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

• Institutional Relations Area expenses budget for the period is pro-rated Compliance Compliance Department Each sector comprising the Management is weighted.

• If to the Representative: Loop Capital Markets LLC 400 Xxxxx Xxxxxxxxx Xxxxx, Xxxxx 0000 Chicago, Illinois 60605 Attn: Compliance Department Fax No: 300.000.0000 Email: cxxxxxxxxx@xxxxxxxxxxx.xxx With a copy (which shall not constitute notice) to: Bxxxxxxxxx PLLC 1000 Xxxxxxxxxxx Xxx, XX, Xxxxx 000 Washington, DC 20036 Attention: Lxxxx X.

• Client understands that Client is under an obligation to notify AS’s Compliance Department immediately in writing as to any agreement of this type.

• Client agrees to indemnify and hold AS harmless from all damages or liability resulting from Client’s failure to notify AS’s Compliance Department within one (1) business day of any of the occurrences referred to herein.

• If you are a Covered Employee, you may contact the Compliance & Ethics Helpline at any time to seek an interpretive review from the Ethics Office of Xxxxxxx Xxx's Compliance Department, which shall determine whether the Additional Cooling Off Period described above shall apply to a particular position and employer you are considering.

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.