Compliance Representative definition

Compliance Representative means the person(s) employed by Operator and designated by written agreement between Project Owner and Operator to act as the Designated Representative and the Responsible Official, and to make required submissions or compliance filings on behalf of the Project or Owner under applicable Environmental Law.
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Compliance Representative means a Poliwogg Adviser or Poliwogg BDC Employee or consultant engaged primarily in compliance–related matters or otherwise identified and designated by the CCO to perform compliance–related duties on behalf of the firm.
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Compliance Representative means a New Mountain Access Person or consultant engaged primarily in compliance-related matters or otherwise identified and designated by the CCO to perform compliance-related duties on behalf of the Firm.
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Examples of Compliance Representative in a sentence

  • Contractor shall communicate any request regarding non-U.S. access to State Records to the Security and Compliance Representative for the State.

  • Unless exempted by Section II.D, the following Securities Transactions are prohibited and will not be authorized by a Designated Compliance Representative absent exceptional circumstances.

  • In some cases, a Designated Compliance Representative may refuse to authorize a Securities Transaction for a reason that is confidential.

  • Contact Person: Compliance Representative - Tel: 000 000 0000 Fax: 000 000 0000.

  • After receiving a completed Trade Authorization Request form, a Designated Compliance Representative will (a) review the information set forth in the form, (b) review information regarding past, pending, and contemplated transactions by any Managed Account, as necessary, and (c) as soon as reasonably practicable, determine whether to authorize the proposed Securities Transaction.

  • Proposed Securities Transactions of a Designated Compliance Representative that require pre-clearance must be submitted to another Designated Compliance Representative.

  • Any other transaction deemed by the Designated Compliance Representative to involve a conflict of interest, possible diversions of corporate opportunity, or an appearance of impropriety.

  • Prior to entering an order for a Securities Transaction, the Access Person must complete a Trade Authorization Request form (Appendix 3) and submit the completed form to a Designated Compliance Representative.

  • CONSUMER FINANCING RECEIVABLES - NET (continued) Jangka waktu kontrak pembiayaan yang disalurkan oleh Perusahaan atas kendaraan bermotor berkisar antara 11 sampai dengan 36 bulan.The terms of consumer financing contracts for motor vehicles range from 11 to 36 months.

  • Any Securities Transaction (excluding open-end mutual funds; but not excluding advised or sub-advised funds) in which an Access Person has or acquires a Beneficial Interest must be pre-cleared with a Designated Compliance Representative.


More Definitions of Compliance Representative

Compliance Representative means a New Mountain Employee or consultant engaged primarily in compliance-related matters or otherwise identified and designated by the CCO to perform compliance-related duties on behalf of the Firm.J. “Disinterested Director” means a New Mountain BDC Director who is not an interested person of New Mountain BDC within the meaning of Section 2(a)(19) of the Company Act.K. “Exempt Security” is any security that falls into any of the following categories: (i) registered open-end mutual fund shares; (ii) security purchases or sales that are part of an automatic dividend reinvestment plan (e.g., DRIP accounts, etc.); (iii) College Direct Savings Plans (e.g., NY 529 College Savings Program, etc.); (iv) Open-end Unit Investment Trusts that hold securities in proportion to a broad based market index (e.g., QQQ, Spiders); (v) bankers acceptances, bank certificates of deposit or time deposits, commercial paper and other short term high quality debt instruments with one year or less to maturity; and (vi) treasury obligations (e.g., T-Bills, Notes and Bonds) or other securities issued/guaranteed by the U.S. Government, its agencies, or instrumentalities (e.g., FNMA, GNMA).L. “Family Member” means the spouse, child, parent, sibling or other relative (whether related by blood, marriage or otherwise) of an Employee, who either resides with, or is financially dependent upon the Employee, or whose investments are controlled by that person. The term also includes any unrelated individual whose investments are controlled and whose financial support is materially contributed to by the Employee, such as a domestic partner or spousal equivalent and any person considered a “significant other.”M. “Investment Committee” means the group or groups of Advisory Persons, as such committees may be established from time to time, who have primary responsibility and authority for making investment recommendations and decisions for New Mountain on behalf of an Advisory Client.N. “Investor Relations Representative” means a New Mountain Employee or consultant engaged primarily in investor relations matters or otherwise identified and designated by the CCO or Senior Management to perform investor relations-related duties on behalf of the Firm.O. “New Mountain BDC Director” means any person who serves as a director on the board of directors of New Mountain BDC, including Disinterested Directors.P. “New Mountain BDC Portfolio Security” means, with respect to a New Mountain BDC Director, any Se...
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Compliance Representative means an OFS Adviser Employee or consultant engaged primarily in compliance-related matters or otherwise identified and designated by the CCO to perform compliance-related duties on behalf of the Firm.
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Compliance Representative means an employee of ECC‐VAU with substantive knowledge and experience, at a reasonably senior level, of FIPPA and its requirements, policy, procedures and regulations.
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Related to Compliance Representative

  • Workplace Representative means a person: (i) who is an Employee; (ii) chosen and appointed by an individual Employee or a number of Employees to represent them in relation to the terms of this Agreement; and (iii) who acts on the instructions of the Employee or Employees that appointed the Workplace Representative.

  • Disclosure Representative means the Finance Director, or his or her designee, or such other person as the Issuer shall designate in writing to the Disclosure Dissemination Agent from time to time as the person responsible for providing Information to the Disclosure Dissemination Agent.

  • Licensee representative means an owner, director, officer, manager, employee, agent, or other representative of a licensee, to the extent that the person acts in a representative capacity.

  • Procurement Representative means the person authorized by ULA’s cognizant procurement organization to administer and/or execute this Contract.

  • Customer Service Representative (or "CSR") shall mean any person employed with or under contract or subcontract to a Cable Operator to assist, or provide service to, customers, whether by telephone, writing service or installation orders, answering customers' questions in person, receiving and processing payments, or performing any other customer service-related tasks.

  • Corporate Representative means an Individual authorised by resolution of the directors or other governing body of a body corporate to represent it;

  • Estate Representative means an executor, an administrator, an administrator with the will annexed, a liquidator, or an estate trustee with a will or without a will, whether one or more than one is so appointed;

  • Management Representative means an individual designated to hear grievances on behalf of the University.

  • Independent representative means a person who:

  • Licensing representative means a person authorized by the Department under Section 5 of the Child Care Act of 1969 to examine facilities for licensure.

  • Department Representative means an individual who represents the Department and presents the Department’s position in a hearing.

  • Exclusive representative means the labor organization that, as a result of certification by

  • Resident Representative means (if any) the individual (or, if permitted in accordance with the Companies Acts, the company) appointed to perform the duties of resident representative set out in the Companies Acts and includes any assistant or deputy Resident Representative appointed by the Board to perform any of the duties of the Resident Representative;

  • public representative means an individual who is not a member, former member, student or former student of any accounting body;

  • Engineer’s Representative means the official in the civil/ electrical engineering department who is authorized to be in-charge of the work to which these presents relate. It shall include any other official nominated to attend to the supervision of day to day execution of the work to which this CONTRACT relates.

  • Project Representative means the individual(s), including but not limited to the Resident Engineer, to whom the Authority Representative has delegated Project responsibilities. If a Project Representative is appointed, the Project Representative represents the Authority Representative on the Project within the limits of that delegation with respect to any part of the Work.

  • authorized LEA representative means a LEA administrator designated to be responsible for NPS/A. It is understood, a representative of the Special Education Plan Local Area (SELPA) of which the LEA is a member is an authorized LEA representative in collaboration with the LEA. The LEA maintains sole responsibility for the contract, unless otherwise specified in the contract.

  • Industry representative means an individual who is compensated by

  • Employee Representative means the authorized representative of employees at a site where there is a recognized labor organization representing employees.

  • Authorized Company Representative means each person at the time designated to act on behalf of the Company by written certificate furnished to the Authority and the Trustee containing the specimen signature of such person and signed on behalf of the Company by its President, any Vice President or its Treasurer, together with its Secretary or any Assistant Secretary.

  • Representative means with respect to a particular Person, any director, officer, manager, employee, agent, consultant, advisor, accountant, financial advisor, legal counsel or other representative of that Person.

  • Principal’s Representative means the person nominated by the Principal or other person from time to time appointed in writing by the Principal to act as the Principal’s Representative for the purposes of the Contract.

  • Advisory Representative means any Supervised Person, who in connection with his or her regular functions or duties, normally makes, participates in, or otherwise obtains current information regarding the Purchase or Sale of a Security by the Firm, or whose functions relate to the making of any recommendations with respect to such purchases or sales, and any natural Person in a Control relationship to the Firm who obtains information concerning recommendations made concerning a Purchase or Sale of a Security. This definition includes but is not limited to the following: partner, officer, Manager, investment person, Portfolio Manager and any other Supervised Person of the Firm designated as an “Advisory Representative” from time to time by the Review Officer.

  • Agency Representative A person assigned by a primary, assisting, or cooperating federal, state, local, or tribal government agency or private entity that has been delegated authority to make decisions affecting that agency’s or organization’s participation in incident management activities following appropriate consultation with the leadership of that agency. Area: The lands in a described geographic area that are managed and/or protected by the Parties within this Agreement.

  • Company Representative means the person or persons appointed and approved in writing from time to time by the Company to act on its behalf for overall co- ordination.

  • LOCKHEED XXXXXX Procurement Representative means a person authorized by LOCKHEED XXXXXX'x cognizant procurement organization to administer and/or execute this Contract.