Examples of StarCompliance Code of Ethics application in a sentence
New employees will receive an electronic request to perform this task via the StarCompliance Code of Ethics application.
On an annual basis, by a date to be specified by the Compliance Department (typically February 15th), each Employee must provide to the Chief Compliance Officer, a signed and dated (or electronically certified via the StarCompliance Code of Ethics application) Annual Holdings Report containing data current as of a date not more than forty five (45) days prior to the date of the submission.
On an annual basis, by a date to be specified by the Compliance Department (typically August 15th), each Employee who has reported managed accounts in the StarCompliance Code of Ethics application must provide to the Chief Compliance Officer, a signed and dated (or electronically certified via the StarCompliance application) certification.
Please note that this signoff is performed electronically through the StarCompliance Code of Ethics application.
Following each calendar quarter, the Legal and Compliance Department will forward (electronically via the StarCompliance Code of Ethics application) to each Employee, an individualized form containing all Securities transactions in the Employee’s Personal Accounts during the quarter based on information reported to AB by the Employee’s brokers.
Quarterly Reports by Employees–including Certain Funds and Limited OfferingsFollowing each calendar quarter, the Legal and Compliance Department will forward (electronically via the StarCompliance Code of Ethics application) to each Employee, an individualized form containing all Securities transactions in the Employee’s Personal Accounts during the quarter based on information reported to AB by the Employee’s brokers.
Quarterly Reports by Employees – including Certain Funds and Limited OfferingsFollowing each calendar quarter, the Legal and Compliance Department will forward (electronically via the StarCompliance Code of Ethics application) to each Employee, an individualized form containing all Securities transactions in the Employee’s Personal Accounts during the quarter based on information reported to AB by the Employee’s brokers.
MEASUREMENTS AND SPECIFICATIONSDisplacement is challenging to systematically operationalise for the purpose of official statistics because many of the concepts that are key to measuring it have not yet been standardised in statistical practice.
Annual Certification by Employees with Managed AccountsOn an annual basis, by a date to be specified by the Compliance Department (typically August 15th), each Employee who has reported managed accounts in the StarCompliance Code of Ethics application must provide to the Chief Compliance Officer, a signed and dated (or electronically certified via the StarCompliance application) certification.
All equity and fixed income transactions (other than US Treasuries) are prohibited.6 For purposes of the pre-clearance requirement, all employees in the Value SBU are considered Investmentthe date of the contemplated transaction, through the use of the appropriate pre-clearance form, which can be accessed via the StarCompliance Code of Ethics application at http://starcompliance.acml.com//.