CCO Responsibilities Sample Clauses
The 'CCO Responsibilities' clause defines the specific duties and obligations assigned to the Chief Compliance Officer (CCO) within an organization. Typically, this clause outlines tasks such as overseeing compliance programs, monitoring regulatory changes, conducting internal audits, and reporting compliance issues to senior management or the board. By clearly delineating the CCO's responsibilities, the clause ensures accountability and helps the organization maintain adherence to relevant laws and regulations, thereby reducing the risk of non-compliance.
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CCO Responsibilities. Except to the extent that any of the following shall be carried out by a Chief Compliance Officer for any Fund who reports directly to the Board, the CCO shall:
(a) Report directly to the Board;
(b) Review and administer the Trust’s compliance program policies and procedures including those policies and procedures that provide for oversight of compliance by the Trust’s Service Providers;
(c) Conduct periodic reviews of the Trust’s compliance program to incorporate any new or changed regulations, best practice recommendations or other guidelines that may be appropriate;
(d) Review no less frequently than annually, the adequacy of the policies and procedures of the Trust and the Service Providers and the effectiveness of their implementation;
(e) Apprise the Board of significant compliance events at the Trust or the Service Providers;
(f) Design testing methods for the Trust’s compliance program policies and procedures;
(g) Perform and document periodic testing of certain key control procedures (as appropriate to the circumstances), including reviewing reports, investigating exceptions, and making inquiries of Trust management and Service Providers;
(h) Conduct periodic site visits to Service Providers as necessary;
(i) Provide training to the Trust and deliver updates to the Trust or the Service Providers, as necessary;
(j) Establish a quarterly reporting process to the Board, including both written and oral reports and attend regularly scheduled board meetings as well as special meetings on an as-needed basis;
(k) Prepare a written annual report for the Board that, at a minimum, address (i) the operation of the Trust’s and its Service Providers’ policies and procedures since the last report to the Board; (ii) any material changes to such policies and procedures since the last report; (iii) any recommendations for material changes to the policies and procedures as a result of the periodic or annual reviews referred to in (c) and (d) above; and (iv) any “material compliance matters” (as defined in Rule 38a-1) since the date of the last report; and
(l) No less than annually, meet separately with the Trust’s independent trustees.
CCO Responsibilities. The CCO shall periodically sample transactions subject to this policy to test for non-compliance. If during the sampling process non compliance is found, further testing will be conducted. All findings of non-compliance shall immediately be brought to the attention of the Investment Adviser and reported to the Board of Directors at the next quarterly meeting.
CCO Responsibilities. Except to the extent that any of the following shall be carried out by a Chief Compliance Officer for any Fund who reports directly to the Board, the CCO shall:
(a) Report directly to the Board;
(b) Review and administer the Trust's compliance program policies and procedures including those policies and procedures that provide for oversight of compliance by the Trust's Service Providers;
(c) Conduct periodic reviews of the Trust's compliance program to incorporate any new or changed regulations, best practice recommendations or other guidelines that may be appropriate;
(d) Review no less frequently than annually, the adequacy of the policies and procedures of the Trust and the Service Providers and the effectiveness of their implementation;
(e) Apprise the Board of significant compliance events at the Trust or the Service Providers;
(f) Design testing methods for the Trust's compliance program policies and procedures;
(g) Perform and document periodic testing of certain key control procedures (as appropriate to the circumstances), including reviewing reports, investigating exceptions, and making inquiries of Trust management and Service Providers;
(h) Conduct periodic site visits to Service Providers as necessary;
CCO Responsibilities. Club further agrees the CCO will discharge the following duties of the Club under this Agreement:
a. Being the point of contact for all COVID-related communications with the TRU, TRRA and opposing Clubs;
b. Ensuring the Club complies with all TRU Return To Play Guidelines for all matches and trainings;
c. Ensuring the Club has each participant (player, coach, admin., trainer, etc.) involved in any match execute the Player Agreement & Liability Release RE: COVID-19 (attached as Exhibit “A”), and makes copies of those documents available to the TRU on request.
d. Ensuring the Club includes each Participant must be included on the
e. If the Club is the home Club, ensuring the Club includes the referee crew on its Roster for purposes of temperature checks and contact tracing.
f. Ensuring temperature checks of each participant are made upon each Participant's arrival at the pitch and recorded on the Club’s Roster.
g. Being the reporting point of contact for the Club’s members and participants in rugby activities in the event a Participant tests positive for COVID, is exposed to someone with COVID, or experiences COVID symptoms (a “COVID Exposure”). The CCO will ensure the Club creates a confidential means for Club Participants to report a COVID Exposure to the CCO, and informing Club Participants of their obligation to self-report COVID Exposures.
h. If a COVID Exposure is reported after a match, on behalf of the Club, the CCO will:
i. Take all reasonable steps to keep the identity of the exposed person confidential.
ii. Upon receipt of a report of a COVID Exposure (either from a Participant in his / her own Club, or from the CCO of the opposing Club), the CCO will:
A. Immediately notify the TRU by sending an email to ▇▇▇▇▇@▇▇▇▇▇▇▇▇▇▇▇▇▇▇▇.▇▇▇, and attaching the completed roster from the match;
B. Immediately notify the opposing Club’s CCO; and
C. Immediately notify his/her Club’s administration and/or coaching staff and ensure that all Participants in the match at which the Participant reporting the COVID Exposure was present are notified of the COVID Exposure, and precluded from participating in any rugby activities for 10 days from the date of the match. EXCEPTIONS: Participants may resume participation in rugby activities before the expiration of 10 days from the date of the match with: (i) a post-match negative COVID test documented to the Club’s CCO; or (ii) evidence to the CCO of the Participant’s complete vaccination for COVID prior to the match.
i. If ...