COMPLIANCE OFFICER'S DUTIES AND RESPONSIBILITIES Sample Clauses

COMPLIANCE OFFICER'S DUTIES AND RESPONSIBILITIES. The Compliance Officer: o shall adopt and maintain procedures reasonably necessary to prevent violations of this Code. Any failure by HCM PERSONNEL to comply with these procedures could result in disciplinary action up to and including termination of employment. o will provide each Access Person with a copy of the Code and any amendments thereto; o shall notify each person in writing who becomes an Access Person and who is required to report under the Code of their reporting requirements no later than 10 days before the first quarter in which such person is required to begin reporting; o will, on a quarterly basis, compare all reported personal securities transactions with each pre-clearance request received during the quarter. In addition, all personal transaction reports will be compared for match with the Access Person's broker confirms and statements. Access Person's transaction reports also will be reviewed for other restrictions imposed on personal trading by this Code. Before determining that a person has violated the Code, the Compliance Officer must give the person an opportunity to supply explanatory material; and o will submit his or her own reports, as may be required pursuant to the Code, to an alternate Compliance Officer who shall fulfill the duties of the Compliance Officer with respect to the Compliance Officer's reports. If a securities transaction of the Compliance Officer is under consideration, UBOC's Legal Counsel will act as the Alternate Compliance Officer for purposes of this Section 4.1.
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Related to COMPLIANCE OFFICER'S DUTIES AND RESPONSIBILITIES

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