Compliance Committee definition

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 Committee means the committee established pursuant to Section 2(d).

Compliance Committee means the Adviser’s committee charged with overseeing the Adviser’s compliance policies and procedures. The committee is comprised of the Chief Executive Officer, the Chief Compliance Officer, the Chief Investment Officer and a senior Portfolio Manager.

Examples of Compliance Committee in a sentence

• Upon appointment, the names of the members of the Compliance Committee and, in the event of a change of the membership, the name of any new member shall be submitted in writing to the Assistant Deputy Comptroller.

• The Medical Director shall make periodic (at least quarterly) reports to the Physician Executives and Compliance Officer regarding the management and oversight of the Cardiac Catheterization Laboratory, and shall be authorized to report on such matters to the Physician Executives, Compliance Officer, Compliance Committee, or Governing Board of PRMC at any time.

• Within 90 days after the Effective Date, PRMC shall appoint a Compliance Committee.

• At minimum, the resolution shall include the following language: “The Board of Directors has made a reasonable inquiry into the operations of PRMC’s Compliance Program including the performance of the Compliance Officer and the Compliance Committee.

• The Compliance Committee shall, at a minimum, include the Compliance Officer and other members of senior management necessary to meet the requirements of this CIA (e.g., senior executives of relevant departments, such as billing, clinical, human resources, audit, and operations).

More Definitions of Compliance Committee

Compliance Committee means the Batterymarch committee that is responsible for establishing and monitoring Batterymarch’s compliance policies and procedures in accordance with Rule 206(4)-7 of the Investment Advisers Act of 1940, as amended. Batterymarch’s Compliance Committee consists of Batterymarch’s Chief Compliance Officer and Supervisors.

Compliance Committee means the Compliance Committee of Brandywine as shown on Appendix 1

Compliance Committee means the committee of the Authority established to undertake the functions set out in section 28;

Compliance Committee means the Batterymarch committee that is responsible for establishing and monitoring Batterymarch's compliance policies and procedures in accordance with Rule 206(4)-7 of the Investment Advisers Act of 1940, as amended. Batterymarch's Compliance Committee consists of Batterymarch's Chief Compliance Officer and Supervisors.

Compliance Committee means the Compliance Committee established by section 6 of the Principal Act as that section had effect immediately before the date of coming into operation of section 8;

Compliance Committee means a Committee comprising of Chief Executive Officer, Chief Financial Officer and Company Secretary of the Company.

Compliance Committee means certain RSMC and/or WT employees whose responsibilities include the pre-clearance of personal trades and analysis and remediation of trading violations. (Committee members are Anna Bencrowsky, Rex Macey, John Kelley, and Marilyn Talman, Esq.)