Compliance Department definition

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 Department means all SEF Officials and/or agents of BSEF (including the Regulatory Services Provider) that assist BSEF with the implementation, surveillance and enforcement of the BSEF Rules and other Obligations.

Compliance Department means the Compliance Department of Grantham, Mayo, Van Otterloo & Co. LLC. Communications required under this Code to be directed to the Compliance Department should in the first instance be directed to the CCO.

Examples of Compliance Department in a sentence

• If the Client receives a response from the Customer Service Department but deems that the complaint needs to be raised further the Client may contact the Compliance Department that is an independent department within Company.

• In order to comply with laws and regulations relating to the prevention of money laundering we will refuse to pay money or transfer stock out of your Account to any third party and will refuse to receive money into your Account from any third party other than from an account in your name at your bank or as determined by our Compliance Department from time to time.

• Both the Customer Support Department and the Compliance Department shall thoroughly examine any complaints as required, taking into account any information contained within the books and records of the Company, including but not limited to the Client’s Trading Account journal.

• Request from the Agency’s Contract Compliance Department a list of all known SBEs in the pertinent field(s), particularly those in the Project and Survey Areas and provide written notice to all of them of the opportunity to bid for contracts and to attend a pre- bid or pre-solicitation meeting to learn about contracting opportunities.

• Representatives of the Contract Compliance Department will also participate.

More Definitions of Compliance Department

Compliance Department means the Legal and Compliance Department of Legg Mason.

Compliance Department means the Deutsche Asset Management Compliance Department.

Compliance Department means the designated persons listed on Appendix 2, as such Appendix shall be amended from time to time.

Compliance Department means the Company's compliance department located in Fort Lauderdale, Florida or its successor.

Compliance Department means TIM’s compliance department.

Compliance Department means the Firm’s Compliance Department.

Compliance Department means the DWS Compliance Department and/or Deutsche Bank’s Employee Compliance Group.