Compliance definition

Compliance means your local Compliance group (New York, London, Singapore, Tokyo and Mumbai).
Compliance as used in this clause, means compliance with:
Compliance with respect to a citation means the act of answering a citation through an appearance in a court or tribunal, or through the payment of fines, costs, and surcharges, if any.

Examples of Compliance in a sentence

  • Without limiting the foregoing, I agree that that I will promptly report to my Supervisor and/or the Chief Compliance Officer any violation of the Code of which I become aware.

  • I hereby acknowledge that I have read the amended Code of Ethics for XA Investments LLC, which amendment is dated _____________________ , and have had an opportunity to review any portions thereof with my Supervisor and/or the Chief Compliance Officer.

  • The officers of the Trust shall be a President, a Treasurer or a Controller, a Chief Compliance Officer and a Secretary, who shall be elected by the Trustees.

  • Answer all questions completely, sign, date and return this form to the Chief Compliance Officer.

  • The Chief Compliance Officer shall be the principal compliance officer of the Trust.


More Definitions of Compliance

Compliance with respect to a citation means the act of answering the citation through appearance at a court, a tribunal, or payment of fines, costs, and surcharges, if any, or both such appearance and payment.
Compliance means the obligations of state or federal requirements are met.
Compliance means your applicable local Compliance group (e.g., Atlanta, Boston, Dublin, London, Minneapolis, Mumbai, New York, Seattle, Singapore, Tokyo, and Washington, D.C.).
Compliance means compliance with clean air or water standards. Compliance shall also mean compliance with a schedule or plan ordered or approved by a court of competent jurisdiction, the Environmental Protection Agency or an Air or Water Pollution Control Agency in accordance with the requirements of the Air Act or Water Act and regulations issued pursuant thereto.
Compliance means the designated compliance officer contact assigned to support a specific business line.
Compliance means compliance with clean air or water standards. Compliance shall also mean compliance with a schedule or plan ordered or approved by a court of competent jurisdiction, the Environmental Protection Agency in accordance with the requirements of the Air Act or Water Act and regulations.