Compliance Officer definition

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compliance of policies, procedures, maintenance of records, monitoring adherence to the rules for the preservation of unpublished price sensitive information, monitoring of trades and the implementation of the codes specified in these regulations under the overall supervision of the Board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.

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Compliance Officer means the Company Secretary of the Company.

Compliance Officer means the person or persons (including his or her designees) designated by the Manager, the Adviser/Subadviser, or Principal Underwriter, respectively, as having responsibility for compliance with the requirements of the Code.

Examples of Compliance Officer in a sentence

• The Sub-Adviser shall also complete questionnaires, requests for information and due diligence meetings at the request of the Adviser’s Chief Compliance Officer.

• Notwithstanding the foregoing, you are not obligated to pay the compensation or expenses of the Trust’s Chief Compliance Officer, regardless of whether the Chief Compliance Officer is affiliated with you.

• Assist the Fund’s Chief Compliance Officer with matters regarding the Fund’s compliance program (as approved by the Board in accordance with Rule 38a-1 under the 1940 Act) as reasonably requested; nn.

• Notwithstanding the foregoing, the Trust shall be able to terminate the Trust’s Chief Compliance Officer (“CCO”) or CCO services at its discretion and at any time upon written notice to SS&C.

• Provide compliance services, as directed by the Investment Company’s Chief Compliance Officer, which include monitoring the Investment Company’s compliance with its policies and procedures, and with applicable federal, state and foreign securities laws, the rules and regulations thereunder, and the rules of the Exchanges, as applicable.

More Definitions of Compliance Officer

Compliance Officer means Company Secretary of the Company.

Compliance Officer means the Chief Compliance Officer of the Adviser and the Trust and the persons designated in Appendix 2, as such Appendix shall be amended from time to time.

Compliance Officer means an employee of the company who is designated as Compliance Officer for the purpose of SEBI Master Circular no. CIR/MRD/DSA/SE/43/2010 dated December 31, 2010 and SEBI (Prohibition of Insider Trading) Regulations, 2015, and who shall mean any senior officer, designated so and reporting to the board of directors or head of the organization in case board is not there, who is financially literate and is capable of appreciating requirements for legal and regulatory compliance under these regulations 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 listed company or the head of an organization, as the case may be.

Compliance Officer means the Company Secretary of the Company, who shall be responsible for compliance of policies, procedures, maintenance of records, monitoring adherence to the rules for the preservation of UPSI, monitoring of trades and implementation of the code under overall the overall supervision of the Board.

Compliance Officer means a compliance safety and health officer employed by Iowa OSHA Enforcement.

Compliance Officer the person(s) appointed by the Supplier who is responsible for ensuring that the Supplier complies with its legal obligations;

Compliance Officer means any person designated so, who is capable of appreciating requirements for regulatory compliance under these regulations, by a service provider;