Local Compliance Officer definition

Local Compliance Officer or "LCO" means the applicable designee of the Company's Chief Compliance Officer "CCO".
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Local Compliance Officer means any officer appointed by the Company Compliance Officer to ensure compliance with the Code and Procedures by an Adviser or the principal underwriter.
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Local Compliance Officer or “LCO” shall mean the Compliance Officer of the Company, if appointed, committed to ensuring that the compliance policies (including the Policy) are consistently complied with throughout the Company.
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Examples of Local Compliance Officer in a sentence

  • For securities held outside of an account (such as those held directly with an issuer or maintained in paper certificate form), Monitored Employees must comply with the company’s request to confirm transactions and holdings.January 15, 2019 Page 7I-A-045: Personal Securities Trading PolicyNon-U.S.-based Monitored Employees are required to enter their trade into the PTA System within 10 days of the transaction and provide account statements to their designated Local Compliance Officer.

  • Employees shall promptly notify the Chief Compliance Officer (“CCO”) or Local Compliance Officer (“LCO”) of any violation potential violation of the Code.

  • The Company Compliance Officer or Local Compliance Officer, as the case may be, shall maintain such reports and such other records as are required by Rule 17j-1.

  • Employees shall promptly notify the Chief Compliance Officer (“CCO”) or Local Compliance Officer (“LCO”) of any violation or potential violation of the Code.

  • The Company Compliance Officer or the Local Compliance Officer, as the case may be, shall maintain a record as required by Rule 17j-1 of all requests for approval to acquire beneficial ownership of any security in an Initial Public Offering or a Limited Offering, the disposition of any such request, and, if applicable, the basis for approving the request.

  • Reports shall be delivered to the Company Compliance Officer or Local Compliance Officer, as the case may be, not later than ten (10) days after the end of the calendar quarter in which a transaction to which the report relates was effected.

  • The Local Compliance Officer must ensure that any notifications required to be made to relevant regulators are processed.

  • The Company Compliance Officer and the Local Compliance Officer must maintain all records (including information provided on Exhibits A and/or B attached to the Procedures) relating to compliance with the Code, such as exception reports, other internal memoranda relating to non-compliant transactions and preclearance records, for a period of seven years.

  • Employees shall promptly notify the Chief Compliance Officer (“CCO”) or Local Compliance Officer (“LCO”) of any violation or potential violation of the Code.Notwithstanding the foregoing, nothing in this Code, or any other Company policy, guideline or agreement, prohibits or restricts an Employee from initiating communications directly with, or responding to any inquiry from, any regulatory or supervisory authority regarding any good faith concerns about possible violations of law or regulation.

  • If there is an overlap, the Local Compliance Officer will designate the appropriate Designated Supervisory Person.


More Definitions of Local Compliance Officer

Local Compliance Officer or “LCO” shall mean any Compliance Officer at various local levels.
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Local Compliance Officer means the local compliance officer as defined in the NIM Procedures Manual. "Global Compliance Officer" means the global compliance officer as defined in the NIM Procedures Manual.
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Local Compliance Officer means the Compliance Officer of the Member of the Group, appointed by Top Management of the respective Member of the Group, committed to ensuring that the compliance policies (including this Policy) are consistently complied with throughout the activities of the respective Member of the Group.
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Local Compliance Officer means the Compliance Officer of each office/branch of Tricor Malaysia
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Local Compliance Officer means the Compliance Officer for the relevant Business Unit, and, in relation to any required review or approval, any other person designated under written Business Unit policies to receive requests for such a review or approval;
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Related to Local 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.

  • Department compliance officer means an individual who is:

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

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

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

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

  • 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.

  • Document of Compliance has the meaning given to it in the ISM Code.

  • 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);

  • Contact Officer means the person identified as Contact Officer on the cover page of this RFT;

  • 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

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

  • 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.

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

  • 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;

  • 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.

  • TO Procurement Officer meansTO Procurement Officer. The Agency may change the TO Procurement Officer at any time by written notice to the TO Contractor.

  • Certified peace officer means a peace officer certified by the

  • Campus police officer means a school security officer designated by the board of education of any school district pursuant to K.S.A. 72-6146, and amendments thereto.

  • Procurement Officer means the Buyer's contracting personnel, as identified in the Introductory Materials.

  • 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;

  • Statement of Compliance means the statement forming part of a Tender indicating the Bidders compliance with the Specification.