Compliance Personnel definition

Compliance Personnel means the persons designated by the Compliance Committee to monitor overall compliance with this Code, to prepare, receive and review reports under this Code, and to provide pre-clearance of any personal securities transactions as required by this Code.
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Compliance Personnel means the persons designated by the Compliance Committee to monitor overall compliance with this Code, to prepare, receive and review reports under
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Compliance Personnel means appropriate management or compliance personnel appointed by the Board from time to time to review reports and monitor personal investment activity pursuant to the Rule and this Code.
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Examples of Compliance Personnel in a sentence

  • Notwithstanding the foregoing, all Personnel may be required to provide such additional information regarding any holdings of, or transactions in, financial products at such times and in such manner as designated Compliance Personnel may request.

  • When in doubt, Personnel should contact their supervisor or a member of Compliance Personnel for advice.

  • For the aforementioned reasons, prior to receiving any information that may constitute material, non-public information on a company with any class of publicly traded securities (whether domestic or foreign), please contact Compliance Personnel who will help to evaluate whether the information may represent material non-public information and, where necessary, implement the appropriate Information Wall and trading procedures.

  • The Firm’s Compliance Personnel will maintain a list of all Supervised Persons, Access Persons, Advisory Persons, and Portfolio Managers who are required to make reports under the Code, and shall inform such individuals of their reporting obligations and if any requirement of this Code has not been complied with.

  • If you intend to receive any material, non-public information related to a company with a class of publicly traded securities (whether domestic or foreign), you must contact the CCO or Compliance Personnel in advance of its receipt.

  • When in doubt as to the applicability of these restrictions and prohibitions to any transaction, Personnel should either refrain from entering into the transaction or discuss the matter with their supervisor or Compliance Personnel.

  • Compliance Personnel may reject any trade request in their sole discretion, and no reason need be given for such rejection.

  • Personnel that are unsure how to handle a situation are urged to consult with their supervisor or Compliance Personnel for advice.

  • The CCO or Compliance Personnel will work with the appropriate business unit(s) to determine whether to receive the information and whether to implement informational wall and other procedures, as appropriate.

  • All account and initial holding notifications, including account openings, changes to an account and account closings, must be made in writing or through electronic delivery of the relevant information to designated Compliance Personnel, and in the case of account openings, shall include the name of the broker, dealer, bank or other party with whom the account was established.


More Definitions of Compliance Personnel

Compliance Personnel means certain RSMC and/or WT employees whose responsibilities include the pre-clearance of personal trades and analysis and remediation of trading violations.
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Compliance Personnel means members of the Risk Committee (rcmembers@sk-llc.com).
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Compliance Personnel means certain WTC employees whose responsibilities include the pre-clearance of personal trades and analysis and remediation of trading violations. See Appendix E.
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Compliance Personnel means the persons designated by the Compliance Committee to monitor overall compliance with this Code, to prepare, receive and review reports under this Code, and to provide pre-clearance of any personal securities transactions as required by this Code. g. "Control" shall have the same meaning as that term is defined in Section 2(a)(9) of the 1940 Act. Section 2(a)(9) provides that "control" means the power to exercise a controlling influence over the management or policies of a company, unless such power is solely the result of an official position with such company. Any person who owns beneficially, either directly or through one or more controlled companies, more than 25% of the voting securities of a company is generally presumed to control that company. h. "Covered Security" shall include all types of securities, such as common stock, preferred stock, securities convertible into common or preferred stock and warrants or rights to acquire common stock, including options, closed-end fund shares, and other derivative securities, bonds and debentures, convertible bonds and futures. A covered security does not include: ● direct obligations of the Government of the U.S.; ● bankers' acceptances, bank certificates of deposit, commercial paper and high quality short-term debt instruments, including repurchase agreements; ● shares issued by money market funds; ● shares issued by open-end funds (mutual funds) other than Reportable Funds; and ● shares issued by unit investment trusts that are invested exclusively in one or more open-end funds, none of which are reported funds. i. "Employee" means any officer, principal or employee of the Adviser. j. "Employee Account" means any account in which an Employee has Beneficial Ownership, as defined above. Employee Accounts include accounts of the Employee's spouse, his or her minor children or a relative who shares his or her home, or held by other persons who through any contract, arrangement, understanding or relationship provide him or her with sole or shared voting or investment power over such securities. Employee accounts shall not include accounts over which the Employee does not exercise investment discretion. Whenever a situation arises where an Employee gains sole or shared voting or investment power over securities or when an Employee gets married or shares primary residence with a relative, such Employee shall promptly take all necessary steps to bring such third-party in compliance with the provisions of t...
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Related to Compliance Personnel

  • Senior Management Personnel means personnel of the company who are members of its core management team excluding Board of Directors. Normally, this would comprise all members of management one level below the executive directors, including all functional heads.

  • Personnel means persons hired by the Consultant or by any Subconsultant as employees and assigned to the performance of the Services or any part thereof;

  • Company's Personnel means the personnel to be provided by OIL or OIL's Contractor (other than the Contractor executing the Contract). The Company representatives of OIL are also included in the Company's personnel.

  • Supplier Personnel means Supplier’s employees, consultants, agents, independent contractors and Subcontractors.

  • Contractor Personnel means and refers to Contractor’s employees and employees of Contractor’s permitted subcontractors or permitted agents assigned by Contractor to perform Services under this Contract.

  • Medical personnel means those persons assigned, by a Party to the conflict, exclusively to the medical purposes enumerated under subparagraph (e) or to the administration of medical units or to the operation or administration of medical transports. Such assignments may be either permanent or temporary. The term includes:

  • Trained personnel means knowledgeable in the following through instruction and/or practice:

  • Key Management Personnel means persons having authority and responsibility for planning, directing and controlling the activities of the Company, directly or indirectly, including any Director (whether executive or otherwise) of the Company;

  • Service Provider Personnel means and refers to Service Provider employees or subcontractors hired and maintained to perform Services hereunder.

  • Expatriate Personnel means such persons who at the time of being so hired had their domicile outside India;

  • Provider Personnel means all persons employed or engaged by the Provider together with the Provider’s servants, agents, consultants and Sub-Contractors (and all persons employed by any Sub-Contractor together with the Sub-Contractor’s servants, consultants, agents, Provider’s and Sub-Contractors) used in the performance of its obligations under this Agreement;

  • Company Personnel means any current or former director, officer or employee of the Company or any Company Subsidiary.

  • Relevant Personnel means the Data Processor’s employees, agents and personnel and such other personnel of the Data Controller as may be approved in writing by the Data Controller from time to time in respect of access to the Personal Data;

  • Support personnel means the staffs that support the Key Personnel.

  • Training means instruction or teaching designed to impart a specific skill, as opposed to general knowledge.

  • Vendor Personnel means employees, agents, independent contractors, or any other staff or personnel acting on behalf of or at the direction of Vendor or any Vendor Contractor performing or providing Services or Deliverables under this Agreement.

  • Investment Personnel means: (a) Portfolio Managers and other Advisory Persons who provide investment information and/or advice to the Portfolio Manager(s) and/or help execute the Portfolio Manager's(s') investment decisions, including securities analysts and traders; (b) any natural person in a control relationship to the Fund who obtains information concerning recommendations made to the Fund with regard to the purchase or sale of a security; and (c) certain other individuals as designated by the Compliance Officer.

  • Qualified personnel means personnel who meet the statutory or regulatory qualifications for each respective profession currently applicable in this state.

  • Senior Managerial Personnel means the personnel of the company who are members of its core management team excluding Board of Directors. Normally, this would comprise all members of management, of rank equivalent to General Manager and above, including all functional heads.