Code Officer definition
Examples of Code Officer in a sentence
By January 31 of each year, you must file with a Code Officer a Certification of Compliance and a current Inventory of Holdings Report on Form D.
No later than 10 days after the end each quarter, you must file with a Code Officer a Quarterly Personal Transactions Report on Form B.
A Code Officer shall report to WCM's Board of Directors on a quarterly basis the results of her review of such reports, and any apparent violation of the reporting requirements.
If you or any member of your Family/Household has a securities account with any broker, dealer or bank, you, or your Family/Household member must direct that broker, dealer or bank to send, directly to WCM's Code Officer, contemporaneous duplicate copies of all transaction confirmation statements and all account statements relating to that account.
A Code Officer may revoke a preclearance any time after it is granted and before you execute the transaction.
A Code Officer will review all reports as required in Section II.A for compliance with all applicable restrictions outlined in Section II.B, on a quarterly basis.
No later than 10 days after the end each quarter, you must file with a Code Officer a Quarterly Brokerage Accounts Report on Form C.
A Code Officer will notify all WCM employees of their status as determined by definition of Access Person or Investment Person in Section III of this Code as needed but at least on an annual basis.
You and members of your Family/Household are prohibited from engaging in any transaction in a Covered Security for any account in which you or a member of your Family/Household has any Beneficial Ownership, unless you obtain, in advance of the transaction, written preclearance for that transaction from a Code Officer.
Upon payment of all outstanding charges and resolution of any code issues to the satisfaction of the City Code Officer, the City will issue a quitclaim deed releasing our interest in the property.