Compliance Vendor definition

Compliance Vendor means Financial Tracking, LLC (or such other third party compliance vendor) from whom DDJ licenses certain hosted software that enables DDJ, via a web-based platform, to automate certain of the compliance rules set forth within this Code of Ethics, including those regarding preclearance of personal trades and receipt of gifts.
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Compliance Vendor means Compliance Science, Inc. (or such others third party compliance vendor) from whom Polen Credit licenses certain hosted software that enables Polen Credit, via a web-based platform, to automate certain of the compliance rules set forth within this Code of Ethics, including those regarding preclearance of personal trades and receipt of gifts.
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Examples of Compliance Vendor in a sentence

  • Compliance: Vendor warrants that both in submission of its proposal and performance of any resultant purchase order or contract, Vendor will comply with all applicable Federal, state, and local laws, regulations, rules, and/or ordinances.

  • For Covered Accounts held at one of the designated brokers, Manning & Napier will instruct the designated broker to add the Covered Account(s) to its electronic feed that transmits transaction detail directly to its Compliance Vendor used for personal securities monitoring.

  • Employees are required to certify, through the Compliance Vendor, to all transactions during the preceding quarter within 30 calendar days after the end of each calendar quarter.

  • Such electronic feed will provide the Compliance Vendor with a record of each personal Securities transaction by DDJ Employees, thereby enabling the Chief Compliance Officer to verify compliance with the DDJ procedure with respect to personal trading set forth herein.

  • Alternatively, Employees who do not have an automatic forward of statements to the Compliance Vendor, must ensure that hard copy duplicate trade confirmations sent to Compliance are accurately listed on the Compliance Vendor in order to complete the quarterly transaction report.

  • FERPA Electronically Stored Data Compliance: Vendor is expressly prohibited from selling or trading any education records or personally identifiable information acquired under the Agreement.

  • If an Employee maintains an account at a brokerage firm that does not provide transaction and holdings information to the Compliance Vendor electronically or is otherwise not on an approved list of brokers maintained by the Chief Compliance Officer, DDJ, in its sole discretion, may require the Employee to close such brokerage account, and transfer any Securities held therein to an account established at one of the approved brokers as designated by the Chief Compliance Officer (or otherwise liquidate).

  • In order to verify that an electronic feed to the Compliance Vendor (or other manual reporting process) is established for all employee brokerage accounts, each Employee, upon commencement of employment with DDJ, is required to complete and submit to the Chief Compliance Officer a Brokerage Account Form, the form of which is attached hereto as Exhibit C.

  • Transaction history generated through direct electronic data feeds from the Compliance Vendor, brokerage confirmations, monthly statements, and/or other information regarding personal securities transactions and personal account holdings of Employees will be reviewed by DDJ on a quarterly basis (or more frequently if warranted by the Chief Compliance Officer) in order to monitor compliance with this Code of Ethics.

  • Thereafter, on an annual basis prior to the annual certification of holdings, such holdings will be populated automatically into the compliance portal through an electronic feed established between the Employee’s broker(s) and the Compliance Vendor.

Related to Compliance Vendor

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

  • Compliance Date means, in each case, the date by which compliance is required under the referenced provision of ARRA’s or HIPAA’s implementing regulations, as applicable.

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

  • Trading Compliance Policy means the written policy of the Company pertaining to the purchase, sale, transfer or other disposition of the Company’s equity securities by Directors, Officers, Employees or other service providers who may possess material, nonpublic information regarding the Company or its securities.

  • 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);

  • 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 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.

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

  • 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.

  • Covenant Compliance Worksheet means a fully completed worksheet in the form of Attachment A to Exhibit C.

  • 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.

  • Covenant Compliance Event means that Excess Availability at any time is less than the greater of (a) ten (10%) percent of the Line Cap or (b) $7,000,000. For purposes hereof, the occurrence of a Covenant Compliance Event shall be deemed continuing until Excess Availability has exceeded the amounts set forth above for thirty (30) consecutive days, in which case a Covenant Compliance Event shall no longer be deemed to be continuing for purposes of this Agreement. The termination of a Covenant Compliance Event as provided herein shall in no way limit, waive or delay the occurrence of a subsequent Covenant Compliance Event in the event that the conditions set forth in this definition again arise.

  • Document of Compliance has the meaning given to it in the ISM Code.

  • Compliance Period means a period of time that the Development shall conform to all set-aside requirements as described further in the rule chapter and agreed to by the Applicant in the Application.

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

  • Compliance agreement means a written agreement between a person and the Commissioner to achieve compliance with this quarantine.

  • Material Compliance Matter has the same meaning as the term defined in Rule 38a-1, and includes any compliance matter that involves: (1) a violation of the federal securities laws by Distributor (or its officers, directors, employees, or agents); (2) a violation of Distributor's Rule 38a-1 policies and procedures; or (3) a weakness in the design or implementation of Distributor's Rule 38a-1 policies and procedures.

  • 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.

  • Non-Compliance means failure/refusal to comply the terms and conditions of the tender;

  • Environmental Compliance Reserve means any reserve which the Agent establishes in its reasonable discretion after prior written notice to the Borrower from time to time for amounts that are reasonably likely to be expended by the Borrower in order for the Borrower and its operations and property (a) to comply with any notice from a Governmental Authority asserting material non-compliance with Environmental Laws, or (b) to correct any such material non-compliance identified in a report delivered to the Agent and the Lenders pursuant to Section 7.7.