Compliance Officers means two officers of the Adviser who are not parties to the transaction or related by blood or marriage to a party to the transaction and specifically include, the Chief Investment Officer of the Adviser, the Chief Compliance Officer of the Adviser; and any Director of the Adviser.

Compliance Officers means the ASB Compliance Officer, the HECO Compliance Officer and/or HEI Compliance Officer.

Compliance Officers as defined in Section 8.3.

Examples of Compliance Officers in a sentence

The Manager and the Board of Trustees may from time to time agree that the expense of certain officers of the Trust who may also be employees of the Manager, including without limitation the Chief Compliance Officer of the Trust and any Assistant Chief Compliance Officers, will be borne in part by the Trust and in part by the Manager or entirely by the Trust.
Further, all students, and their parents/guardians, and employees are notified annually of the names and contact information of the Compliance Officers.
The complaint should be filed with either the building principal or one of the Compliance Officers designated in this policy.
Preclearance Compliance Officers may maintain a list (the "Restricted List") of companies whose securities employees in their line of business or firm are restricted from trading for various reasons.
Each employee/access must provide the Designated Legal and Compliance Officers with a list of their brokerage accounts (or other accounts that hold securities).

More Definitions of Compliance Officers

Compliance Officers means the persons employed as the Trial-Level Compliance Officer and the Juvenile Justice Compliance Officer by La. R.S. 15:157 and 15:158, respectively.

Compliance Officers means the chief legal officer and chief compliance officer of a Party and each of its Affiliates or, if those positions do not exist, such other persons who are responsible for compliance matters with respect to such Party and each of its Affiliates.

Compliance Officers means an officer in Hilliard’s Compliance Department, the Chief Investment Officer of Hilliard Lyons Asset Management, or the Director of Hilliard Lyons Asset Management or such as other person as those individuals may delegate.

Compliance Officers has the meaning set forth in Section 9.4.1 (Establishment of Compliance Program).

Compliance Officers means the persons employed as the Trial-Level Compliance Officer and the Juvenile Justice Compliance Officer or their designee.

Compliance Officers means the company secretary or any other officer designated by the Board of Directors of the company for the purpose of this code.

Compliance Officers means a person or persons, independent of the financial reporting function, designated by the Committee to assist the Committee in addressing complaints in a manner consistent with these procedures and the role of the Committee. Unless otherwise designated by the Committee, the Compliance Officer(s) shall consist of a management member from Human Resources, a management member from Uxbridge Cottage Hospital and a management member from Risk.