Fund Chief Compliance Officer definition

Fund Chief Compliance Officer means the Chief Compliance Officer of the Fund who has been appointed pursuant to Rule 38a-1 under the 1940 Act.
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Fund Chief Compliance Officer. (“CCO”) Services Fund CCO Services } Provide a qualified CCO to serve as the Fund CCO } Initial drafting of Fund compliance policies and procedures } Initial and ongoing testing of Fund compliance policies and procedures } Annual 38a-1 review and report of findings } Service provider oversight and periodic due diligence to ensure adequate service levels and compliance procedures } Annual on-site visits to the Adviser and Fund service providers, as needed with reasonable travel expenses paid by the Fund } Prepare quarterly and annual reports to the Fund Board and attend Board meetings } Incorporate any new or amended regulations into the Fund compliance policies and procedures as needed } Coordinate and serve as point contact for SEC exam of the Fund } Provide Fund AML program and serve as AML Officer of the Fund
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Fund Chief Compliance Officer means the Chief Compliance Officer of the Fund who has been appointed pursuant to Rule38a-1 under the Act.
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Examples of Fund Chief Compliance Officer in a sentence

  • Administration of this Code with respect to the Independent Directors shall be the responsibility of the Fund Chief Compliance Officer.


More Definitions of Fund Chief Compliance Officer

Fund Chief Compliance Officer means the Chief Compliance Officer of the Fund who has been appointed pursuant to Rule 38a-1 under the Act. Ryan Del Giudice has been designated as the Fund Chief Compliance Officer.
Sample 1Sample 2
Fund Chief Compliance Officer. (“CCO”) Services Fund CCO Services A Provide a qualified CCO to serve as the Fund CCO A Review of Fund compliance policies and procedures A Ongoing testing of Fund compliance policies and procedures A Annual 38a-1 review and report of findings A Service provider oversight and periodic due diligence to ensure adequate service levels and compliance procedures A Annual due diligence of the Adviser and Fund service providers, with on-site visits as needed with reasonable travel expenses paid by the Fund A Prepare quarterly and annual reports to the Fund Board and attend Board meetings A Incorporate any new or amended regulations into the Fund compliance policies and procedures as needed A Coordinate and serve as point contact for SEC exam of the Fund A Provide Fund AML program and serve as AML Officer of the Fund
Sample 1
Fund Chief Compliance Officer means the Code of Ethics Compliance Officer of the Fund with respect to Trustees and officers of the Fund covered by this Code.
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Related to Fund Chief Compliance Officer

  • 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.

  • 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.

  • Department compliance officer means an individual who is:

  • 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 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.

  • Chief Probation Officer (i.e., CUSPO) means the individual appointed by the United States District Court to supervise the work of the court’s probation staff. For the purpose of the contract, the “Chief Probation Officer” acts as the contract administrator on behalf of the Director of the Administrative Office of the United States Courts.

  • 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.

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

  • Chief Administrative Officer (CAO means the person appointed to the position of chief administrative officer for the Town of Okotoks within the meaning of the Municipal Government Act;

  • Chief Investor Relations Officer means such senior officer of the Company appointed by the Board of directors to deal with dissemination of information and disclosure of UPSI in a fair and unbiased manner.

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

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

  • 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.

  • Chief Executive Officer (CEO means an officer of the Company as defined in Section 2(18) of the Act;

  • Chief Finance Officer means the officer having responsibility for the purposes of section 151 of the Local Government Act 1972 (financial administration) for the administration of the local authority’s financial affairs.

  • Chief Pretrial Services Officer (i.e., CPSO) means the individual appointed by the court to supervise the work of the court’s pretrial services staff. For the purpose of the contract, the “Chief Probation Officer” acts as the contract administrator on behalf of the Director of the Administrative Office of the United States Courts.

  • 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.

  • Chief information officer or "CIO" means the Chief Information Officer appointed pursuant to

  • Chief Fire Officer means the chief fire officer appointed by the municipality in terms of section 5 of the Fire Brigade Services Act and includes any person appointed as acting chief fire officer;

  • Chief Student Services Officer means the Administrative Officer at the College who has overall management responsibility for student services, or his/her designee.

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

  • CFO means an individual who acted as chief financial officer of the Company, or acted in a similar capacity, for any part of the most recently completed financial year;

  • Executive Officer means, with respect to any corporation, the Chief Executive Officer, Chief Operating Officer, Chief Financial Officer, President, Executive Vice President, any Vice President, the Secretary or the Treasurer of such corporation; and with respect to any partnership, any general partner xxxxxxx.

  • Chief Procurement Officer abbreviated as "CPO" means the chief executive of the City's Department of Procurement Services ("DPS"), and any representative duly authorized in writing to act on the Chief Procurement Officer's behalf.

  • Chief Executive Officer means the single office or official of the Recipient designated in Appendix B pursuant to Section VI hereof, or his authorized designee as per written notification to the Director.