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compliance of policies, procedures, maintenance of records, monitoring adherence to the rules for the preservation of unpublished price sensitive information, monitoring of trades and the implementation of the codes specified in these regulations under the overall supervision of the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

Examples of Compliance Officer in a sentence

Brian Woo, Executive Vice President, Deputy Chief Compliance Officer of PIMCO 7.

Kevin Van Gorder, Vice President, Senior Compliance Officer of PIMCO 4.

Katie DeFriese, Senior Vice President, Senior Compliance Officer of PIMCO 3.

Audain-Pressley, Chief Compliance Officer of the Funds, Executive Vice President and Deputy Chief Compliance Officer of PIMCO 2.

Requests for public disclosure of previously undisclosed information or to release information on a more frequent schedule must be approved by the President of the Advisory Companies and the Chief Compliance Officer.


More Definitions of Compliance Officer

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 any senior officer, designated so and reporting to the Board of Directors, who is financially literate and is capable of appreciating requirements for legal and regulatory compliance under the SEBI (Prohibition of Insider Trading) Regulation, 2015 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compliance of policies, procedures, maintenance of records, monitoring adherence to the rules for the preservation of Unpublished Price Sensitive Information, monitoring of trades and the implementation of the codes specified in the SEBI (Prohibition of Insider Trading) Regulation, 2015, under the overall supervision of the Board of Directors of the Company.
Compliance Officer means 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 a district employee designated by the Board to receive complaints of alleged unlawful discrimination and harassment. The compliance officer must be identified by name, address, telephone number, and email address (see exhibit AC-E-1). If the designated individual is not qualified or is unable to act as such, the superintendent must designate another district employee who will serve until a successor is appointed by the Board.
Compliance Officer means the chief compliance officer of the Advisor.