Deputy Compliance Officer definition

Deputy Compliance Officer means the person appointed by the Board to assist the Compliance Officer to ensure the Company complies with its Continuous Disclosure Obligations.
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Deputy Compliance Officer or "DCO" means MILLC's Deputy Compliance Officer.
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Deputy Compliance Officer or “DCO” means MILLC’s Deputy Compliance Officer.
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Examples of Deputy Compliance Officer in a sentence

  • Trillium’s Board of Directors appointed Nancy Denney CCO and Michelle McDonough as Deputy Compliance Officer (DCO) to act in Ms. Denney’s absence.

  • Mr. Mendoza also served as Global Business Bank’s Deputy Compliance Officer and Liaison Officer with the Bangko Sentral ng Pilipinas and was a member of the Bank’s Asset Liability Committee and the Operations and Compliance Committee.

  • The Deputy Compliance Officer shall act when the Compliance Officer is not available.

  • This certifi- cation validates knowledge andLisa Pettengill, CHSS skills in the core areas of HIPAA Deputy Compliance Officer Administrative Safeguards, Physi- lisa.pettengill@amsplus.com cal Safeguards, Technical Safe- 800.927.0002 x1325 guards and Security Technology Bruce Russel started in Portland in February 2008 as an A/R team member with no prior medical billing experience.

  • Where any information comes to light about the Company which may need to be disclosed, all Directors, executive officers and employees are obliged to bring that information to the attention of the Compliance Officer or the Deputy Compliance Officer (as the case may be) with all possible expediency.

  • Martha Alexander, the University’s Title IX Deputy Compliance Officer, was eventually the author of the three Final Determination Letters–individual letters addressed to Harwood, Jane Doe 1 and Jane Doe 2.Based on the newly-provided index, The Kernel filed a motion to alter, amend or vacate the trial court’s order insofar as it concluded that every part of the Harwood Investigative File was protected from disclosure and no part of the file could be redacted so as to protect the Jane Does’ identities.

  • It is also required that any access person report any violations of the firm’s Code of Ethics to the Chief Compliance Officer or the Deputy Compliance Officer within Los Angeles Capital Management.

  • Within this scope, the Board of Directors is authorized to and responsible for assigning Compliance Officer and Deputy Compliance Officer.

  • Prior to trading a Reportable Security (as defined above in Section 3(d)(II)), an Access Person must obtain the prior written approval of a combination of two of the “Authorized Approvers,” as follows: (1) the Chief Compliance Officer OR (2) the Deputy Compliance Officer OR (3) Raymond Luis AND one of (1) the Managing Member OR (3) Benjamin Renshaw.

  • Prior to trading a Reportable Security (as defined above in Section 3(d)(II)), an Access Person must obtain the prior written approval of a combination of two of the “Authorized Approvers,” as follows: (1) the Chief Compliance Officer OR (2) a Deputy Compliance Officer OR (3) Steven Vincent OR (4) Raymond Luis AND the Managing Member (or his designee).

Related to Deputy Compliance Officer

  • 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.

  • Chief Compliance Officer means the individual appointed by the Board as BSEF’s chief compliance officer in accordance with the Operating Agreement, with the duties and responsibilities as may be prescribed by the Board from time to time as set forth in Rule 208.

  • Department compliance officer means an individual who is:

  • Preclearance Officer means the person designated as the Preclearance Officer in Appendix 2 hereof.

  • Vigilance Officer means an officer appointed to receive protected disclosures from Whistle Blower, maintaining records thereof, placing the same before the Audit Committee for its disposal and informing the Whistle Blower the result thereof.

  • Finance Officer means the Comptroller of the City or her authorized agent.

  • Certified peace officer means a peace officer certified by the

  • Reporting Officer With respect to the Owner Trustee, any officer, employee or other person within the Corporate Trust Office of the Owner Trustee having responsibility for the administration of the Trust Agreement.

  • Clearance Officer, W CAR:MP:FP:S, Xxxxxxxxxx, XX 00000. Comments on the collection of information should be received by September 17, 2002. Comments are specifically requested concerning: Whether the collection of information is necessary for the proper performance of the functions of the Internal Revenue Service, including whether the information will have practical utility; The accuracy of the estimated burden associated with the collection of information (see below); How the quality, utility, and clarity of the information to be collected may be enhanced; How the burden of complying with the collection of information may be minimized, including through the application of automated collection techniques or other forms of information technology; and Estimates of capital or start-up costs and costs of operation, maintenance, and purchase of service to provide information. An agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a valid control number assigned by the Office of Management and Budget. The estimated total annual reporting burden is 470 hours, based on an estimated number of respondents of 470 and an estimated average annual burden hours per respondent of one hour. Books or records relating to a collection of information must be retained as long as their contents may become material in the administration of any internal revenue law. Generally, tax returns and tax return information are confidential, as required by 26 U.S.C. 6103.

  • Agency Chief Contracting Officer or “ACCO” shall mean the position delegated authority by the Agency Head to organize and supervise the procurement activity of subordinate Agency staff in conjunction with the City Chief Procurement Officer.

  • Vigilance and Ethics Officer means an officer appointed to receive protected disclosures from whistle blowers, maintaining records thereof, placing the same before the Audit Committee for its disposal and informing the Whistle Blower the result thereof.

  • Information Officer means the Person acting on behalf of the Company and discharging the duties and responsibilities assigned to the Head of the Private Body by the Act. The Information Officer is duly authorised to act as such and such authorisation has been confirmed in writing by the Head of the Private Body.

  • Chief Administrative Officer or “CAO” means the administrative head of a municipality as appointed by Council under clause 86(2)(c) of the Municipal Government Act.

  • Administrative Officer means anyone designated at the college as being on the administrative staff, such as the President, Chief Academic Officer, Chief Student Services Officer, etc.

  • Peace officer means a law enforcement official of a public

  • Monitoring Officer means the officer designated under Section 5(1) of the 1989 Act.

  • Development Officer means the Development Officer appointed by the Council of the Municipality.

  • Chief means Chief Agri/Industrial, a division of Chief Industries, Inc.

  • Assessing Officer means an officer of a State Government or Board or licensee, as the case may be, designated as such by the State Government;

  • Chief Operating Officer means the Chief Operating Officer of the Corporation.

  • Public safety officer means a member serving a public

  • Campus police officer means a school security officer designated by the board of education of any school district pursuant to K.S.A. 72-6146, and amendments thereto.

  • Contact Officer means the person identified as Contact Officer on the cover page of this RFT;

  • Community corrections officer means an employee of the

  • Police officer means every officer authorized to direct or regulate traffic, or to make arrests for violations of traffic regulations.

  • Project Officer means a person identified by the accounting officer or accounting authority of an institution, who is capable of managing and is appropriately qualified to manage a PPP to which that institution is party from its inception to its expiry or termination;