Compliance Procedures definition

Compliance Procedures means the procedures set down in chapter 8 of the Rules of the London Stock Exchange Derivatives Market.
Sample 1Sample 2Sample 3
Compliance Procedures means the memorandum or other writing delivered by the Borrowers to the Agent setting forth the Borrowers' compliance procedures and intended plan of action for the ongoing investigation and diligence of Money Laundering Activities and Racketeering Activities with respect to the Assets.
Sample 1Sample 2Sample 3
Compliance Procedures means the Procedures and Operational Mechanisms to Promote Compliance and Address Issues of Non-Compliance, contained in the Annex to Resolution 2/2011 of the Governing Body, and any amendment thereto as may be adopted by the Governing Body;
Sample 1Sample 2Sample 3

Examples of Compliance Procedures in a sentence

  • In addition to such notice, the Advisor shall provide to the Sub-Advisor a copy of a modified Prospectus and copies of the revised Trust Compliance Procedures, as applicable, reflecting such changes.

  • The Sub-Advisor shall cooperate fully with the Trust CCO so as to facilitate the Trust CCO’s performance of the Trust CCO’s responsibilities under Rule 38a-1 to review, evaluate and report to the Trust’s Board of Trustees on the operation of the Sub-Advisor Compliance Procedures, and shall promptly report to the Trust CCO any Material Compliance Matter arising under the Sub-Advisor Compliance Procedures involving the Sub-Advisor Assets.

  • The Sub-Advisor shall promptly provide the Trust CCO with copies of: (i) the Sub-Advisor’s policies and procedures for compliance by the Sub-Advisor with the Federal Securities Laws (together, the “Sub-Advisor Compliance Procedures”), and (ii) any material changes to the Sub-Advisor Compliance Procedures.

  • The Sub-Advisor shall provide to the Trust CCO: (i) quarterly reports confirming the Sub-Advisor’s compliance with the Sub-Advisor Compliance Procedures in managing the Sub-Advisor Assets, and (ii) certifications that there were no Material Compliance Matters involving the Sub-Advisor that arose under the Sub-Advisor Compliance Procedures that affected the Sub-Advisor Assets.

  • At least annually, the Sub-Adviser shall provide a certification to the Trust CCO to the effect that the Sub-Adviser has in place and has implemented policies and procedures that are reasonably designed to ensure compliance by the Sub-Adviser with any applicable Federal Securities Laws, subject to such interpretations as may be contained in the Trust Compliance Procedures.


More Definitions of Compliance Procedures

Compliance Procedures means the procedures set down in chapter 8 of CurveGlobal Markets Rules;
Sample 1Sample 2Sample 3
Compliance Procedures means the procedures implemented by Pembina to assist Responsible Parties in complying with the Standards of Conduct;
Sample 1Sample 2Sample 3
Compliance Procedures means this Tax and Securities Compliance Procedures.
Sample 1Sample 2Sample 3
Compliance Procedures means the compliance arrangements and procedures required to be established and maintained by each licensed person in accordance with Part IV;
Sample 1Sample 2
Compliance Procedures means the standard, internal operating procedures and compliance policies established by ATVCI to implement the Compliance Plan.
Sample 1Sample 2
Compliance Procedures has the meaning given at Clause 5.2.
Sample 1
Compliance Procedures has the meaning given in Section 4.3.1.
Sample 1