Compliance Staff definition
Compliance Staff means those individuals listed in Appendix V with the ability to approve the pre-clearance of security transactions.
Compliance Staff means the employees, contractors or agents of Exchange in Exchange’s Compliance Department, as such department may be named or re-named from time to time;
Compliance Staff means a compliance team, consisting of one or more members, led by the CO.
Examples of Compliance Staff in a sentence
NoneNPCC Management, based on the review and recommendations of Compliance Staff, will be the sole decision-making body to review and make final determinations on each potential noncompliance identified by any means.
More Definitions of Compliance Staff
Compliance Staff means individuals employed or contracted by the Compliance Enforcement Authority who have the authority to make initial determinations of Registered Entities’ compliance with or violation of the Reliability Standards and associated Penalties and Mitigation Plans.