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compliance of policies, procedures, maintenance of records, monitoring adherence to the rules for the preservation of unpublished price sensitive information, monitoring of trades and the implementation of the codes specified in these regulations under the overall supervision of the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

  • The Trustees shall elect a President, a Chief Compliance Officer, a Secretary and a Treasurer and may elect a Chairman who shall serve at the pleasure of the Trustees or until their successors are elected.

  • The Ethics & Compliance Officer shall have the privilege and responsibility to report directly to the Company’s President and Chief Executive Officer.

  • Within 30 days of the effective date of this Agreement, Contractor shall designate an Ethics & Compliance Officer, who is primarily responsible for Company’s Contractor Responsibility Program.

  • APOLLO DIVERSIFIED CREDIT FUND By: /s/ Xxxx Del Xxxxxxx Name: Xxxx Del Xxxxxxx Title: Chief Compliance Officer Tax Identification No: THE BANK OF NEW YORK MELLON By: /s/ Xxxxxxxxxxx X.

  • A Chairman shall, a Chief Compliance Officer shall not, and the President, Secretary and Treasurer may, but need not, be a Trustee.


More Definitions of Compliance Officer

Compliance Officer means the Company Secretary of the Company or any senior officer, designated so and reporting to the board of directors of the Company, 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compliance of policies, procedures, maintenance of records, monitoring adherence to the rules for the preservation of unpublished price sensitive information, monitoring of trades and the implementation of the codes specified in these regulations under the overall supervision of the board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 Company; Explanation – For the purpose of this regulation, “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 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 the person designated from time to time by the Underwriter to receive and review reports in accordance with Section VI below.
Compliance Officer means any person designated so, who is capable of appreciating requirements for regulatory compliance under these regulations, by a service provider;