Compliance Procedures. The Adviser will, in accordance with Rule 206(4)-7 of the Advisers Act, adopt and implement written policies and procedures reasonably designed to prevent violations of the Advisers Act and will provide the Trust with copies of such written policies and procedures upon request.
Compliance Procedures. The Advisor will, in accordance with Rule 206(4)-7 of the Investment Advisers Act of 1940, adopt and implement written policies and procedures reasonably designed to prevent violations of the Investment Advisers Act of 1940 and will provide the Trust with copies of such written policies and procedures upon request.
Compliance Procedures. The Transfer Advisory Committee (TAC) is charged with ensuring compliance of institutional policies and practices regarding the CAA. To that end, a TAC Review Team, comprised of one UNC representative and one community college representative, will survey and review the institutional transfer credit policies and procedures of two UNC institutions per quarter. The TAC will report the findings to UNC-General Administration and the North Carolina Community College System Office.
Compliance Procedures. The Sub-Adviser has adopted and implemented written policies and procedures, as required by Rule 206(4)-7 under the Adviser’s Act (“Rule 206(4)-7”), which are reasonable designed to prevent violations of Federal securities laws by the Sub-Adviser, its employees, officers and Agents (“Compliance Procedures”). The Adviser and the Company’s Chief Compliance Officer have been provided with a summary of the Compliance Procedures for approval by the Board and will be provided with any future amendments thereto. The Sub-Adviser will provide the Adviser with an annual certification from the Sub-Adviser’s Chief Compliance Officer, appointed under Rule 206(4)-7, with respect to the design and operation of the Sub-Adviser’s compliance program, in a format reasonably requested by the Adviser.
Compliance Procedures. The Sub-Advisor will, in accordance with Rule 206(4)-7 of the Investment Advisers Act of 1940, adopt and implement written policies and procedures reasonably designed to prevent violations of the Investment Advisers Act of 1940 and will provide the Trust with copies of such written policies and procedures upon request.
Compliance Procedures. Broker agrees to supervise compliance with Applicable Law. Broker shall review transactions and accounts to assure compliance with prohibitions against manipulative practices and xxxxxxx xxxxxxx and other requirements of federal and state law and applicable regulatory and self-regulatory rules and regulations to which Broker or its customer are subject. Without limiting the above, Broker shall be responsible for compliance with the supervisory requirements in Section 15(b)(4) of the Securities Exchange Act of 1934, as amended, NASD Rule 3010, NYSE Rules 342, 351 and 431, and similar rules adopted by any other regulatory or self-regulatory agency or organization, to the extent applicable.
Compliance Procedures. 1. comScore’s Chief Financial Officer shall serve as Compliance Officer with regard to this Policy. The role of the Compliance Officer is to provide guidance to employees and ensure compliance with this policy.
Compliance Procedures. The Early Childhood Education Birth to Kindergarten Transfer Committee (ECEBKTC) is charged with ensuring compliance of institutional policies and practices regarding the ECAA. To that end, an ECEBKTC Review Team, comprised of one UNC representative and one community college representative, will survey and review the institutional transfer credit policies and procedures of two UNC institutions per quarter. The ECEBKTC will report the findings to UNC-General Administration and the North Carolina Community College System Office.
Compliance Procedures. GEC agrees to advise any Parties to whom Participating Manufacturer’s Confidential Information is disclosed of their obligations hereunder and to ensure compliance by such Parties with the terms hereof.
Compliance Procedures. Broker agrees to supervise compliance with the Rules. Broker shall review transactions and accounts to assure compliance with prohibitions against manipulative practices and xxxxxxx xxxxxxx and other requirements of federal and state law and applicable regulatory and self-regulatory rules and regulations to which Broker or its customer are subject. Without limiting the above, Broker shall be responsible for compliance with the supervisory requirements in Section 15(b)(4) of the Securities Exchange Act of 1934, as amended, NASD Rule 3010, NYSE Rules 342, 351 and 431, and similar rules adopted by any other regulatory or self-regulatory agency or organization, to the extent applicable.
