Securities Disclosure Compliance definition

Securities Disclosure Compliance means the department within Standard & Poor’s Compliance responsible for conducting surveillance and enforcing Employee compliance with Securities Disclosure requirements.
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Securities Disclosure Compliance means the department within Standard & Poor’s Compliance responsible for conducting surveillance and enforcing Employee compliance with Securities Disclosure requirements.Securities Disclosure Policy: for Employees of Standard & Poor’s Ratings Services, S&P Capital IQ and S&P Indices 20
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Securities Disclosure Compliance means the department within S&P Global Inc. responsible for conducting surveillance and enforcing Employee compliance with Securities Disclosure requirements.
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Examples of Securities Disclosure Compliance in a sentence

  • If your account is not with a Designated Broker, then you must arrange to have duplicate monthly account statements sent to Securities Disclosure Compliance (see Section 6.2).

  • In considering such approval, Securities Disclosure Compliance will take into account, among other factors, a Conflict of Interest or the appearance of a Conflict of Interest.

  • To obtain Pre-Approval for an Automatic Investment Plan, contact Securities Disclosure Compliance.

  • Blind Trusts for which Employees or their Immediate Family control or have a Beneficial Interest must be disclosed to Securities Disclosure Compliance.

  • All profits realized from short-term Trading must be disgorged as directed by Securities Disclosure Compliance.

  • Third Party Discretionary Accounts must be reported and relevant documentation must be submitted for review by Securities Disclosure Compliance.

  • Contact information is available on the Securities Disclosure Compliance intranet site.

  • If you believe you qualify for an exemption, please contact Securities Disclosure Compliance in writing for instructions on how to proceed.

  • It is the responsibility of all Employees to check the Securities Disclosure Compliance intranet site to determine whether their Restricted Lists are available, and if so, review the Restricted Lists, and familiarize their Immediate Family members with them, before entering into a transaction (see Section 5).

  • In the event that Securities Disclosure Compliance grants you an exception to the Designated Broker requirement, or Designated Brokers are not required or not available in your jurisdiction, you must instruct your broker to send duplicate statements to Securities Disclosure Compliance for all Accounts held by you and your Immediate Family members, and you must complete the following steps manually.

Related to Securities Disclosure Compliance

  • Trading Compliance Policy means the written policy of the Company pertaining to the purchase, sale, transfer or other disposition of the Company’s equity securities by Directors, Officers, Employees or other service providers who may possess material, nonpublic information regarding the Company or its securities.

  • Disclosure Counsel means the Special Counsel designated by the Corporation to be responsible for the drafting and delivery of the Corporation’s disclosure documents such as preliminary official statements, official statements, re-offering memorandums or private placement memorandums and continuing disclosure agreements.

  • Disclosure Certificate means this Continuing Disclosure Certificate.

  • Parent Reports has the meaning set forth in Section 4.5(a).

  • Information Disclosure Requirements means the requirements to disclose information under:

  • Monitoring and reporting requirements means one or more of

  • Credit reporting agency means a corporation that carries on a credit reporting business.

  • Continuing Disclosure Certificate means that certain Continuing Disclosure Certificate executed by the District and dated the date of issuance and delivery of the Bonds, as originally executed and as it may be amended from time to time in accordance with the terms thereof.

  • Reporting Requirements As defined in Section 11.12.

  • Statement of Compliance means the statement forming part of a Tender indicating the Bidders compliance with the Specification.

  • Rapid(ly) report(ing means within 72 hours of discovery of any cyber incident.

  • Sarbanes-Oxley means the Sarbanes-Oxley Act of 2002.

  • Reporting Insider means an insider of a reporting issuer if the insider is

  • Compliance Statement is that certain statement in the form attached hereto as Exhibit B.

  • Transparency Reports means a report in accordance with Schedule 7 Part 1 (Transparency Reports) containing the contract information as set out in the table for that Part for publication by the Authority in the interests of transparency.

  • Annual Statement of Compliance As defined in Section 3.13.

  • Limited Exchange Act Reporting Obligations The obligations of the Master Servicer under Section 3.16(b), Section 6.02 and Section 6.04 with respect to notice and information to be provided to the Depositor and Article XI (except Section 11.07(a)(1) and (2)).

  • Reporting Material means all Material which the Grantee is required to provide to the Commonwealth for reporting purposes as specified in the Grant Details and includes any Existing Material that is incorporated in or supplied with the Reporting Material.

  • Audit Report means a report summarising the testing completed and the actions arising following an Audit;

  • Safeguard Policy Statement or “SPS” means ADB's Safeguard Policy Statement (2009);

  • Internal control over financial reporting means a process effected by an insurer’s board of directors, management and other personnel designed to provide reasonable assurance regarding the reliability of the financial statements, i.e., those items specified in Section 5(B)(2) through 5(B)(7) of this regulation and includes those policies and procedures that:

  • SOX means the Xxxxxxxx-Xxxxx Act of 2002, as amended.

  • Financial Reports means the Annual Financial Statements and the Interim Accounts.

  • Public Company Compliance means compliance with the requirements of the Xxxxxxxx-Xxxxx Act of 2002 and the rules and regulations promulgated in connection therewith, the provisions of the Securities Act and the Exchange Act, and the rules of national securities exchange listed companies (in each case, as applicable to companies with equity or debt securities held by the public), including procuring directors’ and officers’ insurance, legal and other professional fees, and listing fees.

  • Material Compliance Matter has the same meaning as the term defined in Rule 38a-1, and includes any compliance matter that involves: (1) a violation of the federal securities laws by Distributor (or its officers, directors, employees, or agents); (2) a violation of Distributor's Rule 38a-1 policies and procedures; or (3) a weakness in the design or implementation of Distributor's Rule 38a-1 policies and procedures.