Designated Compliance Officer definition

Designated Compliance Officer means the Executive Officer of the Air Resources Board or a designee of the Executive Officer.
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Designated Compliance Officer means the Executive Officer of the Air Resources Board or his or her delegate.
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Designated Compliance Officer means the Compliance Officer appointed by the Board of Directors for the purpose of compliance of policies, procedures, maintenance of records, monitoring adherence to the Regulation, 2015 as amended from time to time, under the overall supervision of the SEBI.
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Examples of Designated Compliance Officer in a sentence

  • The President of the Adviser shall assume the above reporting and pre-clearance activities and act as compliance officer for transactions of the Designated Compliance Officer.

  • The Designated Compliance Officer is charged with the responsibility for ensuring that all Advisory Persons adhere to the requirements of this Code of Ethics, as amended from time to time.This Code of Ethics is not intended to cover all possible areas of potential liability under the Advisers Act or the 1940 Act or under the federal securities law in general.

  • A copy of this Code of Ethics (and any amendments adopted from time to time) shall be circulated to each Advisory Person by the designated compliance officer of the Adviser listed on Exhibit A (the “Designated Compliance Officer”), together with an acknowledgment of receipt, which shall be signed and returned to the Designated Compliance Officer by each Advisory Person.

  • To obtain approval, sub- mit your request to the Designated Compliance Officer.

  • Send the Designated Compliance Officer a writ- ten request for an exemption before you are in violation.

  • If a Person receives any gift that might be prohibited under this Code, that person promptly must inform the Designated Compliance Officer.

  • No employee shall participate in an investment partnership without first being approved by the Designated Compliance Officer.

  • All Access Persons and all employees of Principal Management are required to promptly report any violation of the Code to the Designated Compliance Officer.

  • Send the Designated Compliance Officer a written request for an exemp- tion before you are in violation.

  • Each of these reports shall be made via an electronic reporting system made available to Access Persons for this purpose, or by other means with permission from the Designated Compliance Officer.


More Definitions of Designated Compliance Officer

Designated Compliance Officer means the Compliance Officer appointed by the Board of Directors for the purpose of compliance of policies, procedures, maintenance of records, monitoring adherence to the rules for preservation of unpublished price sensitive information, monitoring of trades and the implementation of this Code as well as the provisions of SEBI (Prohibition of Insider Trading) Regulation, 2015 as amended from time to time, under the overall supervision of the SEBI
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Related to Designated Compliance Officer

  • 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.

  • 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.

  • 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);

  • Peace officer means a law enforcement official of a public agency or governmental unit, and includes persons specifically given peace officer powers by any state law, local ordinance, or judicial order of appointment.

  • Supervising Officer means the supervising officer of the Ministry;

  • Police officer means every officer authorized to direct or regulate traffic, or to make arrests for violations of traffic regulations.

  • Data Controller shall have the same meaning as set out in the Data Protection Act 1998;