Compliance Manual Clause Samples
A Compliance Manual clause establishes the requirement for parties to adhere to a set of documented policies and procedures designed to ensure legal and regulatory compliance. Typically, this clause obligates employees or contractors to familiarize themselves with, and act in accordance with, the organization's compliance manual, which may cover topics such as anti-bribery, data protection, or workplace conduct. Its core function is to promote consistent, lawful behavior within the organization and to mitigate the risk of regulatory violations by providing clear guidance on expected standards.
Compliance Manual. The Broker Compliance Manual and any associated procedures in effect as of the date hereof shall constitute the Broker Compliance Manual and shall govern the compliance responsibilities of the CIGNA RRs and associated persons. In the event that the Broker Compliance Manual is amended or supplemented or Broker desires that other Broker compliance policies be deemed applicable to the CIGNA RRs, it will be Broker's responsibility to communicate same to the CIGNA SSP, whereupon it will be CG's responsibility to ensure timely compliance therewith. Without limiting the foregoing, gift and entertainment activities of CIGNA RRs will be subject to Broker's policy and procedure, and marketing material for Covered Products will be supplied to Broker in advance for review and approval.
Compliance Manual. Registered Rep will familiarize Registered Rep with, and will comply with, all the requirements set forth in the State Farm VP Management Corp. Variable Products Compliance Manual (the "Compliance Manual"), as it may be amended from time to time or supplemented by compliance memoranda from Broker-Dealer. Without limiting the generality of the preceding sentence, Registered Rep shall comply with the customer complaint procedures and the filing and recordkeeping requirements set forth in the Compliance Manual.
Compliance Manual. 1. FCS will prepare a compliance manual for the Trust and the CCO will present it to the Board of Trustees of the Trust (the “Board”) for approval.
Compliance Manual. Registered Rep(s) will familiarize and comply with, all the requirements set forth in the INVESTORS BROKERAGE SERVICES, INC. Compliance and Procedures Manual (the "Compliance Manual"), as it may be amended from to time and supplemented by addendums, attachments or compliance memoranda from Broker-Dealer. Without limiting the generality of the preceding sentence, Registered Rep shall comply with the customer compliant procedures and the filing and recordkeeping requirements set forth in the Compliance Manual.
Compliance Manual. WCM has made available to Buyer prior to the date hereof a true, correct and complete copy of WCM’s compliance policies and procedures (“Compliance Manual”). WCM’s Compliance Manual is in compliance in all material respects with applicable laws, rules and regulations, including, without limitation, Rule 206(4)-7 under the Investment Advisers Act and Rule 38a-1 under the Investment Company Act. As of the date hereof, there have been no material violations or allegations of material violations of WCM’s Compliance Manual.
Compliance Manual. RR will familiarize himself with, and will comply with, all the requirements set forth in the RR Compliance Manual (the "Compliance Manual"), as it may be amended from time to time or supplemented by compliance memoranda from Broker/Dealer supervisory personnel. Without limiting the generality of the preceding sentence, RR shall comply with the customer complaint procedures and the filing and recordkeeping requirements set forth in the Compliance Manual.
Compliance Manual. The Company will conduct its 38a-1 review of Fidelity and its polices and procedures to ensure that these Services are consistent with the requirements under SEC rule 38a-1 and the Company's program as described in the Company's Rule 38a-1 manual.