Code of Ethics Compliance Officer definition

Code of Ethics Compliance Officer means the Chief Compliance Officer of the Funds and Investment Adviser.
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Code of Ethics Compliance Officer means the individual designated by a Fund to make decisions and offer advice regarding Rule 17j-1 and the Code of Ethics adopted by the Fund.
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Code of Ethics Compliance Officer means the person appointed by the Board of Trustees to fulfill the functions designated in this Code;
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Examples of Code of Ethics Compliance Officer in a sentence

  • Exceptions to this requirement may only be made by the Code of Ethics Compliance Officer, who will report any such exception to the Evergreen Funds’ Board of Trustees.

  • If you have any questions regarding the appropriateness of any action under this Code or under your fiduciary duties generally, you should contact the Code of Ethics Compliance Officer or your Chief Compliance Officer to discuss the matter before taking the action in question.

  • The Code of Ethics Compliance Officer and/or the Chief Compliance Officer may have the obligation and duty to review and take appropriate action concerning instances of conduct that, while not necessarily violating the letter of the Code, give the appearance of impropriety.

  • You must get written approval from the CCO or Code of Ethics Compliance Officer before you sell shares that you acquired in an IPO prior to starting work for us.

  • The CCO or the Code of Ethics Compliance Officer may indicate another date when the authorization expires.

  • Any transaction approved by the CCO or the Compliance Department is effective until the close of business of the same trading day for which the authorization is granted (unless the CCO or Code of Ethics Compliance Officer revokes that authorization earlier).

  • Yet over 70 per cent of nurses are over 35 years and hence we would expect, well into their ‘careers’.

  • The CCO or the Code of Ethics Compliance Officer may refuse to authorize your Personal Securities Transaction and need not give you an explanation for the refusal.

  • No Access Person shall make investments for any Personal Account in any investment club without prior written approval from the Code of Ethics Compliance Officer.

  • Any Employee who becomes aware of any person violating this Code of Ethics must promptly report such event to (i) the appropriate Chief Compliance Officer or (ii) the Code of Ethics Compliance Officer or the General Counsel, who shall report such event to the appropriate Chief Compliance Officer.


More Definitions of Code of Ethics Compliance Officer

Code of Ethics Compliance Officer means (a) the primary individual designated by a Fund to make decisions and offer advice regarding Rule 17j-1 and the Code of Ethics adopted by the Fund, and (b) any person(s) designated by the primary individual to assist with these responsibilities.
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Related to Code of Ethics Compliance Officer

  • 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.

  • Chief Compliance Officer means the individual appointed by the Board as BSEF’s chief compliance officer in accordance with the Operating Agreement, with the duties and responsibilities as may be prescribed by the Board from time to time as set forth in Rule 208.

  • Vigilance and Ethics Officer means an officer appointed to receive protected disclosures from whistle blowers, maintaining records thereof, placing the same before the Audit Committee for its disposal and informing the Whistle Blower the result thereof.

  • 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/.

  • Department compliance officer means an individual who is:

  • Code of Ethics Contact Person means the Chief Compliance Officer or such person or persons as may be from time to time designated.

  • Code of Ethics means a statement encompassing the set of rules based on values and the standards of conduct to which suppliers are expected to conform

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

  • Preclearance Officer means the person designated as the Preclearance Officer in Appendix 2 hereof.

  • 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.

  • Vigilance Officer means an officer appointed to receive protected disclosures from Whistle Blower, maintaining records thereof, placing the same before the Audit Committee for its disposal and informing the Whistle Blower the result thereof.

  • 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 Plan means the compliance obligations, program, and procedures described in this Consent Decree at paragraph 13.

  • 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.

  • Public safety officer means a member serving a public

  • Compliance Committee means the committee referenced under the Federated Code of Business Conduct and Ethics, consisting of, among others, the Chief Compliance Officer, the General Counsel, the Chief Audit Executive and the Chief Risk Officer.

  • Code of Conduct means the Code of Conduct for Persons Licensed by or Registered with the SFC.

  • Community corrections officer means an employee of the

  • Campus police officer means a school security officer designated by the board of education of any school district pursuant to K.S.A. 72-6146, and amendments thereto.

  • Ethics means a set of principles governing the conduct of all persons governed by these rules.

  • Work ethic camp means an alternative incarceration program

  • Clearance Officer, W CAR:MP:FP:S, Xxxxxxxxxx, XX 00000. Comments on the collection of information should be received by September 17, 2002. Comments are specifically requested concerning: Whether the collection of information is necessary for the proper performance of the functions of the Internal Revenue Service, including whether the information will have practical utility; The accuracy of the estimated burden associated with the collection of information (see below); How the quality, utility, and clarity of the information to be collected may be enhanced; How the burden of complying with the collection of information may be minimized, including through the application of automated collection techniques or other forms of information technology; and Estimates of capital or start-up costs and costs of operation, maintenance, and purchase of service to provide information. An agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a valid control number assigned by the Office of Management and Budget. The estimated total annual reporting burden is 470 hours, based on an estimated number of respondents of 470 and an estimated average annual burden hours per respondent of one hour. Books or records relating to a collection of information must be retained as long as their contents may become material in the administration of any internal revenue law. Generally, tax returns and tax return information are confidential, as required by 26 U.S.C. 6103.

  • 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);

  • Trading Compliance Policy means the written policy of the Company pertaining to the purchase, sale, transfer or other disposition of the Company’s equity securities by Directors, Officers, Employees or other service providers who may possess material, nonpublic information regarding the Company or its securities.

  • Compliance Program means the program established by CNYCC to prevent, detect, and address compliance issues that arise with respect to PPS operations, projects or activities.

  • Labor compliance agreement means an agreement entered into between a contractor or subcontractor and an enforcement agency to address appropriate remedial measures, compliance assistance, steps to resolve issues to increase compliance with the labor laws, or other related matters.