Director of Compliance definition

Director of Compliance means the Director of Compliance of NERC or of the Compliance Enforcement Authority, as applicable, or other individual designated by the Compliance Enforcement Authority who is responsible for the management and supervision of Compliance Staff, or his or her designee.
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Director of Compliance means the person designated by Jundt from time to time to fulfill the role of Compliance Director under this Code of Ethics.
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Director of Compliance means the Chief Compliance Officer of Huntington Asset Advisors, Inc.
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Examples of Director of Compliance in a sentence

  • Any exceptions to this Code must have the prior written approval of both the relevant CIO and the Regional Director of Compliance or designee.

  • Access persons must report violations of the Code promptly to the Director of Compliance or CCO of the affiliated entity (if applicable).

  • Violations will be reviewed and sanctions determined by the General Counsel of Nuveen, the Director of Compliance, the CCO of the affiliated entity (if applicable), or their designee(s).

  • Violations by such persons will be reviewed and sanctions determined by the General Counsel of Nuveen Investments, the Director of Compliance and the Chief Compliance Officer of the applicable Nuveen Subsidiary, or their designee(s).

  • All questions regarding Nuveen’s policies and procedures to prevent insider trading should be referred the Director of Compliance or CCO of the affiliated entity (if applicable).


More Definitions of Director of Compliance

Director of Compliance means the Investment Advisory – Chief Compliance Officer or, in his/her absence, an alternative Director of Compliance, or their respective successors in such positions.
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Director of Compliance means the Director of Compliance of NERC who is responsible for the management and supervision of the Compliance Staff, or his or her designee.
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Director of Compliance means the director of the Compliance Department of the Trust Division of The Huntington National Bank.
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Director of Compliance means Kimberley A. Scott.
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Director of Compliance means the director of the Compliance Department of Huntington Asset Advisors, Inc.
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Director of Compliance means Denise C. Peters or, in his/her absence, an alternative Director of Compliance, or their respective successors in such positions.
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Director of Compliance means the Director of Compliance of NERC or of the CEA, as applicable, or other individual designated by the CEA, who is responsible for the management and supervision of Compliance Staff, or his or her designee.
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