Compliance Policies. THL Advisors has adopted and implemented written policies and procedures pursuant to Rule 206(4)-7 under the Advisers Act reasonably designed to prevent violation of the Advisers Act by THL Advisors.
Compliance Policies. TCP has adopted and implemented written policies and procedures pursuant to Rule 206(4)-7 under the Advisers Act reasonably designed to prevent violation of the Advisers Act by TCP.
Compliance Policies. The University will provide PSU-AAUP with HIPAA policies 24 developed pursuant to 1.1 of the PSU HIPAA Compliance policy. The University, through Research and 25 Graduate Studies, will Provide PSU- AAUP with copies of all subsequent changes made to HIPAA 26 policies pursuant to paragraph 1.1 of the Policy within 30 days of the change. 27 29 Article 7. CONSULTATION
Compliance Policies. The Adviser has adopted and implemented written policies and procedures pursuant to Rule 206(4)-7 under the Advisers Act reasonably designed to prevent violation of the Advisers Act by the Adviser.
Compliance Policies. Each Borrower has implemented and maintains in effect corporate policies reasonably designed to promote compliance by such Borrower, its Subsidiaries and their respective employees with Anti-Corruption Laws applicable to such Borrower and with applicable Sanctions applicable to such Borrower.
Compliance Policies. The Broker-Dealer Subsidiaries have, and at all times since January 1, 2014 have had, in place, to the extent required by Applicable Law, processes to establish, maintain, review, test and modify written compliance and supervisory policies and procedures reasonably designed to achieve compliance with all Applicable Laws, including the rules and regulations of the SEC and FINRA and other Governmental Authority.
Compliance Policies. Issuer and each of its Subsidiaries shall maintain compliance policies, procedures, and systems of internal controls as required by and in any event adequate to ensure compliance with all applicable Anti-Terrorism Laws and Anti-Corruption Laws.
Compliance Policies. Gxxxxxxx Capital Advisers has adopted and implemented written policies and procedures pursuant to Rule 206(4)-7 under the Advisers Act reasonably designed to prevent violation of the Advisers Act by Gxxxxxxx Capital Advisers.
Compliance Policies. Main Street has adopted and implemented written policies and procedures reasonably designed to prevent violation of the Advisers Act by Main Street and its “supervised persons” (as such term is defined in Section 202(a)(25) of the Advisers Act), including the Sub-Adviser, its employees and persons acting on its behalf in accordance with Rule 206(4)-7 of the Advisers Act. Main Street has provided the BDC, and shall provide the BDC at such times in the future as the BDC shall reasonably request, with a copy of such policies and procedures.
Compliance Policies. The Company shall have adopted a set of compliance policies and procedures in the form of Exhibit G.
