Policies and Procedures means the written policies and procedures of the Client in any way related to the Services, including any such policies and procedures contained in the Organic Documents and the Offering Documents.
Policies and Procedures means regulations or directives, regardless of the name, describing the duties, functions, and obligations of SPD officers and/or employees, and providing specific direction in how to fulfill those duties, functions, or obligations. Case 2:12-cv-01282-JLR Document 3-1 Filed 07/27/12 Page 13 of 76 EXHIBIT A (SETTLEMENT AGREEMENT AND STIPULATED [PROPOSED] ORDER OF RESOLUTION) - 10 12-CV-1282 UNITED STATES ATTORNEY 700 Stewart Street, Suite 5220 Seattle, WA 98101-1271 (206) 553-7970 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24
Policies and Procedures Regarding Acquisitions and Dispositions of Legg Mason Securities," as the same may be amended from time to time.
Any Access Persons who are subject to the Broker-Dealer Written Supervisory Policies and Procedures also should consult those procedures for additional guidance on the receipt of gifts and gratuities.
The Adviser may delegate its responsibilities under these Policies and Procedures to a third party, provided that no such delegation shall relieve the Adviser of its responsibilities hereunder and the Adviser shall retain final authority and fiduciary responsibility for such proxy voting.
Relationship to Other Policies and Procedures This Code shall be the sole code of ethics adopted by the Funds for purposes of Section 406 of the Sarbanes-Oxley Act and the rules and forms applicable to registered investment companies thereunder.
III.14b.3 Other Policies and Procedures This Code shall be the sole code of conduct adopted by the Vanguard Funds for purposes of Section 406 of the Sarbanes-Oxley Act and the rules and forms applicable to registered investment companies thereunder.