Chief Compliance Officer. The Chief Compliance Officer of the Trust will be responsible for administering its compliance policies and procedures, shall have sufficient authority and independence within the organization to compel others to adhere to the compliance policies and procedures, shall report directly to the Board of Trustees, shall annually furnish a written report on the operation of the compliance policies and procedures to the Board of Trustees and shall perform such other duties as prescribed by the Board of Trustees.
Chief Compliance Officer. The Chief Compliance Officer shall function as described in Rule 38a-1 under the Investment Company Act of 1940, as amended.
Chief Compliance Officer. The terms of this Agreement do not provide for Ultimus to furnish an individual to serve as the Trust’s Chief Compliance Officer.
Chief Compliance Officer. The Chief Compliance Officer shall be responsible for administering the Trust’s policies and procedures approved by the Board under Rule 38a-1 of the Investment Company Act of 1940, as amended. Notwithstanding any other provision of these By-Laws, the designation, removal and compensation of Chief Compliance Officer are subject to Rule 38a-1 under the Investment Company Act of 1940, as amended.
Chief Compliance Officer. The Chief Compliance Officer, who shall also have a title of at least Senior Vice President, shall be responsible for administering the Trust's policies and procedures adopted pursuant to Rule 38a-1(a)(1) under the 1940 Act.
Chief Compliance Officer. The Chief Compliance Officer shall have the general powers and duties usually vested in the office of chief compliance officer. The Chief Compliance Officer shall have such other powers and duties as may be prescribed by the Board of Trustees or these Bylaws, subject to approval by a majority of the independent Trustees.
Chief Compliance Officer. The Chief Compliance Officer (“CCO”) of the Trust shall be responsible for administering the Trust’s policies and procedures adopted pursuant to Rule 38a-1(a) under the Investment Company Act of 1940, or any successor provision thereto. The CCO shall have such other powers and duties as from time to time may be conferred upon or assigned to the CCO by the Trustees.
Chief Compliance Officer. The Trusts’ Chief Compliance Officer (who will be approved by the Boards of Trustees of the Trusts) will be responsible for (i) the maintenance and implementation of written compliance policies and procedures that are deemed by the Boards of Trustees of the Trusts to be reasonably designed to prevent the Trusts from violating the provisions of the federal securities laws applicable to the Trusts, as required by Rule 38a-1 under the 1940 Act (the “Fund Compliance Program”); and (ii) for monitoring the Fund Compliance Program and the compliance programs and related policies and procedures of all of the various service providers to the Trusts. The Trusts’ Chief Compliance Officer is subject to the approval and ongoing supervision of the Boards of Trustees of the Trusts. To assist the Chief Compliance Officer in providing the foregoing services, AIM may enter into agreements with one or more affiliated or unaffiliated third parties.
Chief Compliance Officer. CCS will designate a member of our staff (acceptable to the Board) to serve as Chief Compliance Officer pursuant to Rule 38a-1. The CCO will be responsible for administering the Funds’ policies and procedures, reporting to the Board, providing the annual written compliance report, and any other matters required of a CCO under the Investment Company Act.
Chief Compliance Officer. (i) The Plan Processor shall designate an employee of the Plan Processor to serve, subject to the approval of the Operating Committee by Supermajority Vote, as the Chief Compliance Officer. The Plan Processor shall also designate at least one other employee (in addition to the person then serving as Chief Compliance Officer), which employee the Operating Committee has previously approved, to serve temporarily as the Chief Compliance Officer if the employee then serving as the Chief Compliance Officer becomes unavailable or unable to serve in such capacity (including by reason of injury or illness). Any person designated to serve as the Chief Compliance Officer (including to serve temporarily) shall be appropriately qualified to serve in such capacity based on the duties and responsibilities assigned to the Chief Compliance Officer under this Agreement and shall dedicate such person’s entire working time to such service (or temporary service) (except for any time required to attend to any incidental administrative matters related to such person’s employment with the Plan Processor that do not detract in any material respect from such person’s service as the Chief Compliance Officer). The Plan Processor may, at its discretion: (A) designate another employee previously approved by the Operating Committee by Supermajority Vote to serve in such capacity to temporarily serve as the Chief Compliance Officer if the employee then serving as the Chief Compliance Officer becomes unavailable or unable to serve as the Chief Compliance Officer (including by reason of injury or illness) for a period not in excess of thirty (30) days; or (B) designate another employee of the Plan Processor to replace, subject to approval of the Operating Committee by a Supermajority Vote, the Chief Compliance Officer. The Plan Processor shall promptly designate another employee of the Plan Processor to replace, subject to the approval of the Operating Committee by Supermajority Vote, the Chief Compliance Officer if the Chief Compliance Officer’s employment with the Plan Processor terminates or the Chief Compliance Officer is otherwise unavailable or unable to serve as the Chief Compliance Officer (including by reason of injury or illness) for a period in excess of thirty (30) days. The Operating Committee shall report any action taken pursuant to Section 6.2(a)(i) to the SEC.
