Compliance Advisor definition

Compliance Advisor means an investment bank licensed by the Authority, any other eligible licensed capital market service provider, or lawyers or auditors approved by the Authority, as described in Article 82(3) of this Directive.
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Compliance Advisor. Guotai Junan Capital Limited
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Compliance Advisor has the meaning ascribed to it under the Listing Rules “connected transaction(s)” has the meaning ascribed to it under the Listing Rules “Consolidated Affiliated Entity(ies)” the entities we control through the Contractual Arrangements, namely Hive Box Technology and its subsidiaries. For further details of these entities, see the section headed “History, Reorganization and Corporate Structure” and “Contractual Arrangements” of this document “Contractual Arrangements” the series of contractual arrangements entered into among WFOE, the Registered Shareholders and Hive Box Technology (as applicable) on December 31, 2020, details of which are set out in the section headed “Contractual Arrangements” of this document
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Examples of Compliance Advisor in a sentence

  • The AO must also consult with the Labor Compliance Advisor at xxx@xxxxx.xxx.

  • Our Company has appointed Somerley Capital Limited as our Compliance Advisor in compliance with Rule 3A.19 of the Listing Rules.

  • Our Compliance Advisor will be available to answer enquiries from the Stock Exchange and will act as the principal channel of communication with the Stock Exchange when the Authorized Representatives and our Directors are not available.

  • In turn, we will provide to our Compliance Advisor such information and assistance as our Compliance Advisor may reasonably require in connection with the performance of our Compliance Advisor’s duties.

  • Our Company has provided the Stock Exchange with the names, office phone numbers, mobile phone numbers, facsimile numbers and email addresses of at least two of the officers of our Compliance Advisor who will act as our Compliance Advisor’s contact persons with respect to matters between the Stock Exchange and our Company.

  • The Compliance Advisor will be available to answer enquiries from the Stock Exchange and will act as the principal channel of communication with the Stock Exchange when the Authorized Representatives are not available.

  • Prior to joining BOCI, Ms. Liconte served as a Futures & Derivatives Counsel and Compliance Advisor to E*TRADE Financial Corp., including E*TRADE Clearing Corp.

  • The Office of the Compliance Advisor Ombudsman (CAO) was created in 1999 by the World Bank Group as the independent recourse and accountability mechanism of the International Finance Corporation (IFC) and the Multilateral Investment Guarantee Agency (MIGA) for environmental and social concerns.

  • The Technical & Compliance Advisor role has not been filled, two other resignations have been received and there are still a few posts to backfill due to internal promotions.

  • Political consultations enable Turkey and Greece to explore out each other’s views and positions on various regional and international issues.


More Definitions of Compliance Advisor

Compliance Advisor. Guotai Junan Capital Limited “connected person(s)” has the meaning ascribed to it under the Listing Rules “connected transaction(s)” has the meaning ascribed to it under the Listing Rules “core connected person(s)” has the meaning ascribed to it under the Listing Rules “Core Product Candidate” relma-cel, the designated “core product” as defined under Chapter 18A of the Listing Rules
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Compliance Advisor means Anglo Chinese Corporate Finance, Limited;
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Related to Compliance Advisor

  • 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 Review as defined in Section 5.5(b).

  • 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 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 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.

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

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

  • 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.

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

  • 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.

  • 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.

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

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

  • Compliance Declaration means a compliance declaration substantially in the form set out in Schedule F;

  • Statement of Compliance means the statement forming part of a Tender indicating the Bidders compliance with the Specification.

  • Reporting Servicer As defined in Section 11.13.

  • 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.

  • major non-compliance outcome notification means a notification received by a council under section 19N(3) or (4) of the Food Act 1984, or advice given to council by an authorized officer under that Act, of a deficiency that does not pose an immediate serious threat to public health but may do so if no remedial action is taken

  • State sponsor of terrorism means a country determined by the Secretary of State, under section 6(j)(1)(A) of the Export Administration Act of 1979 (50 U.S.C. App. 2405(j)(i)(A)), to be a country the government of which has repeatedly provided support for acts of international terrorism. As of the date of this provision, state sponsors of terrorism subject to this provision are Iran, Sudan, and Syria. (10 U.S.C. 2327)

  • 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.

  • Assessment of Compliance As defined in Section 3.21.

  • Participating Certified Clinical Nurse Specialist means a Certified Clinical Nurse Specialist who has a written agreement with the Claim Administrator or another Blue Cross and/or Blue Shield Plan to provide services to you at the time services are rendered.