Compliance 11 definition

Compliance 11 means the Firm’s automated pre-approval and reporting system for Personal Securities Transactions.
Sample 1Sample 2Sample 3
Compliance 11 means the Firm's automated pre-approval and reporting system for Personal Securities Transactions.
Sample 1

Examples of Compliance 11 in a sentence

  • Pre-clearance requests and Compliance approvals/denials conducted through the Advisers’ online third party service provider (e.g. Compliance 11) will be maintained electronically.

  • Such reports may be completed using Compliance 11, a compliance software product.

  • It is encouraged that all Access Persons seek prior approval for all Personal Securities Transactions through Compliance 11, although alternative approval, including written or verbal approval, may be granted.

  • Health Plan Advisories 10 Business Owners 10 MCO Policy and Provider Manual Submission Guidance 10 Legal Compliance 11 AJ v.

  • Various affirmations and required certifications are completed and maintained via City National Rochdale’s electronic compliance tracking system (i.e., Compliance 11).

  • The CCO or their designee shall update Compliance 11 as necessary to include new Access Persons and Investment Personnel and shall notify those persons of their obligations under the Code.

  • All requests for pre-clearance of Personal Securities Transactions must be made through the Schwab Compliance 11 system.

  • All personal securities transactions involving options must be pre-approved through Compliance 11 and are subject to the mandatory 90-day holding period detailed in Section III.E. (unless the strike date of the option is less than 90 days).

  • Access Persons are required to report, via Compliance 11, all personal securities holdings, including Reportable Funds, ETFs and Private Placements.

  • In the event an Access Person has a securities account at a broker that does not electronically feed directly to Compliance 11, Access Persons may provide investment statements to the CCO or his designee as documentation of holdings.

Related to Compliance 11

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

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

  • Compliance Report means, as applicable in relation to the test being conducted, a report containing the results of the Compliance Tests carried out by State Street.

  • 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);

  • Compliance Order means an order issued by the Code Enforcement Officer pursuant to subdivision (a) of section 15 of this local law.

  • Compliance year means the calendar year beginning with June 1 and ending with May 31 of the following year, for which a Retail Electricity Supplier must demonstrate that it has met the requirements of this Regulation.

  • Compliance Date means, in each case, the date by which compliance is required under the referenced provision of ARRA’s or HIPAA’s implementing regulations, as applicable.

  • 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.

  • Compliance Costs means all expenses, commitments or obligations in excess of one million dollars ($1,000,000) incurred by Carrier or required to be incurred by Carrier to comply with a Change in Law, irrespective of whether such expenses, commitments or obligations are to be incurred as a one-time expenditure or periodically for an extended period.

  • Safety compliance facility means a licensee that is a commercial entity that receives marihuana from a marihuana facility or registered primary caregiver, tests it for contaminants and for tetrahydrocannabinol and other cannabinoids, returns the test results, and may return the marihuana to the marihuana facility.

  • Compliance Period means a period of time that the Development shall conform to all set-aside requirements as described further in the rule chapter and agreed to by the Applicant in the Application.

  • Compliance agreement means a written agreement between a person and the Commissioner to achieve compliance with this quarantine.

  • Compliance schedule means a schedule of events, by date, which will result in compliance with these regulations.

  • 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.

  • Repeat compliance period means any subsequent compliance period after the initial compliance period.

  • 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.

  • 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.

  • 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.

  • Covenant Compliance Event means, at any time, Availability is less than the greater of (i) ten percent (10%) of the Loan Cap and (ii) $15,000,000. The termination of a Covenant Compliance Event as provided herein shall in no way limit, waive or delay the occurrence of a subsequent Covenant Compliance Event in the event that the conditions set forth in this definition again arise.

  • Covenant Compliance Worksheet means a fully completed worksheet in the form of Attachment A to Exhibit C.

  • Compliance as used in this clause, means compliance with:

  • 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.

  • Compliance Statement is that certain statement in the form attached hereto as Exhibit B.

  • Compliance Authority means each and all of the (a) U.S. Treasury Department/Office of Foreign Assets Control, (b) U.S. Treasury Department/Financial Crimes Enforcement Network, (c) U.S. State Department/Directorate of Defense Trade Controls, (d) U.S. Commerce Department/Bureau of Industry and Security, (e) the U.S. Internal Revenue Service, (f) the U.S. Justice Department, and (g) the U.S. Securities and Exchange Commission.

  • Document of Compliance has the meaning given to it in the ISM Code.

  • Compliance cycle means the nine-year calendar year cycle during which public water systems must monitor. Each compliance cycle consists of three three-year compliance periods. The first calendar year cycle begins January 1, 1993 and ends December 31, 2001; the second begins January 1, 2002 and ends December 31, 2010; the third begins January 1, 2011 and ends December 31, 2019.