Fund Chief Compliance Officer definition

Fund Chief Compliance Officer means the Chief Compliance Officer of the Fund who has been appointed pursuant to Rule 38a-1 under the 1940 Act.
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Fund Chief Compliance Officer. (“CCO”) Services
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Fund Chief Compliance Officer means the Code of Ethics Compliance Officer of the Fund with respect to Trustees and officers of the Fund covered by this Code.
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Examples of Fund Chief Compliance Officer in a sentence

  • The report also must state the date on which you submit it to the Fund Chief Compliance Officer.

  • However, if you knew or, in the ordinary course of fulfilling your official duties as a trustee, should have known that during the fifteen (15) day period immediately before or after your transaction in a Security, the Fund purchased or sold the Security, or the Fund or its investment adviser considered purchasing or selling the Security, you must file a quarterly transaction report with the Fund Chief Compliance Officer within thirty (30) calendar days after the end of such calendar quarter.

  • If you are in this category, the Fund Chief Compliance Officer (or his designee) will notify you and assist you in filing these Forms.

  • Baird’s Investment Advisory and Mutual Fund Chief Compliance Officer shall review this Code of Ethics annually and evaluate its effectiveness.

  • In such an event, the Fund Chief Compliance Officer shall review the Code and propose such changes to the Code as are necessary or appropriate to prevent reoccurrences.

  • The JB Fund Chief Compliance Officer shall prepare an annual report for the Board of each JB Fund on behalf of JBIM and any sub-adviser.

  • Any violation of this Code must be reported promptly to John Blue, the Fund Chief Compliance Officer (“CCO”).

  • When you access these third party sites, you do so at your own risk.

  • The JB Fund Chief Compliance Officer shall prepare an annual report for the Board of each JB Fund on behalf of Artio and any sub-adviser.

  • Please consult the Fund Chief Compliance Officer to verify that this policy has not been updated or otherwise changed.


More Definitions of Fund Chief Compliance Officer

Fund Chief Compliance Officer means the Chief Compliance Officer of the Fund who has been appointed pursuant to Rule 38a-1 under the Act. Ryan Del Giudice has been designated as the Fund Chief Compliance Officer.
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Fund Chief Compliance Officer means the Chief Compliance Officer of the Fund who has been appointed pursuant to Rule38a-1 under the Act.
Sample 1Sample 2

Related to Fund Chief Compliance Officer

  • 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 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.

  • Agency Chief Contracting Officer or “ACCO” shall mean the position delegated authority by the Agency Head to organize and supervise the procurement activity of subordinate Agency staff in conjunction with the City Chief Procurement Officer.

  • Chief Probation Officer (i.e., CUSPO) means the individual appointed by the United States District Court to supervise the work of the court’s probation staff. For the purpose of the contract, the “Chief Probation Officer” acts as the contract administrator on behalf of the Director of the Administrative Office of the United States Courts.

  • Chief Administrative Officer or “CAO” means the administrative head of a municipality as appointed by Council under clause 86(2)(c) of the Municipal Government Act.

  • Finance Officer means the Comptroller of the City or her authorized agent.

  • Chief Administrative Officer (CAO means the person appointed to the position of chief administrative officer for the Town of Okotoks within the meaning of the Municipal Government Act;

  • Chief Investor Relations Officer means such senior officer of the Company appointed by the Board of directors to deal with dissemination of information and disclosure of UPSI in a fair and unbiased manner.

  • Preclearance Officer means the person designated as the Preclearance Officer in Appendix 2 hereof.

  • Chief Operating Officer means the Chief Operating Officer of the Corporation.

  • Vigilance and Ethics Officer means an officer appointed to receive protected disclosures from whistle blowers, maintaining records thereof, placing the same before the Audit Committee for its disposal and informing the Whistle Blower the result thereof.

  • Chief Executive Officer (CEO means an officer of the Company as defined in Section 2(18) of the Act;

  • Chief Finance Officer means the officer having responsibility for the purposes of section 151 of the Local Government Act 1972 (financial administration) for the administration of the local authority’s financial affairs.

  • Chief Pretrial Services Officer (i.e., CPSO) means the individual appointed by the court to supervise the work of the court’s pretrial services staff. For the purpose of the contract, the “Chief Probation Officer” acts as the contract administrator on behalf of the Director of the Administrative Office of the United States Courts.

  • Reporting Officer With respect to the Owner Trustee, any officer, employee or other person within the Corporate Trust Office of the Owner Trustee having responsibility for the administration of the Trust Agreement.

  • Chief information officer or "CIO" means the Chief Information Officer appointed pursuant to

  • Chief Fire Officer means the chief fire officer appointed by the municipality in terms of section 5 of the Fire Brigade Services Act and includes any person appointed as acting chief fire officer;

  • Chief Student Services Officer means the Administrative Officer at the College who has overall management responsibility for student services, or his/her designee.

  • Chief means Chief Agri/Industrial, a division of Chief Industries, Inc.

  • CFO means an individual who acted as chief financial officer of the Company, or acted in a similar capacity, for any part of the most recently completed financial year;

  • Executive Officer means, with respect to any corporation, the Chief Executive Officer, Chief Operating Officer, Chief Financial Officer, President, Executive Vice President, any Vice President, the Secretary or the Treasurer of such corporation; and with respect to any partnership, any general partner thereof.

  • Chief Procurement Officer or "CPO" means the chief procurement officer of the City of Chicago or his or her designee.

  • Chief Executive Officer means the single office or official of the Recipient designated in Appendix B pursuant to Section VI hereof, or his authorized designee as per written notification to the Director.

  • Clearance Officer, W CAR:MP:FP:S, Xxxxxxxxxx, XX 00000. Comments on the collection of information should be received by September 17, 2002. Comments are specifically requested concerning: Whether the collection of information is necessary for the proper performance of the functions of the Internal Revenue Service, including whether the information will have practical utility; The accuracy of the estimated burden associated with the collection of information (see below); How the quality, utility, and clarity of the information to be collected may be enhanced; How the burden of complying with the collection of information may be minimized, including through the application of automated collection techniques or other forms of information technology; and Estimates of capital or start-up costs and costs of operation, maintenance, and purchase of service to provide information. An agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a valid control number assigned by the Office of Management and Budget. The estimated total annual reporting burden is 470 hours, based on an estimated number of respondents of 470 and an estimated average annual burden hours per respondent of one hour. Books or records relating to a collection of information must be retained as long as their contents may become material in the administration of any internal revenue law. Generally, tax returns and tax return information are confidential, as required by 26 U.S.C. 6103.

  • Chief Medical Officer means the chief medical officer under

  • Administrative Officer means anyone designated at the college as being on the administrative staff, such as the President, Chief Academic Officer, Chief Student Services Officer, etc.