Compliance Committee definition

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 committee established pursuant to Section 2(d).

Examples of Compliance Committee in a sentence

  • The compliance officer shall report directly to the Compliance committee on matters related to this subchapter.

More Definitions of Compliance Committee

Compliance Committee means the Compliance Committee of Brandywine as shown on Appendix 1
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 Compliance Committee appointed by the Authority under its Articles of Association;
Compliance Committee means the committee that meets to coordinate with the Board in its oversight of licensees in the Program. It includes members of the Program Board of Directors, members appointed by the Board, and a Physician Assistant member of the Program Board of Directors. The Board shall not appoint to the Compliance Committee a current member of the Board or a past member who has served on the Board within the past two years.