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.