Examples of Notification Procedure in a sentence
This “restricted list” will be available to the CCO (and his designees) which he conducts investigations or reviews related to the Prior Notification Procedure and Clearance described previously in Section III.D.1 or the Post-Trade Monitoring and Investigations process described below in Section V.B.3. B.
This “restricted list” will be available to the Chief Compliance Officer (and his designees) when he conducts investigations or reviews related to the Prior Notification Procedure and Clearance described previously in Section II.D.1 or the Post-Trade Monitoring and Investigations process described below in Section V.B.3.
This "restricted list" will be available to the Compliance Officer when he or she conducts investigations or reviews related to the Prior Notification Procedure described previously in Section II(D)(1) or the Post-Trade Monitoring process described below in Section V(B)(3).
This "restricted list" will be available to the Chief Compliance Officer (and his designees) which he conducts investigations or reviews related to the Prior Notification Procedure and Clearance described previously in Section III.D.1 or the Post-Trade Monitoring and Investigations process described below in Section V.B.3.
Prior Notification Procedure Prior notification must be given by completing and submitting to the Compliance Officer a copy of the prior notification form attached hereto as Appendix VII.
This “restricted list” will be available to the Chief Compliance Officer (and his designees) which he conducts investigations or reviews related to the Prior Notification Procedure and Clearance described previously in Section III.D.1 or the Post-Trade Monitoring and Investigations process described below in Section V.B.3.
This “restricted list” will be available to the CCO (and his designees) when he conducts investigations or reviews related to the Prior Notification Procedure and Clearance described previously in Section III.D.1 or the Post-Trade Monitoring and Investigations process described below in Section V.B.3. B.
This “restricted list” will be available to the Chief Compliance Officer (and his designees) when he conducts investigations or reviews related to the Prior Notification Procedure and Clearance described previously in Section III.D.1 or the Post-Trade Monitoring and Investigations process described below in Section V.B.3. B.
Rule 17j-1(a)(10) defines a “security held or to be acquired” by a registered investment company as including any security which, within the most recent 15 days, “is being or has been considered by such company or its investment adviser for purchase by such company.” available to the Compliance Officer when he or she conducts investigations or reviews related to the Prior Notification Procedure described previously in Section II(D)(1) or the Post-Trade Monitoring process described below in Section V(B)(3).
The Supplier completes the SCR Form and sends it electronically to the ABG personnel specified in the Change Notification Procedure (Buyer, Procurement Manager & Supplier Quality Manager).