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 to the Adviser: Brandywine Global Investment Management, LLC 0000 Xxxxxx Xxxxxx, Xxxxx 0000 Philadelphia, PA 19103 Attn: Legal & Compliance Department PURSUANT TO AN EXEMPTION FROM THE COMMODITY FUTURES TRADING COMMISSION IN CONNECTION WITH ACCOUNTS OF QUALIIFIED ELIGIBLE PERSONS, THIS BROCHURE OR ACCOUNT DOCUMENT IS NOT REQURIED TO BE, AND HAS NOT BEEN, FILED WITH THE COMMISSION.

• Claims are reviewed by the Operations Department and Compliance Department of JSC PASHA Bank.

• Concerns should be reported to the direct supervisor, Human Resources or to the Compliance Department.

• CONTRACTOR’s Compliance Program, Code of Conduct and any related policies and procedures shall be verified by ADMINISTRATOR’s Compliance Department to ensure they include all required elements by ADMINISTRATOR’s Compliance Officer as described in this Section III (COMPLIANCE).

• Right to Opt-Out: You may opt-out of this Arbitration Provision by sending us a written notice to REV’s Compliance Department to the address on page 1, which includes your name(s), account number(s), and a statement that you (both or all of you, if more than one) do not wish to be governed by the Arbitration Provision in your Account Agreement (the “Opt-Out Notice”).

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 William Blair Investment Management, LLC’s Compliance Department.

Compliance Department means the Firm’s Compliance Department.