Compliance Personnel definition

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Compliance Personnel means the persons designated by the Compliance Committee to monitor overall compliance with this Code, to prepare, receive and review reports under

Compliance Personnel means certain WTC employees whose responsibilities include the pre-clearance of personal trades and analysis and remediation of trading violations. See Appendix E.

Examples of Compliance Personnel in a sentence

The individuals with these anti-corruption compliance responsibilities are referred to in this Policy as Compliance Personnel, and are identified in Attachment A.
If at any time a any Group Company employee becomes aware of any activity prohibited by this Policy, or is offered a bribe by any third party, or is approached by any third party who solicits a bribe or in any way threatens the employee if a bribe is not paid, the employee should immediately contact the Chief Compliance Officer or other Compliance Personnel.
Each FCC licensee, through its Licensee Director, Licensee Representative and Licensee Compliance Personnel shall ensure such licensee‟ stations remain at all times in compliance with Federal law and the rules and regulations of the FCC.
If possible, one of the company’s Compliance Personnel should be contacted, and pre-clearance should be obtained from one of such personnel, prior to making any extortionate payment.
Should the Chief Compliance Officer or other Compliance Personnel fail to take action to respond to such a report within 30 days, the employee shall report the matter to the audit committee of the company’s board of directors, and may do so earlier if the facts require immediate action to protect the company.
If in doubt, the relevant Group Company's employees should consult with the company’s Compliance Personnel.
The CIA contains several requirements, including, but not limited to, obligations related to:  Compliance Personnel  Board Oversight  Management Certifications  Written Standards  Training and Education  Independent Review Organization  Internal Controls  Reporting The CIA requires Banner to have a Chief Compliance Officer.
Reciprocity in paying for meals, taxis, and other minor expenses shared with a private counter-party is not intended to be prohibited, but if there are any doubts about the content of this rule please consult one of the company’s Compliance Personnel.

More Definitions of Compliance Personnel

Compliance Personnel means appropriate management or compliance personnel appointed by the Board from time to time to review reports and monitor personal investment activity pursuant to the Rule and this Code.

Compliance Personnel means members of the Risk Committee (rcmembers@sk-llc.com).

Compliance Personnel means certain RSMC and/or WT employees whose responsibilities include the pre-clearance of personal trades and analysis and remediation of trading violations.

Compliance Personnel means the persons designated by the Compliance Committee to monitor overall compliance with this Code, to prepare, receive and review reports under this Code, and to provide pre-clearance of any personal securities transactions as required by this Code. g. "Control" shall have the same meaning as that term is defined in Section 2(a)(9) of the 1940 Act. Section 2(a)(9) provides that "control" means the power to exercise a controlling influence over the management or policies of a company, unless such power is solely the result of an official position with such company. Any person who owns beneficially, either directly or through one or more controlled companies, more than 25% of the voting securities of a company is generally presumed to control that company. h. "Covered Security" shall include all types of securities, such as common stock, preferred stock, securities convertible into common or preferred stock and warrants or rights to acquire common stock, including options, closed-end fund shares, and other derivative securities, bonds and debentures, convertible bonds and futures. A covered security does not include: ● direct obligations of the Government of the U.S.; ● bankers' acceptances, bank certificates of deposit, commercial paper and high quality short-term debt instruments, including repurchase agreements; ● shares issued by money market funds; ● shares issued by open-end funds (mutual funds) other than Reportable Funds; and ● shares issued by unit investment trusts that are invested exclusively in one or more open-end funds, none of which are reported funds. i. "Employee" means any officer, principal or employee of the Adviser. j. "Employee Account" means any account in which an Employee has Beneficial Ownership, as defined above. Employee Accounts include accounts of the Employee's spouse, his or her minor children or a relative who shares his or her home, or held by other persons who through any contract, arrangement, understanding or relationship provide him or her with sole or shared voting or investment power over such securities. Employee accounts shall not include accounts over which the Employee does not exercise investment discretion. Whenever a situation arises where an Employee gains sole or shared voting or investment power over securities or when an Employee gets married or shares primary residence with a relative, such Employee shall promptly take all necessary steps to bring such third-party in compliance with the provisions of t...