COMPLIANCE SUPERVISOR definition

COMPLIANCE SUPERVISOR means any officer or employee of the Trust designated to receive and review reports of purchases and sales by access persons.
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COMPLIANCE SUPERVISOR means the Chief Compliance Officer or persons under her authority of the Adviser.
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COMPLIANCE SUPERVISOR means the Chief Compliance Officer or persons under his authority of the Adviser or affiliate.
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Examples of COMPLIANCE SUPERVISOR in a sentence

  • The Contract Compliance supervisor shall report the audit(s) in the Contract Compliance monthly report.

  • The booking and transportation to jail of subjects from qualifying arrests should be completed by the arresting SDTI Code Compliance supervisor through the Watch Commander’s Office.

  • If they are going to potentially work for an elevated Compliance supervisor, this tendency can cause conflict because an elevated C manager prefers a significant degree of structure and order.

  • In addition to the changes described above – namely, the generation of weekly reports; the addition of the Code Compliance supervisor; the improved relations with elevator maintenance companies; and the enhancement of the citation program – he also reported that the Section had adopted the two-stop exemption, thereby allowing 25% of the county’s elevators to be eligible for exemption from Section-conducted annual inspections.

  • The PBES Code Compliance supervisor will assign the complaint to a Compliance Officer.

  • Any relevant paperwork (Impound Report) should be attached and forwarded to the Wrecker Compliance supervisor for action.

  • Firstly, the player and the club in that case were both Russian and there was no international dimension.

  • For purposes of this section: (1) "Compliance supervisor" of a broker-dealer means every individual who has responsibility of ensuring that reported agents comply with the Corporate Securities Law of 1968 and the rules thereunder.(2) "Reported agent" means every agent employed by a broker-dealer and whose employment has been reported in accordance with Section 260.210 of these rules.Note: Authority cited: Sections 25217(a) and 25610, Corporations Code.

  • If a Code Compliance Officer needs to use force for self-defense (i.e., either physically or by visually displaying pepper spray or other equipment), then such action shall be reported immediately (as soon as it is safe) to law enforcement and the Code Compliance supervisor.

  • The identification of laws, rules and regulations at Agromentoria is done by the direct Compliance supervisor together with the management.


More Definitions of COMPLIANCE SUPERVISOR

COMPLIANCE SUPERVISOR means any officer or employee of the Adviser or affiliate designated to receive and review reports of purchases and sales by access persons.
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COMPLIANCE SUPERVISOR of a broker-dealer means every individual who has responsibility of ensuring that reported agents comply with the Corporate Securities Law of 1968 and the rules thereunder.
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COMPLIANCE SUPERVISOR means any officer or Employee of the Adviser designated as its Chief Compliance Officer.
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COMPLIANCE SUPERVISOR means the Chief Compliance Officer or a principal of the Canaccord Adams Inc. Compliance Department.
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COMPLIANCE SUPERVISOR means the Chief Compliance Officer of the Adviser (the “CCO”) or any officer or Employee of the Adviser designated to receive and review reports of purchases and sales by Access Persons; provided, that when used with respect to transactions or reports of the CCO, “Compliance Supervisor” means the President of the Adviser or such other person designated to receive and review reports of purchases and sales by the CCO.
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COMPLIANCE SUPERVISOR means the Chief Compliance Officer or person(s) under the Chief Compliance Officer's authority.
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Related to COMPLIANCE SUPERVISOR

  • Compliance Review means an inspection of the home, grounds, and files to determine compliance with these regulations.

  • Clinical supervisor means an individual who provides clinical supervision.

  • Compliance Audit means the procedure (in a form advised by the GLA from time to time) by which an auditor independent of the Grant Recipient certifies (at the Grant Recipient's cost) whether the Named Projects developed or Rehabilitated pursuant to this Agreement satisfy the GLA's procedural compliance requirements (as described in the Affordable Housing Capital Funding Guide);

  • Maintenance Supervisor (Tradesperson) means an employee who has trade qualifications and has overall responsibility for maintenance at the place of employment and may be required to supervise other maintenance staff.

  • Compliance Committee means the committee referenced under the Federated Code of Business Conduct and Ethics, consisting of, among others, the Chief Compliance Officer, the General Counsel, the Chief Audit Executive and the Chief Risk Officer.

  • Compliance Statement is that certain statement in the form attached hereto as Exhibit B.

  • Compliance Order means an order issued by the Code Enforcement Officer pursuant to subdivision (a) of section 15 of this local law.

  • Compliance Program means the program established by CNYCC to prevent, detect, and address compliance issues that arise with respect to PPS operations, projects or activities.

  • 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.

  • Designated supervisor means the supervisor designated by the Superintendent of Schools or designee as the administrator’s supervisor.

  • Safety compliance facility means a licensee that is a commercial entity that receives marihuana from a marihuana facility or registered primary caregiver, tests it for contaminants and for tetrahydrocannabinol and other cannabinoids, returns the test results, and may return the marihuana to the marihuana facility.

  • Public safety officer means a member serving a public

  • Compliance year means the calendar year beginning with June 1 and ending with May 31 of the following year, for which a Retail Electricity Supplier must demonstrate that it has met the requirements of this Regulation.

  • Department compliance officer means an individual who is:

  • Group-wide supervisor means the commissioner or other regulatory official designated as the group-wide supervisor for an internationally active insurance group under Section 31A-16-108.6.

  • Site Supervisor means a Site employee, member, or volunteer, who is responsible for monitoring and supervising the Student throughout the Program.

  • Clinical supervision means direction or oversight provided either face to face or by videoconference or telephone by an individual qualified to evaluate, guide, and direct all behavioral health services provided by a licensee to assist the licensee to develop and improve the necessary knowledge, skills, techniques, and abilities to allow the licensee to engage in the practice of behavioral health ethically, safely, and competently.

  • Repeat compliance period means any subsequent compliance period after the initial compliance period.

  • Direct supervision means oversight at a distance within which:

  • Compliance schedule means a schedule of events, by date, which will result in compliance with these regulations.

  • Approved abuse education training program means a training program using a curriculum approved by the abuse education review panel of the department of public health or a training program offered by a hospital, a professional organization for physicians, or the department of human services, the department of education, an area education agency, a school district, the Iowa law enforcement academy, an Iowa college or university, or a similar state agency.

  • major non-compliance outcome notification means a notification received by a council under section 19N(3) or (4) of the Food Act 1984, or advice given to council by an authorized officer under that Act, of a deficiency that does not pose an immediate serious threat to public health but may do so if no remedial action is taken

  • Compliance Report means, as applicable in relation to the test being conducted, a report containing the results of the Compliance Tests carried out by State Street.

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

  • Maintenance Supervisor (Otherwise) means an employee who is required to perform maintenance duties as required and who may be required to supervise other maintenance staff and has overall responsibility for maintenance at the place of employment.

  • Compliance cycle means the nine-year calendar year cycle during which public water systems shall monitor. Each compliance cycle consists of three three-year compliance periods. The first calendar year cycle began January 1, 1993 and ends December 31, 2001; the second begins January 1, 2002 and ends December 31, 2010; the third begins