Compliance Designee definition

Compliance Designee means a person designated and appointed by the Board of Managers of the Investment Adviser who is authorized and appointed by the Investment Adviser to perform, or procure the performance of, the various responsibilities assigned to such Compliance Designee by this Code.
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Compliance Designee means a person designated and appointed by the Board of Trustees of the Trust, the Fund or the Closed End Fund, as the case may be, who is authorized and appointed by the Trust, Fund or the Closed End Fund to perform, or procure the performance of, the various responsibilities assigned to such Compliance Designee by this Code.
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Compliance Designee means a person designated and appointed by RSMC to perform, or procure the performance of, the various responsibilities assigned to such Compliance Designee by this Code.
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Examples of Compliance Designee in a sentence

  • Approvals granted by the CCO or the Compliance Designee will be based in part on the Supervised Person’s ability to demonstrate that no current or potential conflict of interest will arise from engaging in the transaction.

  • Whether a Covered Account is considered a Third Party Manager Account rests in the discretion of the CCO or the Compliance Designee.

  • In the event that a Supervised Person holds securities in a company that has announced that it will engage in an IPO, the Supervised Person must bring the information about the impending IPO to the attention of the CCO or in his absence the Compliance Designee.

  • Quarterly reports must be submitted to the Compliance Designee no later than 30 days after the end of each calendar quarter.

  • If changes to these lists occur between updates to the Code, the Compliance Designee will communicate such changes in writing to all Supervised Persons.

  • The CCO or his Compliance Designee will maintain a dated list of all Supervised Persons.

  • The CCO or his Compliance Designee shall prepare a written report to the governing board of any investment company for which the Firm acts as adviser or sub-adviser (or as otherwise directed by the governing board’s representative) that shall include information about any material violations and sanctions imposed in response to those violations that occurred during the prior calendar year or other reporting period requested by the investment company.

  • The Compliance Designee shall notify each identified Access Person that he or she is subject to these reporting requirements and shall deliver a copy of the current Code of Ethics, and any subsequent amendments thereto, to each Access Person.

  • V.D Reporting Violations If a Supervised Person becomes aware of any violations of the Code, he or she shall promptly report the violation to the CCO or his Compliance Designee.

  • IV.B. Pre-Clearance Procedure A Supervised Person may acquire a direct or indirect beneficial ownership interest in Covered Securities only if the Supervised Person obtains the prior written, including via email, approval of the CCO or his Compliance Designee.

Related to Compliance Designee

  • Compliance Review means an inspection of the home, grounds, and files to determine compliance with these regulations.

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

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

  • 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.

  • 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

  • Reporting Servicer As defined in Section 11.13.

  • 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.

  • 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 notice means a notice served in accordance with regulation 21(2); “conformity assessment procedure” means any procedure referred to in regulation 6;

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

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

  • 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.

  • Covenant Compliance Worksheet means a fully completed worksheet in the form of Attachment A to Exhibit C.

  • NZOC Nomination and Selection Regulation means the regulation of NZOC relation to the nomination and selection Process for all Olympic and Commonwealth games, including the Games.

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

  • Reporting Subcontractor means with respect to any Person, any Subcontractor for such Person that is “participating in the servicing function” within the meaning of Item 1122 of Regulation AB. References to a Reporting Subcontractor shall refer only to the Subcontractor of such Person and shall not refer to Subcontractors generally.

  • 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 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.

  • Repeat compliance period means any subsequent compliance period after the initial compliance period.

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

  • 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 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.

  • Supplier Code of Conduct means the code of that name published by the Government Commercial Function originally dated September 2017, as may be amended, restated, updated, re-issued or re-named from time to time;

  • MI Reporting Template means the form of report set out in the Annex to Framework Schedule 8 (Management Information) setting out the information the Supplier is required to supply to the Authority;

  • StarCompliance Code of Ethics application means the web-based application used to electronically pre-clear personal securities transactions and file many of the reports required herein. The application can be accessed via the AB network at: https://alliance-ng.starcompliance.com/.