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Global Chief Compliance Officer definition

Global Chief Compliance Officer means the Global Chief Compliance Officer of Cohen & Steers Capital Management, Inc.
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Examples of Global Chief Compliance Officer in a sentence

  • The Ethics Office administers this Code in coordination with SSgA’s Global Chief Compliance Officer, and should be contacted if you have any questions concerning the meaning or interpretation of any provision of this Code.

  • The Ethics Office administers this Code in coordination with SSGA’s Global Chief Compliance Officer, and should be contacted if you have any questions concerning the meaning or interpretation of any provision of this Code.

  • The SSgA Compliance Department, under the direction of SSgA’s Global Chief Compliance Officer, administers this Code and should be contacted if you have any questions concerning the meaning or interpretation of any provision of this Code.

  • When exceptions are granted the Global Chief Compliance Officer (or their designee) shall make a record and explain in writing the reasons and parameters of such exceptions.

  • A report submitted through the PineBridge Speak Up Program will be reviewed by the Firm’s Global Chief Compliance Officer (“CCO”).

  • ADMINISTRATION AND SANCTIONS The Global Chief Compliance Officer (or their designee) shall have the authority to interpret the Code and grant exceptions to the Code when appropriate, such as a hardship or exigent circumstances that warrant an exception.

  • The Global Chief Compliance Officer (or their designee) shall maintain a system for the regular review of all reports of personal securities transactions and holdings filed under this Code.

  • Upon discovering a violation of this Code, the Global Chief Compliance Officer of the Advisers shall impose such sanctions as determined appropriate.

  • However, in the case of Office Space (Section 2.C.), the PGIM Global Chief Compliance Officer is authorized to approve exceptions where the space in question involves two or more PGIM businesses and does not involve any non-PGIM businesses, with the exception of any non-PGIM associates who serve in a supporting function to these PGIM businesses (i.e., Global Technology, Communications, Finance, etc).

  • In the event the reported event involves the Global Chief Compliance Officer, the report should be made directly to the Virtus’ Chief Legal Officer.

Related to Global 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.

  • 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 xxxxxxx.

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