Online Compliance Dashboard definition

Online Compliance Dashboard means any online compliance platform or software program used by Compliance to facilitate monitoring of Rafferty’s compliance program, including reporting required under this Code.

Examples of Online Compliance Dashboard in a sentence

  • Access Persons or any member of their Immediate Family that desire to purchase or sell Securities that (1) are not Exempt Transactions, but (2) are Acceptable Instruments (as defined below), in accounts over which they have Beneficial Ownership must receive written preclearance from Compliance via the Online Compliance Dashboard.

  • Unless excepted by Section IV.B. above, Access Persons and their Immediate Family must authorize access to their personal trading account transactions and holdings information via the Online Compliance Dashboard.

  • Unless excepted pursuant to Section IV.B. above, Access Persons must submit an annual holdings and accounts report via the Online Compliance Dashboard listing all securities accounts and Securities in which the Access Person or a member of his or her Immediate Family has a Beneficial Interest.

  • In addition, on an annual basis, all Access Persons will be required to re-certify (via the Online Compliance Dashboard) that they have read and understood the Code, complied with the requirements of the Code, and reported all Securities Transactions to the extent required by the Code.

  • Notwithstanding the foregoing, any proposed changes to an Automatic Investment Plan by an Access Person or a member of his or her Immediate Family must be precleared by Compliance through the Online Compliance Dashboard or using the form provided by Compliance.

  • Such reports shall be submitted (preferably) via the Online Compliance Dashboard or (alternatively) using the form provided by Compliance.

  • Every new Access Person (and his or her Immediate Family) who has a personal trading account must submit an report through the Online Compliance Dashboard to Compliance within 10 days of the Access Person’s employment start date.

  • All Access Persons and newly-hired Access Persons shall certify that they have received, read and understood the Code by providing a certification of compliance with the Code via the Online Compliance Dashboard.

  • Access Persons must submit periodic reports about their Securities holdings, Securities Transactions and accounts (including accounts over which they have Beneficial Ownership and accounts of their Immediate Family) to Compliance, via the Online Compliance Dashboard.

  • If an Access Person is not able to arrange for electronic delivery of personal trading account information or to provide duplicate confirmations and periodic statements to be sent that contain the information required above, the Access Person must submit a quarterly transaction report within 30 days after the end of each calendar quarter to the CCO via the Online Compliance Dashboard.

Related to Online Compliance Dashboard

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

  • Trading Compliance Policy means the written policy of the Company pertaining to the purchase, sale, transfer or other disposition of the Company’s equity securities by Directors, Officers, Employees or other service providers who may possess material, nonpublic information regarding the Company or its securities.

  • Year 2000 Compliance has the meaning set forth in section 17.29 of the Management Agreement.

  • Web Site Accessibility Standards/Specifications means standards contained in Title 1 Texas Administrative Code Chapter 206.

  • Compliance Date means, in each case, the date by which compliance is required under the referenced provision of ARRA’s or HIPAA’s implementing regulations, as applicable.

  • Compliance Program means the program established by CNYCC to prevent, detect, and address compliance issues that arise with respect to PPS operations, projects or activities.

  • Web Site Accessibility Standards/Specifications means standards contained in Title 1 Texas Administrative Code Chapter 206.

  • Distribution Compliance Period with respect to any Notes, means the period of 40 consecutive days beginning on and including the later of (i) the day on which such Notes are first offered to Persons other than distributors (as defined in Regulation S under the Securities Act) in reliance on Regulation S and (ii) the issue date with respect to such Notes.

  • Compliance schedule means a schedule of events, by date, which will result in compliance with these regulations.

  • Database Management System (DBMS) A system of manual procedures and computer programs used to create, store and update the data required to provide Selective Routing and/or Automatic Location Identification for 911 systems. Day: A calendar day unless otherwise specified. Dedicated Transport: UNE transmission path between one of CenturyLink’s Wire Centers or switches and another of CenturyLink’s Wire Centers or switches within the same LATA and State that are dedicated to a particular customer or carrier. Default: A Party’s violation of any material term or condition of the Agreement, or refusal or failure in any material respect to properly perform its obligations under this Agreement, including the failure to make any undisputed payment when due. A Party shall also be deemed in Default upon such Party’s insolvency or the initiation of bankruptcy or receivership proceedings by or against the Party or the failure to obtain or maintain any certification(s) or authorization(s) from the Commission which are necessary or appropriate for a Party to exchange traffic or order any service, facility or arrangement under this Agreement, or notice from the Party that it has ceased doing business in this State or receipt of publicly available information that signifies the Party is no longer doing business in this State.

  • StarCompliance Code of Ethics application means the web-based application used to electronically pre-clear personal securities transactions and file many of the reports required herein. The application can be accessed via the AB network at: https://alliance-ng.starcompliance.com/.

  • Compliance Department means the Chief Compliance Officer of Federated and those other individuals designated by him or her as responsible for implementing this Code and the Associated Procedures.

  • Compliance Report means, as applicable in relation to the test being conducted, a report containing the results of the Compliance Tests carried out by State Street.

  • Utilization review means the prospective (prior to), concurrent (during) or retrospective (after) review of any service to determine whether such service was properly authorized, constitutes a medically necessary service for purposes of benefit payment, and is a covered healthcare service under this plan. WE, US, and OUR means Blue Cross & Blue Shield of Rhode Island. WE, US, or OUR will have the same meaning whether italicized or not. YOU and YOUR means the subscriber or member enrolled for coverage under this agreement. YOU and YOUR will have the same meaning whether italicized or not.

  • Compliance year means the calendar year beginning with June 1 and ending with May 31 of the following year, for which a Retail Electricity Supplier must demonstrate that it has met the requirements of this Regulation.

  • Managed care plan means a health benefit plan that either requires a covered person to use, or creates incentives, including financial incentives, for a covered person to use health care providers managed, owned, under contract with or employed by the health carrier.

  • Accessibility Standards means accessibility standards and specifications for Texas agency and institution of higher education websites and EIR set forth in 1 TAC Chapter 206 and/or Chapter 213.

  • 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 Plan means the compliance obligations, program, and procedures described in this Consent Decree at paragraph 13.

  • Network Availability means the capability of the equipment to resume functions after a remotely initiated trigger has been detected by a network port;