Legal Compliance Officer definition

Legal Compliance Officer means Andrew Fishman or his successor appointed by the Boards. In the absence of any such designation, the Legal Compliance Officer shall be the President of the Trust and the Company.
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Legal Compliance Officer means one or more persons designated by the Fund to perform the functions described herein.
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Legal Compliance Officer means the Chief Compliance Officer appointed by the Adviser.
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Examples of Legal Compliance Officer in a sentence

  • All requests for preclearance must be submitted to the Legal Compliance Officer.

  • The Legal Compliance Officer is responsible for monitoring compliance with this Policy and shall be available to applicants, residents, participants, and staff for discussing issues and questions regarding the interpretation or implementation of this Policy.

  • The Legal Compliance Officer may permit exceptions to this prohibition in writing on a case by case basis when no abuse is involved and the circumstances of the subject trade supports an exemption.

  • The Legal Compliance Officer is required to retain a record of the approval of, and the rationale supporting, any direct or indirect acquisition by Investment Personnel of a beneficial interest in securities in a private offering.

  • The Legal Compliance Officer is required to retain a record of the approval of, and the rationale supporting, any direct or indirect acquisition by Investment Personnel of a beneficial interest in securities in an IPO.

  • A pending buy or sell order exists when a decision to purchase or sell a Covered Security has been made and communicated to the Legal Compliance Officer.

  • Investment Personnel may not acquire, directly or indirectly, any beneficial ownership in any securities in an initial public offering without prior approval in writing from the Legal Compliance Officer or other person designated by the Board of Directors.

  • The Legal Compliance Officer shall report any such violations to the Boards in accordance with the provisions of this Code as if the report of the violation(s) had been made under this Code.

  • Any express prior written approval received from the Legal Compliance Officer shall be valid only on the day on which it was issued.

  • If additional information or documentation is required, the Legal Compliance Officer will notify the requester in writing.


More Definitions of Legal Compliance Officer

Legal Compliance Officer means the Legal Compliance Officer designated by the Fund, the Adviser or MWC. The Legal Compliance Officer shall be Robert P. Morse or in his absence or where he has a conflict, Laurence R. Golding or Michael R. Linburn.
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Legal Compliance Officer means Lester Nelson or his successor appointed by the Board of Directors.
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Legal Compliance Officer means Jay Bachstein or his successor appointed by the Board of Directors.
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Legal Compliance Officer means Giovanni A. Urena or her successor appointed by the Board of Directors.
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Legal Compliance Officer means Jonathan Derby or his successor appointed by the Board of Directors.
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Related to Legal Compliance Officer

  • 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.

  • 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.

  • LEGAL COMPLIANCE This Agreement and any transaction with, or payment to, you pursuant to the terms hereof is conditioned on your representation to us that, as of the date of this Agreement you are, and at all times during its effectiveness you will be, a bank as defined in Section 3(a)(6) of the Securities Exchange Act of 1934 (or other financial institution) and not otherwise required to register as a broker or dealer under such Act. You agree to notify us promptly in writing if this representation ceases to be true. You also agree that, regardless of whether you are a member of the NASD, you will comply with the rules of the NASD, including, in particular, Sections 2310, IM 2310-2, and 2830 of the NASD Conduct Rules, and that you will maintain adequate records with respect to your customers and their transactions, and that such transactions will be without recourse against you by your customers. We recognize that, in addition to applicable provisions of state and federal securities laws, you may be subject to the provisions of the Xxxxx-Xxxxxxxx Act and other laws governing, among other things, the conduct of activities by federal and state chartered and supervised financial institutions and their affiliated organizations. As such, you may be restricted in the activities that you may undertake and for which you may be paid, and, therefore, we recognize that you will not perform activities that are inconsistent with your statutory and regulatory obligations. Because you will be the only one having a direct relationship with the customer, you will be responsible in that relationship for insuring compliance with all laws and regulations, including those of all applicable federal and state regulatory authorities and bodies having jurisdiction over you or your customers to the extent applicable to securities purchases hereunder.

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

  • 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.

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

  • 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.

  • 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.

  • Substantial compliance means a level of compliance with these rules where any deficiencies pose no greater risk to resident health or safety than the potential for causing minor harm.

  • Monitoring Officer means the officer designated under Section 5(1) of the 1989 Act.

  • Assessing Officer means an officer of a State Government or Board or licensee, as the case may be, designated as such by the State Government;

  • Compliance Audit means the procedure (in a form advised by the GLA from time to time) by which an auditor independent of the Grant Recipient certifies (at the Grant Recipient's cost) whether the Named Projects developed or Rehabilitated pursuant to this Agreement satisfy the GLA's procedural compliance requirements (as described in the Affordable Housing Capital Funding Guide);

  • Compliance Review means an inspection of the home, grounds, and files to determine compliance with these regulations.

  • Certified peace officer means a peace officer certified by the

  • major non-compliance outcome notification means a notification received by a council under section 19N(3) or (4) of the Food Act 1984, or advice given to council by an authorized officer under that Act, of a deficiency that does not pose an immediate serious threat to public health but may do so if no remedial action is taken

  • Project Officer means a person identified by the accounting officer or accounting authority of an institution, who is capable of managing and is appropriately qualified to manage a PPP to which that institution is party from its inception to its expiry or termination;

  • Development Officer means the Development Officer appointed by the Council of the Municipality.

  • Privacy Officer means the person responsible for privacy within the NSO;

  • Chief Inspector means Her Majesty's Chief Inspector of Education, Children's Services and Skills or his successor;

  • Compliance Committee means the committee referenced under the Federated Code of Business Conduct and Ethics, consisting of, among others, the Chief Compliance Officer, the General Counsel, the Chief Audit Executive and the Chief Risk Officer.

  • Code of Ethics Contact Person means the Chief Compliance Officer or such person or persons as may be from time to time designated.

  • Supervising Officer means the supervising officer of the Ministry;

  • Repeat compliance period means any subsequent compliance period after the initial compliance period.

  • Peace officer means a law enforcement official of a public agency or governmental unit, and includes persons specifically given peace officer powers by any state law, local ordinance, or judicial order of appointment.

  • Competent Officer means any officer authorized by the Corporation to act on behalf of the Corporation under this Contract.

  • Investigating Officer means the person appointed by the Monitoring Officer to undertake a formal investigation of a complaint alleging a breach of the Code of Conduct by a Subject Member. The Investigating Officer may be another senior officer of the District Council, an officer of another authority or an external investigator.