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.
Compliance Committee means the committee established pursuant to Section 2(d).
Compliance Committee means the Adviser’s committee charged with overseeing the Adviser’s compliance policies and procedures. The committee is comprised of the Chief Executive Officer, the Chief Compliance Officer, the Chief Investment Officer and a senior Portfolio Manager.
Examples of Compliance Committee in a sentence
Upon appointment, the names of the members of the Compliance Committee and, in the event of a change of the membership, the name of any new member shall be submitted in writing to the Assistant Deputy Comptroller.
The Board shall remain responsible for the Bank’s adherence to the provisions of this Agreement, and the appointment of the Compliance Committee shall not relieve the Board of its compliance responsibilities.
The Board shall submit in writing to the Assistant Deputy Comptroller the names of the members of the Compliance Committee within ten (10) days of their appointment.
More Definitions of Compliance Committee
Compliance Committee means the Batterymarch committee that is responsible for establishing and monitoring Batterymarch’s compliance policies and procedures in accordance with Rule 206(4)-7 of the Investment Advisers Act of 1940, as amended. Batterymarch’s Compliance Committee consists of Batterymarch’s Chief Compliance Officer and Supervisors.
Compliance Committee means the Compliance Committee of Brandywine as shown on Appendix 1
Compliance Committee means the committee of the Authority established to undertake the functions set out in section 28;
Compliance Committee means the Batterymarch committee that is responsible for establishing and monitoring Batterymarch's compliance policies and procedures in accordance with Rule 206(4)-7 of the Investment Advisers Act of 1940, as amended. Batterymarch's Compliance Committee consists of Batterymarch's Chief Compliance Officer and Supervisors.
Compliance Committee means the Compliance Committee established by section 6 of the Principal Act as that section had effect immediately before the date of coming into operation of section 7;
Compliance Committee means certain RSMC and/or WT employees whose responsibilities include the pre-clearance of personal trades and analysis and remediation of trading violations. (Committee members are Anna Bencrowsky, Rex Macey, John Kelley, and Marilyn Talman, Esq.)
Compliance Committee means the committee appointed by the Compliance Officer to implement the Compliance Plan with all applicable federal and state standards and is accountable to senior management.