Examples of Ethics violation in a sentence
A record of any Code of Ethics violation and of any sanctions taken will be preserved in an easily accessible place for a period of at least five years following the end of the fiscal year in which the violation occurred.
If the Review Officer determines that a violation has occurred, or believes that a Code of Ethics violation may have occurred, the Review Officer must submit a written report regarding the possible violation, together with any confirmations, account statements or other reports and any additional explanatory material provided by the Access Person, to the Access Person’s primary supervisor, and legal counsel for the Adviser, who shall make an independent determination as to whether a violation has occurred.
Failure to complete an assigned training course by the scheduled due date may result in a Code of Ethics violation.
If it is deemed that a Code of Ethics violation is significant in nature (e.g. evidence of intent; client materially affected; trend of repeated violations etc.), it may be escalated within Baillie Gifford to be assessed further by senior members of the HR, Compliance and Business Risk departments.
If certificants are aware of any Code of Ethics violation by a fellow certificant, they are responsible for informing the certificant of the violation.
When evaluating the appropriate disciplinary action for a Code of Ethics violation, if any, relevant facts and circumstances are considered, including, but not limited to, the frequency of occurrence and length of time since any previous violation by the individual employee.
An exception would apply if a Code of Ethics violation by the seller was attributed to the transaction by the buyer.
Nominee must not have been found guilty of a Code of Ethics violation with SVAR, or other REALTOR® Association that agent has or had an affiliation with, and in addition any violation with DPOR/Fair Housing, as they will immediately be ineligible to receive an award for the present year of conviction and the year following.
Unless the context requires otherwise, the term “Lenders” includes the Swing Loan Lender.
We have a very dedicated workforce that has seen us through a period of major change and restructuring and we thank them for all their hard work.