Appropriate Compliance Department definition

Appropriate Compliance Department for an employee means the compliance department of that employee’s immediate employer. For dual employees, the compliance department of one employer will be designated as the Appropriate Compliance Department.
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Appropriate Compliance Department for an employee means the compliance --------------------------------- department of that employee's immediate employer. For dual employees, the compliance
Sample 1Sample 2Sample 3

Examples of Appropriate Compliance Department in a sentence

  • The Preclearance Officer should keep one copy of the completed form for the Appropriate Compliance Department and provide one copy to the Access Person seeking authorization.

  • Colby-Sawyer CollegeStudent DevelopmentStudent development is thegrowth of individuals through different experiences at college that build upon one another.CSC is committed to providing a safe environment using proac- tive partnerships with Athletics, Campus Safety, Baird Health, Citizenship Education, Residen- tial Education, Student Activi- ties, Student Success & Reten-tion to support our students.

  • The person to whom the Access Person reports the interest, in consultation with the Appropriate Compliance Department, must determine whether or not the Access Person will be restricted in making or participating in the investment decision.

  • The Appropriate Compliance Department is responsible for investigating any suspected violation of the Code and shall report the results of each investigation to the Code of Ethics Review Committee.

  • If an Access Person stands to benefit materially from an investment decision for a Fund, and the Access Person is making or participating in the investment decision, then the Access Person must disclose the potential benefit to those persons with authority to make investment decisions for the Fund (or, if the Access Person in question is a person with authority to make investment decisions for the Fund, to the Appropriate Compliance Department).

  • Investment Personnel who have acquired a Beneficial Interest in Securities in a private placement are required to disclose their Beneficial Interest to the Appropriate Compliance Department.

  • In exercising such authority, the Code of Ethics Review Committee may delegate authority to determine remedies to a representative of the Appropriate Compliance Department; however, all such determinations will be subject to review and approval by the Code of Ethics Review Committee.

  • The Appropriate Compliance Department will answer any questions about this Code or any other compliance-related matters.

  • The Code of Ethics Review Committee can delegate authority to deal immediately with questions regarding, or violations of, the Code to a representative of the Appropriate Compliance Department.

  • Although exceptions to the Code will rarely be granted, the Appropriate Compliance Department may grant exceptions to the requirements of the Code on a case by case basis if the Appropriate Compliance Department finds that the proposed conduct involves negligible opportunity for abuse.

Related to Appropriate Compliance Department

  • Compliance Department means the Chief Compliance Officer of Federated and those other individuals designated by him or her as responsible for implementing this Code and the Associated Procedures.

  • Department compliance officer means an individual who is:

  • Finance Department means the Finance Department of the Government of Assam;

  • Appropriate Commission means as defined in the PPA;

  • Compliance Audit means the procedure (in a form advised by the GLA from time to time) by which an auditor independent of the Grant Recipient certifies (at the Grant Recipient's cost) whether the Named Projects developed or Rehabilitated pursuant to this Agreement satisfy the GLA's procedural compliance requirements (as described in the Affordable Housing Capital Funding Guide);

  • Police Department means the law enforcement agency designated by the County Prosecutor to receive such information.

  • Compliance Review means an inspection of the home, grounds, and files to determine compliance with these regulations.

  • Applicable Department means the Personnel Department for employees of the City of Cambridge, the Purchasing Department, with the advice and assistance of the appropriate department which receives the services, for Covered Employers who contract or subcontract with the City of Cambridge, the School Department for employees, contractors and subcontractors of the School Department, and the City Manager’s Office for any other Person who is a Beneficiary of assistance other than a contract or subcontract.

  • the Department means the Department of the Environment;

  • Health Department means the department of environmental quality, a city health department, a county health department, or a district health department, whichever has jurisdiction.

  • Fire Department means an organized fire department as that term is defined in section 1 of the fire prevention code, 1941 PA 207, MCL 29.1.

  • Compliance Forester means the DNR staff person(s) identified in the Pre-Work Conference who perform the compliance inspections, approve Work, recommend payment to the Contract Manager, and manage the Work Schedule.

  • Compliance Officer means Company Secretary or such other senior officer, who is financially literate and is capable of appreciating requirements for legal and regulatory compliance under these regulations designated so and reporting to the Board of Directors and who shall be responsible for compliance of policies, procedures, maintenance of records, monitoring adherence to the rules for the preservation of unpublished price sensitive information, monitoring of trades and the implementation of the codes specified in these regulations under the overall supervision of the Board of Directors of the Company.

  • Local department means the local department of social services of any county or city in this

  • Assessment of Compliance As defined in Section 3.21.

  • Compliance Costs means all expenses, commitments or obligations in excess of one million dollars ($1,000,000) incurred by Carrier or required to be incurred by Carrier to comply with a Change in Law, irrespective of whether such expenses, commitments or obligations are to be incurred as a one-time expenditure or periodically for an extended period.

  • national department means a department of State within the national sphere of government;

  • StarCompliance Code of Ethics application means the web-based application used to electronically pre-clear personal securities transactions and file many of the reports required herein. The application can be accessed via the AB network at: https://alliance-ng.starcompliance.com/.

  • Certificate of Compliance means the certificate referred to in Section 3.03 of the Servicing Agreement and substantially in the form of Exhibit E to the Servicing Agreement.

  • Local health department means the same as that term is defined in Section 26A-1-102.

  • IWAI/ Authority/ Department/ Owner means the Inland Waterways Authority of India, which invites tenders on behalf of the Chairman, IWAI and includes therein-legal representatives, successors and assigns.

  • Monitoring Officer means the officer designated under Section 5(1) of the 1989 Act.

  • State department means the state department of human services.

  • Department Representative means the Manager, Engineering Operations, or designate, who shall represent the Landscape Operations Section for the purposes of this Agreement, or such other person who may be subsequently appointed in writing by the Department Representative and so notified to the Contractor;

  • Reporting Officer With respect to the Owner Trustee, any officer, employee or other person within the Corporate Trust Office of the Owner Trustee having responsibility for the administration of the Trust Agreement.

  • Compliance Authority means each and all of the (a) U.S. Treasury Department/Office of Foreign Assets Control, (b) U.S. Treasury Department/Financial Crimes Enforcement Network, (c) U.S. State Department/Directorate of Defense Trade Controls, (d) U.S. Commerce Department/Bureau of Industry and Security, (e) the U.S. Internal Revenue Service, (f) the U.S. Justice Department, and (g) the U.S. Securities and Exchange Commission.