Designated Compliance Representative definition

Designated Compliance Representative means TIM’s Chief Compliance Officer and Senior Compliance Officer, or such persons’ designee(s).
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Designated Compliance Representative means the Advisers' Chief Compliance Officer and Compliance Manager, or such persons' designee(s).
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Designated Compliance Representative means TIM's Chief Compliance Officer and Compliance Manager, or such persons' designee(s).
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Examples of Designated Compliance Representative in a sentence

  • In some cases, a Designated Compliance Representative may refuse to authorize a Securities Transaction for a reason that is confidential.

  • Unless exempted by Section II.D, the following Securities Transactions are prohibited and will not be authorized by a Designated Compliance Representative absent exceptional circumstances.

  • After receiving a completed Trade Authorization Request form, a Designated Compliance Representative will (a) review the information set forth in the form, (b) review information regarding past, pending, and contemplated transactions by any Managed Account, as necessary, and (c) as soon as reasonably practicable, determine whether to authorize the proposed Securities Transaction.

  • Any other transaction deemed by the Designated Compliance Representative to involve a conflict of interest, possible diversions of corporate opportunity, or an appearance of impropriety.

  • A Designated Compliance Representative will give permission only after considering, among other facts, whether the investment opportunity should be reserved for a Fund and whether the opportunity is being offered to the person by virtue of the person’s position as an Investment Person.

  • Proposed Securities Transactions of a Designated Compliance Representative that require pre-clearance must be submitted to another Designated Compliance Representative.

  • The authorization provided by a Designated Compliance Representative is effective until the earlier of (1) its revocation, (2) the close of business on the second trading day after the authorization is granted (for example, if authorization is provided on a Monday, it is effective until the close of business on Wednesday), or (3) the moment the Access Person learns that the information in the Trade Authorization Request form is not accurate.

  • Prior to entering an order for a Securities Transaction, the Access Person must complete a Trade Authorization Request form (Appendix 3) and submit the completed form to a Designated Compliance Representative.

  • The Designated Compliance Representative should keep one copy of the completed form for the Compliance Department and provide one copy to the Access Person seeking authorization.

  • Any Securities Transaction (excluding open-end mutual funds; but not excluding advised or sub-advised funds) in which an Access Person has or acquires a Beneficial Interest must be pre-cleared with a Designated Compliance Representative.


More Definitions of Designated Compliance Representative

Designated Compliance Representative means the Company's Chief Compliance Officer, Compliance personnel, or Chief Compliance Officer's designee(s).
Sample 1
Designated Compliance Representative means TIM’s Chief Compliance Officer andSenior Compliance Officer, or such persons’ designee(s).
Sample 1
Designated Compliance Representative means the Company’s Chief Compliance Officer, Compliance personnel, or Chief Compliance Officer’s designee(s).
Sample 1
Designated Compliance Representative means the Adviser’s Chief Compliance Officer or such persons’ designee(s).
Sample 1

Related to Designated Compliance Representative

  • Workplace Representative means a person:

  • Customer Service Representative means a person that provides an insurance service and insurance product information:

  • Procurement Representative means the person authorized by ULA’s cognizant procurement organization to administer and/or execute this Contract.

  • Licensee representative means an owner, director, officer, manager, employee, agent, or other representative of a licensee, to the extent that the person acts in a representative capacity.

  • Disclosure Representative means the Finance Director, or his or her designee, or such other person as the Issuer shall designate in writing to the Disclosure Dissemination Agent from time to time as the person responsible for providing Information to the Disclosure Dissemination Agent.

  • Department Representative means the Manager, Engineering Operations, or designate, who shall represent the Landscape Operations Section for the purposes of this Agreement, or such other person who may be subsequently appointed in writing by the Department Representative and so notified to the Contractor;

  • Designated Contract Representative(s) means those individual(s) designated by the Contractor on the Pre-Work form during the Pre-Work Conference.

  • Licensing representative means a person authorized by the Department under Section 5 of the Child Care Act of 1969 to examine facilities for licensure.

  • Employee Representative means the authorized representative of employees at a site where there is a recognized labor organization representing employees.

  • Resident Representative means (if any) the individual (or, if permitted in accordance with the Companies Acts, the company) appointed to perform the duties of resident representative set out in the Companies Acts and includes any assistant or deputy Resident Representative appointed by the Board to perform any of the duties of the Resident Representative;

  • Independent representative means a person who:

  • Management Representative means an individual designated to hear grievances on behalf of the University.

  • Authorized Company Representative means any person who, at the time, shall have been designated to act on behalf of the Company by a written certificate furnished to the Issuer, the Remarketing Agent and the Trustee containing the specimen signature of such person and signed on behalf of the Company by any officer of the Company. Such certificate may designate an alternate or alternates.

  • Designated Representatives means the Subordination Agent Representatives, the Trustee Representatives and the Provider Representatives identified under Section 2.5.

  • Designated supervisor means the supervisor designated by the Superintendent of Schools or designee as the administrator’s supervisor.

  • LOCKHEED XXXXXX Procurement Representative means a person authorized by LOCKHEED XXXXXX'x cognizant procurement organization to administer and/or execute this Contract.

  • Non-Participating Clinical Professional Counselor means a Clinical Professional Counselor who does not have a written agreement with the Claim Administrator or another Blue Cross and/or Blue Shield Plan to provide services to you at the time services are rendered.

  • Industry representative sample means liquor that is placed in the possession of the department for testing, analysis, and sampling by a local industry representative on the premises of the department to educate the local industry representative of the quality and characteristics of the product.

  • Participating Clinical Professional Counselor means a Clinical Professional Counselor who has a written agreement with the Claim Administrator or another Blue Cross and/or Blue Shield Plan to provide services to you at the time services are rendered.

  • Sales Representative means a person employed by, acting on

  • Corporate Representative means an Individual authorised by resolution of the directors or other governing body of a body corporate to represent it;

  • Project Representative means the individual(s), including but not limited to the Resident Engineer, to whom the Authority Representative has delegated Project responsibilities. If a Project Representative is appointed, the Project Representative represents the Authority Representative on the Project within the limits of that delegation with respect to any part of the Work.

  • Estate Representative means an executor, an administrator, an administrator with the will annexed, a liquidator, or an estate trustee with a will or without a will, whether one or more than one is so appointed;

  • Representative sample means a sample of a universe or whole (e.g., waste pile, lagoon, ground water) which can be expected to exhibit the average properties of the universe or whole.

  • Representative means the indenture trustee or other trustee, agent or representative for any Senior Debt.

  • Designated Representative has the meaning set forth in Section 6(j)(v) of this Agreement.