person appointed by the Board of Trustees to fulfill the functions designated in this Code;
Sample 1Sample 2

Examples of Code of Ethics Compliance Officer in a sentence

  • The Code of Ethics Compliance Officer and/or the Chief Compliance Officer may have the obligation and duty to review and take appropriate action concerning instances of conduct that, while not necessarily violating the letter of the Code, give the appearance of impropriety.

  • If you have any questions regarding the appropriateness of any action under this Code or under your fiduciary duties generally, you should contact the Code of Ethics Compliance Officer or your Chief Compliance Officer to discuss the matter before taking the action in question.

  • You must get written approval from the CCO or Code of Ethics Compliance Officer before you sell shares that you acquired in an IPO prior to starting work for us.

  • The Code of Ethics Compliance Officer, the appropriate Chief Compliance Officer or his or her respective designee shall review reports filed under the Code of Ethics to determine whether any violation of the Code of Ethics may have occurred.

  • If you need to sell Reportable Fund shares before the 60-day holding period has passed, you must obtain advance written approval from the CCO or the Code of Ethics Compliance Officer.

  • Please contact your local Code of Ethics Compliance Officer if you have any questions.

  • Documentation for all approved Private Placements will be kept on file by the Code of Ethics Compliance Officer.

  • Upon the hiring of a new Employee or of a change in an Employee’s job title or responsibilities, the Code of Ethics Compliance Officer will determine whether the Employee is or has become an Access Person under the Code.

  • You may not participate in the activities of an Investment Club without prior approval from the CCO or the Code of Ethics Compliance Officer.

  • During the blackout period, activity will be monitored by the Code of Ethics Compliance Officer or the CCO and any Personal Securities Transactions during a blackout window will be evaluated and investigated based on each situation.


More Definitions of Code of Ethics Compliance Officer

Code of Ethics Compliance Officer means (a) the primary individual designated by a Fund to make decisions and offer advice regarding Rule 17j-1 and the Code of Ethics adopted by the Fund, and (b) any person(s) designated by the primary individual to assist with these responsibilities.
Sample 1

Related to Code of Ethics Compliance Officer

  • Compliance Officer means Company Secretary or such other senior officer, who is financially literate and is capable of appreciating requirements for legal and regulatory compliance under these regulations designated so and reporting to the Board of Directors and who shall be responsible for compliance of policies, procedures, maintenance of records, monitoring adherence to the rules for the preservation of unpublished price sensitive information, monitoring of trades and the implementation of the codes specified in these regulations under the overall supervision of the Board of Directors of the Company.

  • Chief Compliance Officer means the individual appointed by the Board as BSEF’s chief compliance officer in accordance with the Operating Agreement, with the duties and responsibilities as may be prescribed by the Board from time to time as set forth in Rule 208.

  • Vigilance and Ethics Officer means an officer appointed to receive protected disclosures from whistle blowers, maintaining records thereof, placing the same before the Audit Committee for its disposal and informing the Whistle Blower the result thereof.

  • StarCompliance Code of Ethics application means the web-based application used to electronically pre-clear personal securities transactions and file many of the reports required herein. The application can be accessed via the AB network at: https://alliance-ng.starcompliance.com/.

  • Code of Ethics Contact Person means the Chief Compliance Officer or such person or persons as may be from time to time designated.

  • Code of Ethics means a statement encompassing the set of rules based on values and the standards of conduct to which suppliers are expected to conform

  • Compliance Review means an inspection of the home, grounds, and files to determine compliance with these regulations.

  • Preclearance Officer means the person designated as the Preclearance Officer in Appendix 2 hereof.

  • Compliance Forester means the DNR staff person(s) identified in the Pre-Work Conference who perform the compliance inspections, approve Work, recommend payment to the Contract Manager, and manage the Work Schedule.

  • Reporting Officer With respect to the Owner Trustee, any officer, employee or other person within the Corporate Trust Office of the Owner Trustee having responsibility for the administration of the Trust Agreement.

  • Compliance Plan means the compliance obligations, program, and procedures described in this Consent Decree at paragraph 13.

  • Compliance Department means the Chief Compliance Officer of Federated and those other individuals designated by him or her as responsible for implementing this Code and the Associated Procedures.

  • Public safety officer means a member serving a public

  • Compliance Committee means the committee referenced under the Federated Code of Business Conduct and Ethics, consisting of, among others, the Chief Compliance Officer, the General Counsel, the Chief Audit Executive and the Chief Risk Officer.

  • Code of Conduct means an agreement or set of rules not imposed by law, regulation or administrative provision of a Member State which defines the behaviour of traders who undertake to be bound by the code in relation to one or more particular commercial practices or business sectors;

  • Community corrections officer means an employee of the

  • Campus police officer means a school security officer designated by the board of education of any school district pursuant to K.S.A. 72-6146, and amendments thereto.

  • Ethics means a set of principles governing the conduct of all persons governed by these rules.

  • Work ethic camp means an alternative incarceration program

  • Clearance Officer, W CAR:MP:FP:S, Xxxxxxxxxx, XX 00000. Comments on the collection of information should be received by September 17, 2002. Comments are specifically requested concerning: Whether the collection of information is necessary for the proper performance of the functions of the Internal Revenue Service, including whether the information will have practical utility; The accuracy of the estimated burden associated with the collection of information (see below); How the quality, utility, and clarity of the information to be collected may be enhanced; How the burden of complying with the collection of information may be minimized, including through the application of automated collection techniques or other forms of information technology; and Estimates of capital or start-up costs and costs of operation, maintenance, and purchase of service to provide information. An agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a valid control number assigned by the Office of Management and Budget. The estimated total annual reporting burden is 470 hours, based on an estimated number of respondents of 470 and an estimated average annual burden hours per respondent of one hour. Books or records relating to a collection of information must be retained as long as their contents may become material in the administration of any internal revenue law. Generally, tax returns and tax return information are confidential, as required by 26 U.S.C. 6103.

  • Compliance Audit means the procedure (in a form advised by the GLA from time to time) by which an auditor independent of the Grant Recipient certifies (at the Grant Recipient's cost) whether the Named Projects developed or Rehabilitated pursuant to this Agreement satisfy the GLA's procedural compliance requirements (as described in the Affordable Housing Capital Funding Guide);

  • Trading Compliance Policy means the written policy of the Company pertaining to the purchase, sale, transfer or other disposition of the Company’s equity securities by Directors, Officers, Employees or other service providers who may possess material, nonpublic information regarding the Company or its securities.

  • Compliance Program means the program established by CNYCC to prevent, detect, and address compliance issues that arise with respect to PPS operations, projects or activities.

  • Labor compliance agreement means an agreement entered into between a contractor or subcontractor and an enforcement agency to address appropriate remedial measures, compliance assistance, steps to resolve issues to increase compliance with the labor laws, or other related matters.

  • Certified peace officer means a peace officer certified by the

  • Environmental and Social Management Plan or “ESMP” means a site-specific environmental and social management plan to be prepared in accordance with the parameters laid down in the ESMF and acceptable to the Association, setting forth a set of mitigation, monitoring, and institutional measures to be taken during the implementation and operation of the Project activities to eliminate adverse environmental and social impacts, offset them, or reduce them to acceptable levels, and including the actions needed to implement these measures.