Compliance Team definition

Compliance Team means the Compliance Team of the Adviser, unless otherwise specified.
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Compliance Team means the CCO and any individual or third-party compliance consultant that the CCO has designated with responsibility for undertaking compliance related tasks under the Code.
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Compliance Team means the compliance team referred to under section 3; “COVID-19” means the novel coronavirus (2019-n CoV);
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Examples of Compliance Team in a sentence

  • If you are in any doubt about how they affect you, you must consult the Legal Department or the TRP International Compliance Team, as appropriate.

  • When the Firm submits an appeal, the Firm must include the original description in the “Description” section so that the Legal Billing Compliance Team can easily identify the line entry appealed.

  • However, if the Legal Billing Compliance Team is unable to locate the document based on the information provided, time may be reduced or disallowed on appeal.

  • Exceptions must be submitted to the Personal Trading Compliance Team and require the approval of both the Chief Compliance Officer and Chief Executive Officer.

  • You are urged to seek the advice of the Chief Compliance Officer TRPA, the Chairperson of the Ethics Committee (U.S.-based personnel), the TRP International Compliance Team (International personnel), or Code Compliance in Baltimore (all locations) when you have questions as to the application of this Statement to individual circumstances.


More Definitions of Compliance Team

Compliance Team means the CCO, the Compliance Manager, the Vice President of Compliance and Legal, and any designee of the CCO.
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Compliance Team is a sub team of the Management Team within the National Office. It is composed of the Assistant Chief Executive Officer (who focuses on youth work delivery and practices) and the Head of Finance (who focuses on governance and finance). They are supported by an administrative staff member.
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Compliance Team means the OrbiMed Legal and Compliance Team. __________________
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Compliance Team means Personnel appointed by appointed by the Compliance Officer to oversee and manage the Compliance Plan and its associated responsibilities.
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Compliance Team means the CCO, other compliance staff employed by the Firm, and any individual that the CCO has designated with responsibility for undertaking compliance related tasks under the Code.
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Compliance Team means those people who are known as the compliance staff and trained by the Arkansas Livestock and Poultry Commission.
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Compliance Team means the Chief Compliance Officer, or her designee.
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