Ethics violation definition
Examples of Ethics violation in a sentence
Upon the report of the Sub-Adviser that there has been a material Code of Ethics violation that relates to or concerns the Fund or anyone involved in the provision of services to the Fund, and upon the reasonable written request of the Corporation’s or the Adviser’s Chief Compliance Officer, the Sub-Adviser shall permit such Compliance Officer to examine information and records that relate to such violation.
Seattle shall refer to Kirkland those complaints it receives which Seattle has determined do not warrant further investigation as a Code of Ethics violation but which may need other action by Kirkland.
Upon a determination that an Ethics Charge Statement is appropriate, the ERC, or designee will issue a formal Ethics Complaint Notice identifying each Code of Ethics violation alleged and the supporting factual basis for each complaint.
If, in the view of the Supervisor, the failure of the regular employee to meet standards is of significant consequence and needs immediate action (Examples: Creates an untenable working environment, severely affects working processes, involves a Company policy, safety or Code of Ethics violation, etc.), the Supervisor may choose to use a disciplinary process for the regular employee; in accordance with Article 20 of this Agreement; rather than work through a Performance Development Plan.
A Decision and Order will be prepared by the ERC with the assistance of Credentialing Staff after the closing of the record, which will include: a summary of the case, including the positions of the parties; a summary of all relevant factual findings based on the record of the hearing; a final ruling on each Code of Ethics violation charged; and, a statement of any disciplinary action(s) and other directives issued by the Committee.