Examples of Code violation in a sentence
Retaliation against an Access Person who reports a Code violation is in itself a violation of the Code.
Any person who seeks to retaliate against a person who reports a Code violation shall be subject to sanctions.
The Compliance Officer shall maintain a copy of each of the following for five years in an easily accessible place: · This Code of Ethics; · Records of each Code violation and of any action taken as a result of the violation; · Copies of each Access Person report; · Record of all Access Persons subject to the Code; and · Copies of annual compliance reports.
They will be available for examination by representatives of the Securities and Exchange Commission and other regulatory agencies.· A copy of this Code that is, or at any time within the past five years has been, in effect will be preserved in an easily accessible place for a period of five years.· A record of any Code violation and of any sanctions taken will be preserved in an easily accessible place for a period of at least five years following the end of the fiscal year in which the violation occurred.
If we determine that an employee is responsible for a Code violation, he or she will be subject to disciplinary action up to, and including, termination of employment and, in appropriate cases, civil action or referral for criminal prosecution.