Compliance Officer definition

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compliance of policies, procedures, maintenance of records, monitoring adherence to the rules for the preservation of unpublished price sensitive information, monitoring of trades and the implementation of the codes specified in these regulations under the overall supervision of the Board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 Officer means the Company Secretary of the Company.

Compliance Officer means the person or persons (including his or her designees) designated by the Manager, the Adviser/Subadviser, or Principal Underwriter, respectively, as having responsibility for compliance with the requirements of the Code.

Examples of Compliance Officer in a sentence

• Ne contact details for the compliance officer are: Adviceworx Compliance Officer Domicile 1st Floor, Building 0 Xxxxxxxx Xxxxxx 00 Xxxxxxx Xxxx, Xxxxxxxxx, 0000 Postal PO Box 55363 Northlands, 2116 E-mail xxxxxxxxxx@xxxxxxxxxx.xx.xx Tel number 000 000 0000 Complaints Adviceworx has a complaints resolution process and will reply to any written complaint.

• Xxxxx Xxxxx Xxxxxx Xxxxxx Xxxx Xxxxxxx Xxxxxxxxx (“Xxxxxx”) Xxxxxxx SCHEDULE B Schedule of Officers Name Position Xxxx Xxx Co-Chief Executive Officer and Co-President Xxxxx Xxxxxx Co-Chief Executive Officer and Co-President Xxxxxxx Xxxxxxxxxxx Chief Financial Officer and Treasurer Xxx Xxxxxxxx Principal Accounting Officer Xxxxxx Xxx Chief Compliance Officer Xxxxxxxx X.

• The Company shall continue to employ the Executive during the Employment Period as its Executive Vice President, Chief Legal and Administrative Officer, Chief Compliance Officer and Secretary.

• The Compliance Officer may waive any of the requirements of this provision if the Compliance Officer determines that the Consultant has its own nondiscrimination/nonpreference requirements or is bound in the performance of this Master Agreement by the nondiscrimination/nonpreference requirements of another governmental agency, and the nondiscrimination/nonpreference provisions of the Consultant or other governmental agency are substantially the same as those imposed by the City.

• They shall contain such information, data and/or records as the Compliance Officer determines is needed to show compliance with this provision.

More Definitions of Compliance Officer

Compliance Officer means any senior officer, designated so and reporting to the board of directors or head of the organization in case of absence of Board, who is financially literate and is capable of appreciating requirements for legal and regulatory compliance under these regulations 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 listed company or the head of an organization, as the case may be;Explanation – For the purpose of this clause, “financially literate” shall mean a person who has the ability to read and understand basic financial statements i.e. balance sheet, profit and loss account, and statement of cash flows.

Compliance Officer means the Chief Compliance Officer of the Adviser and the Trust and the persons designated in Appendix 2, as such Appendix shall be amended from time to time.

Compliance Officer means the Company Secretary of the Company;

Compliance Officer means Company Secretary or any senior officer, designated so and reporting to the Reporting Officer, who is financially literate and is capable of appreciating requirements for legal and regulatory compliance under the Regulations 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 this Code and other codes as specified in the Regulations under the overall supervision of the Board. For the purpose of this Code, “financially literate” shall mean a person who has the ability to read and understand basic financial statement, i.e., balance sheet, profit and loss account, and statement of cash flows.

Compliance Officer means a compliance safety and health officer employed by Iowa OSHA Enforcement.

Compliance Officer means the Company Secretary of the Company, who shall be responsible for compliance of policies, procedures, maintenance of records, monitoring adherence to the rules for the preservation of UPSI, monitoring of trades and implementation of the code under overall the overall supervision of the Board.

Compliance Officer means any person designated so, who is capable of appreciating requirements for regulatory compliance under these regulations, by a service provider;