Examples of StarCompliance Code of Ethics application in a sentence
Following each calendar quarter, the Legal and Compliance Department will forward (electronically via the StarCompliance Code of Ethics application) to each Employee, an individualized form containing all Securities transactions in the Employee’s Personal Accounts during the quarter based on information reported to AB by the Employee’s brokers.
Please note that this signoff is performed electronically through the StarCompliance Code of Ethics application.
New employees will receive an electronic request to perform this task via the StarCompliance Code of Ethics application.
On an annual basis, by a date to be specified by the Compliance Department (typically August 15th), each Employee who has reported managed accounts in the StarCompliance Code of Ethics application must provide to the Chief Compliance Officer, a signed and dated (or electronically certified via the StarCompliance application) certification.