Compliance Department definition

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 Department means all SEF Officials and/or agents of BSEF (including the Regulatory Services Provider) that assist BSEF with the implementation, surveillance and enforcement of the BSEF Rules and other Obligations.

Compliance Department means the Compliance Department of Grantham, Mayo, Van Otterloo & Co. LLC. Communications required under this Code to be directed to the Compliance Department should in the first instance be directed to the CCO.

Examples of Compliance Department in a sentence

• Any questions regarding this requirement should be directed to the Division of Wage and Hour Compliance, Department of Labor and Workforce Development at (609) 292-9464.

• Legal and Compliance Department (click link) reviews the quality and completeness of our Client file.

• Any complaint about any aspect of the service received should be made to The Compliance Department, Walker Crips Stockbrokers Ltd, Finsbury Tower, 103–105 Bunhill Row, London EC1Y 8LZ, United Kingdom 020 3100 8880.

• Legal and Compliance Department reviews the quality and completeness of our Client file.

• An Appeals Panel shall be comprised of three individuals, none of whom shall be a member of the Compliance Department or have been a member of any Disciplinary Panel involved in the matters on appeal.

More Definitions of Compliance Department

Compliance Department means the Legal and Compliance Department of Legg Mason.

Compliance Department means the Deutsche Asset Management Compliance Department.

Compliance Department means the designated persons listed on Appendix 2, as such Appendix shall be amended from time to time.

Compliance Department means the Company's compliance department located in Fort Lauderdale, Florida or its successor.

Compliance Department means TIM’s compliance department.

Compliance Department means the Firm’s Compliance Department.

Compliance Department means William Blair Investment Management, LLC’s Compliance Department.