Compliance Staff definition

Compliance Staff means those individuals listed in Appendix V with the ability to approve the pre-clearance of security transactions.
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Compliance Staff means a compliance team, consisting of one or more members, led by the CO.
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Compliance Staff means individuals employed or contracted by the Compliance Enforcement Authority who have the authority to make initial determinations of Registered Entities’ compliance with or violation of the Reliability Standards and associated Penalties and Mitigation Plans.
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Examples of Compliance Staff in a sentence

  • The Authority Project Manager and Contract Compliance Staff will monitor Contractor’s compliance with Section 3 Requirements.

  • The drafting team also works collaboratively with NPCC Compliance Staff to develop Reliability Standard Audit Worksheets (RSAWs) at the same time regional standards are developed.

  • NPCC Compliance Staff will initially review all submittals received to assure that the information forwarded is accurate and complete.

  • Except as set forth in Section 5.29 of the Schedules, no deposit of Highlands Bank is a “brokered” deposit (as such term is defined in 12 C.F.R. § 337.6(a)(2)) or is subject to any encumbrance, legal restraint or other legal process (other than garnishments, pledges, set off rights, escrow limitations and similar actions taken in the ordinary course of business).

  • Additionally, any ReliabilityFirst Compliance Staff member is available for questions regarding the use of this form.

  • You must also notify the Compliance Staff immediately if you have any reason to believe that a violation of the Policy Statement has occurred or is about to occur.

  • You should direct any questions relating to the Policy Statement to the firm’s Compliance Staff.

  • Total Points Possible: -20• Allocation and Compliance Staff maintain a list of all negative points.

  • The only changes from the currently effective NPCC RDA to the revised NPCC RDA are in Section 3.0 (Other Decision Making Bodies) of Exhibit D, where more flexible language is introduced that accommodates risk-based enforcement practices:NPCC Management, based on the review and recommendations of Compliance Staff, will be the sole decision making body to review and make final determinations on each potential noncompliance identified by any means.

  • The Drafting Team also works collaboratively with NPCC Compliance Staff to develop Reliability Standard Audit Worksheets (RSAWs) at the same time regional standards are developed.

Related to Compliance Staff

  • 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.

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

  • 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.

  • Chief Compliance Officer means the individual appointed by the Board as BSEF’s chief compliance officer in accordance with the Operating Agreement, with the duties and responsibilities as may be prescribed by the Board from time to time as set forth in Rule 208.

  • MEDICAL STAFF LEADER means any Medical Staff Officer, department chair, section chief, and committee chair.

  • Project Management Report means each report prepared in accordance with Section 4.02 of this Agreement;

  • Medical Staff means all physicians, dentists, oral surgeons, and podiatrists who have been appointed to the Medical Staff by the Board.

  • Compliance Costs means all expenses, commitments or obligations in excess of one million dollars ($1,000,000) incurred by Carrier or required to be incurred by Carrier to comply with a Change in Law, irrespective of whether such expenses, commitments or obligations are to be incurred as a one-time expenditure or periodically for an extended period.