Compliance Officer and Compliance Committee; Sample Clauses

Compliance Officer and Compliance Committee; b. submitting to OIG a description of the documents and other materials it reviewed, as well as any additional steps taken, such as the engagement of an independent advisor or other third party resources, in its oversight of the compliance program and in support of making the resolution below during each Reporting Period; and
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Compliance Officer and Compliance Committee;. It also includes a Code of Conduct, written policies and procedures, educational and training initiatives, a disclosure program, a risk management assessment system, and internal auditing procedures. Essilor shall continue the Compliance Program throughout the term of the CIA and shall do so in accordance with the terms set forth below. Essilor may modify the Compliance Program, as appropriate. However, at a minimum, Essilor shall ensure that during the term of this CIA, it shall maintain a compliance program to comply with the obligations set forth in this CIA. Essilor of America, Inc. and Essilor Laboratories of America, Inc. Corporate Integrity Agreement
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Compliance Officer and Compliance Committee; 
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Related to Compliance Officer and Compliance Committee;

  • Compliance Committee (1) Within thirty (30) days of the date of this Agreement, the Board shall appoint a Compliance Committee of at least three (3) directors, of which no more than one (1) shall be an employee or controlling shareholder of the Bank or any of its affiliates (as the term “affiliate” is defined in 12 U.S.C. § 371c(b)(1)), or a family member of any such person. Upon appointment, the names of the members of the Compliance Committee and, in the event of a change of the membership, the name of any new member shall be submitted in writing to the Assistant Deputy Comptroller. The Compliance Committee shall be responsible for monitoring and coordinating the Bank's adherence to the provisions of this Agreement.

  • Compliance Matters (a) The Sub-Adviser understands and agrees that it is a “service provider” to the Trust as contemplated by Rule 38a-1 under the 1940 Act. As such, the Sub-Adviser agrees to cooperate fully with the Adviser and the Trust and its Trustees and officers, including the Fund’s CCO, with respect to (i) any and all compliance-related matters, and (ii) the Trust’s efforts to assure that each of its service providers adopts and maintains policies and procedures that are reasonably designed to prevent violation of the “federal securities laws” (as that term is defined by Rule 38a-1) by the Trust, the Adviser and the Sub-Adviser. In this regard, the Sub-Adviser shall:

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