Compliance Consultants definition

Compliance Consultants. ’ – means a firm appointed by us from time to time to provide us with advice regarding our compliance with the FCA Rules;
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Examples of Compliance Consultants in a sentence

  • Section 2.1 Report Covered Accounts to Compliance Consultants and temporary employees are required to disclose the name, account number, and firm at which he/she maintains a brokerage account at the time he/she is hired.

  • Co.: floor protector, 14:57 Chem-Grate Corp.: anti-slip products,23:54Chemical Compliance Consultants Corp.: maintaining OSHA standards/VOC limits, 1:30; Responsible Marine Program, 28:54; water pollution prevention/regulations/compliance, 31:10, 31:18; worker training programs,13:54, 13:65chemical hazards.

  • The information you give us may be disclosed to third parties, such as the CUSTODIAN, our regulators [the Financial Conduct Authority, who have legal authority to check all our records] our Compliance Consultants [who help us ensure that in your interests we abide by the Financial Services Act 2012 and other regulations] and our auditors.

  • We, the undersigned, apply for corporate membership of the Association of Professional Compliance Consultants on behalf of the proposed member firm: (Legal name of firm)We declare that we have read and agree to comply with the Memorandum and Articles of the Association and that the firm is eligible formembership.

  • A body for accreditation of trust schemes already exists, t-Scheme5, which provides accreditation profiles for existing schemes using GPG45, such as Verify.• Regulators to support the Digital Identity Trust Framework either explicitly by updating guidelines or through tacit support.• Compliance Consultants provided a number of issues that would prevent a DITF from solving the identity verification problem.

  • It is most unfortunate that while on the one hand, various brands have their own Code of Vendor Conduct and employ Compliance Officers or Compliance Consultants who routinely visit factories in order to enforce and ensure that factories comply with labour laws including protection of worker rights, on the other hand there is a failure to address real issues that occur within factories which negatively impacts the lives of the often mute labour class and their families.

  • Approve the ACA Reporting Services Agreement between Benefits Compliance Consultants and the South Plainfield Board of Education to provide reporting services related to the Affordable Care Act for the sum of $5,850 in accordance with the terms and conditions therein.

  • We may engage our Compliance Consultants in the complaint’sinvestigation process.

  • The Compliance Consultant's responsibility is to evaluate Marubeni's corporate compliance program with respect to the Foreign Corrupt Practices Act of 1977 ("FCPA"), as amended, 15 U.S.C. §78dd- 1, et seq.

  • The contractor must turn-in the label to HAZMAT Program Manager when a HAZMAT container is empty or removed from the installation.

Related to Compliance Consultants

  • Sub-consultants means an entity to whom/which the Consultant subcontracts any part of the Services while remaining solely liable for the execution of the Contract.

  • Compliance Costs means all expenses, commitments or obligations in excess of one million dollars ($1,000,000) incurred by Carrier or required to be incurred by Carrier to comply with a Change in Law, irrespective of whether such expenses, commitments or obligations are to be incurred as a one-time expenditure or periodically for an extended period.

  • Compliance Showings means the RAR compliance or advisory showings (or similar or successor showings), that an LSE is required to make to the CPUC (and, to the extent authorized by the CPUC, to the CAISO) pursuant to the CPUC Decisions, to the CAISO pursuant to the CAISO Tariff, or to any Governmental Body having jurisdiction.

  • Architect/ consultants means and refer to the Consultants appointed by NU as Architect Consultants.

  • Consultants means employees and third party contractors which SAP utilizes to provide Services to Licensee.

  • Compliance Audit means the procedure (in a form advised by the GLA from time to time) by which an auditor independent of the Grant Recipient certifies (at the Grant Recipient's cost) whether the Named Projects developed or Rehabilitated pursuant to this Agreement satisfy the GLA's procedural compliance requirements (as described in the Affordable Housing Capital Funding Guide);

  • Compliance year means the calendar year beginning with June 1 and ending with May 31 of the following year, for which a Retail Electricity Supplier must demonstrate that it has met the requirements of this Regulation.

  • Year 2000 Compliance has the meaning set forth in section 17.29 of the Management Agreement.

  • Architects/ Consultants means M/s.

  • Compliance Officer means Company Secretary or such other senior officer, who is financially literate and is capable of appreciating requirements for legal and regulatory compliance under these regulations designated so and reporting to the Board of Directors and who shall be responsible for compliance of policies, procedures, maintenance of records, monitoring adherence to the rules for the preservation of unpublished price sensitive information, monitoring of trades and the implementation of the codes specified in these regulations under the overall supervision of the Board of Directors of the Company.

  • Compliance Forester means the DNR staff person(s) identified in the Pre-Work Conference who perform the compliance inspections, approve Work, recommend payment to the Contract Manager, and manage the Work Schedule.

  • Covered Entities have the meanings stated in Section 1(a) of the Parent Support Agreement.

  • 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.

  • Project Management Consultant means --------------Not Applicable --------------

  • Compliance Review means an inspection of the home, grounds, and files to determine compliance with these regulations.

  • Environmental and Social Management Framework or “ESMF” means an instrument satisfactory to the Association, prepared and adopted by the Recipient and dated February 5, 2010 outlining the process for management of the environmental and social aspects of the Project as the same may be amended from time to time with the Association’s prior written concurrence.

  • Key Management Personnel means persons having authority and responsibility for planning, directing and controlling the activities of the Company, directly or indirectly, including any Director (whether executive or otherwise) of the Company;

  • School activities means any activity sponsored by the school including, but not limited to, classroom work, library activities, physical education classes, official assemblies and other similar gatherings, school athletic contests, band concerts, school plays and other theatrical productions, and in-school lunch periods.

  • Environmental and Social Management Plan or “ESMP” means a site-specific environmental and social management plan to be prepared in accordance with the parameters laid down in the ESMF and acceptable to the Association, setting forth a set of mitigation, monitoring, and institutional measures to be taken during the implementation and operation of the Project activities to eliminate adverse environmental and social impacts, offset them, or reduce them to acceptable levels, and including the actions needed to implement these measures.

  • Senior Management Personnel means personnel of the company who are members of its core management team excluding Board of Directors. Normally, this would comprise all members of management one level below the executive directors, including all functional heads.

  • Intrascholastic Activities means athletic or non-athletic/academic activities where students compete with students from within the same school.

  • Compliance Plan means the compliance obligations, program, and procedures described in this Consent Decree at paragraph 13.

  • Subconsultant means any person or entity to whom/which the Consultant subcontracts any part of the Services in accordance with the provisions of GCC Clause 50.

  • Department compliance officer means an individual who is:

  • Interscholastic Activities means athletic or non-athletic/academic activities where students compete on a school vs. school basis.

  • Investment Consultant means any individual or organization employed to provide advisory services, including advice on investment objectives and/or asset allocation, manager search, and performance monitoring.