Compliance Officers Sample Clauses

Compliance Officers. The firm’s Compliance Officer for Legal Practice (‘COLP’) is: Xxxxxx Xxxxxx (xxxxxx.xxxxxx@xxxxx.xxx); and The firm’s Compliance Officer for Finance and Administration (‘COFA’) is: Xxxxxx Xxxxxx (xxxxxx.xxxxxx@xxxxx.xxx).
Sample 1Sample 2Sample 3See All (6)
AutoNDA by SimpleDocs
Compliance Officers. “Compliance Officers” shall mean the persons employed as the Trial-Level Compliance Officer and the Juvenile Justice Compliance Officer by La. R.S. 15:157 and 15:158, respectively.
Sample 1Sample 2Sample 3See All (4)
Compliance Officers. J&J Chief Compliance Officer. Prior to the Effective Date, J&J appointed a Covered Person to serve as its Chief Compliance Officer (hereafter “J&J Chief Compliance Officer” or “J&J CCO”). J&J shall maintain a J&J CCO for the term of the CIA. The J&J CCO shall be responsible for developing and implementing policies, procedures, and practices designed to ensure compliance with the requirements set forth in this CIA and with Federal health care program and FDA requirements. The J&J CCO shall be a member of senior management of J&J, shall make periodic (at least quarterly) reports directly to the Chief Executive Officer of J&J, shall make periodic (at least quarterly) reports regarding compliance matters directly to the Regulatory, Compliance, and Government Affairs Committee of the Board of Directors of J&J, and shall be authorized to report on such matters to the Regulatory, Compliance, and Government Affairs Committee of the Board of Directors at any time. The J&J CCO shall not be or be subordinate to the Chief Legal Officer or Chief Financial Officer. The J&J CCO shall be responsible for monitoring the day-to-day compliance activities engaged in by J&J as well as for any reporting obligations created under this CIA. Any noncompliance job responsibilities of the J&J CCO shall be limited and must not interfere with the J&J CCO’s ability to perform the duties outlined in this CIA. NALT Compliance Officer. Prior to the Effective Date, the J&J Pharmaceutical Affiliates, through their leadership board referred to as the J&J Pharmaceutical Group North American Leadership Team (NALT) appointed a Compliance Officer (NALT Compliance Officer), and the NALT shall maintain a Compliance Officer during the term of the CIA. The NALT Compliance Officer shall be responsible for working with the J&J CCO to develop and implement policies, procedures, and practices designed to ensure compliance with the requirements set forth in this CIA and with Federal health care program and FDA requirements. The NALT Compliance Officer shall be a member of senior management of the NALT and shall ensure periodic (at least quarterly) reports are made regarding compliance matters directly to the NALT, and shall be authorized to report on such matters to the NALT at any time. The NALT Compliance Officer also shall work with the J&J CCO to ensure periodic (at least quarterly) reports are made regarding compliance matters directly to the Regulatory, Compliance, and Government Affairs Committee o...
Sample 1Sample 2
Compliance Officers. The board of directors of Affirm shall designate a “Chief Compliance Officer” responsible for Affirm’s CMS and all compliance-related activities and a “Bank Secrecy Act Officer” (who may be the same person as the Chief Compliance Officer). Such compliance officers shall have sufficient education and work experience to oversee the CMS and BSA Policy.
Sample 1
Compliance Officers. Obligated people shall design a management authorities in charge of the obligations to which the second paragraph or article 19 of the Law is referred, in the term of two (2) months, from the in force of this Regulation, to whom they will denominate “compliance officers”. In case of the entities under the vigilance and inspection of the Superintendency of Banks, the term is of ten (10) days, from the same date, to confirm the designation of the officials; or, to design new officials that have the knowledge and experience to make the actions provided in the Law and this Regulation. The designation or confirmation of the compliance officers shall be informed to the Superintendency of Banks, through the Intendency, in the next ten (10) days. To such inform it shall be attached the curriculum vitae of the designed of confirmed official. Likewise, each time that a compliance officer is replaced, it shall be reported to the Superintendency of Banks, through the Intendency, and it has to be sent the curriculum vitae of the acting management authority, in the provided term. The compliance officers shall be exclusively dedicated to his or hers duties, except in case of the obligated people in Group B to which article 5 of this Regulation refers, which provides that the responsible of the compliance officer will be a management authority of such obligated people.
Sample 1
Compliance Officers. 1. Within 90 days after the Effective Date, TGS shall appoint a Chief Compliance Officer and shall maintain a Chief Compliance Officer for the term of the CIA. The Chief Compliance Officer shall be an employee and a member of senior management of TGS, shall report directly to the Chief Executive Officer of TGS, and shall not be or be subordinate to the General Counsel or Chief Financial Officer or have any responsibilities that involve acting in any capacity as legal counsel or supervising legal counsel functions for TGS. The Chief Compliance Officer shall be responsible for, without limitation:
Sample 1

Related to Compliance Officers

  • Chief Compliance Officer The Chief Compliance Officer of the Trust will be responsible for administering its compliance policies and procedures, shall have sufficient authority and independence within the organization to compel others to adhere to the compliance policies and procedures, shall report directly to the Board of Trustees, shall annually furnish a written report on the operation of the compliance policies and procedures to the Board of Trustees and shall perform such other duties as prescribed by the Board of Trustees.

  • Compliance Audits D.4.1 Compliance Audit(s). Without limiting the generality of section A.7.4 (Records Review), if requested by the Province from time to time, which request shall be at the Province’s sole discretion, the Recipient, at its own expense, will forthwith retain an independent third party auditor to conduct one or more compliance audits of the Recipient or any Project. The audit will be conducted in accordance with Canadian Generally Accepted Auditing Standards, as adopted by the Canadian Institute of Chartered Accountants, applicable as of the date on which a record is kept or required to be kept under such standards. In addition, the audit will assess the Recipient’s compliance with the terms of the Agreement and will address, with respect to each Project, without limitation, the following:

  • Compliance Committee (1) Within thirty (30) days of the date of this Agreement, the Board shall appoint a Compliance Committee of at least three (3) directors, of which no more than one (1) shall be an employee or controlling shareholder of the Bank or any of its affiliates (as the term “affiliate” is defined in 12 U.S.C. § 371c(b)(1)), or a family member of any such person. Upon appointment, the names of the members of the Compliance Committee and, in the event of a change of the membership, the name of any new member shall be submitted in writing to the Assistant Deputy Comptroller. The Compliance Committee shall be responsible for monitoring and coordinating the Bank's adherence to the provisions of this Agreement.

  • Executive Officers To the knowledge of the Company, no executive officer or person nominated to become an executive officer of the Company (a) has been convicted in a criminal proceeding or is a named subject of a pending criminal proceeding (excluding minor traffic violations) or (b) is or has been subject to any judgment or order of, the subject of any pending civil or administrative action by the Securities and Exchange Commission or any self-regulatory organization.

  • Compliance Reports The Subadvisor at its expense will provide the Advisor with such compliance reports relating to its duties under this Agreement as may be agreed upon by such parties from time to time.

  • Compliance Matters (a) The Sub-Adviser understands and agrees that it is a “service provider” to the Trust as contemplated by Rule 38a-1 under the 1940 Act. As such, the Sub-Adviser agrees to cooperate fully with the Adviser and the Trust and its Trustees and officers, including the Fund’s CCO, with respect to (i) any and all compliance-related matters, and (ii) the Trust’s efforts to assure that each of its service providers adopts and maintains policies and procedures that are reasonably designed to prevent violation of the “federal securities laws” (as that term is defined by Rule 38a-1) by the Trust, the Adviser and the Sub-Adviser. In this regard, the Sub-Adviser shall:

  • Chief Executive Officer and Director Notification Requirement If the Recipient is a Chief Executive Officer (“CEO”) or a director, associate director or shadow director of the Company’s Singapore Affiliate, the Recipient is subject to certain notification requirements under the Singapore Companies Act. Among these requirements is an obligation to notify the Company’s Singapore Affiliate in writing when the Recipient receives an interest (e.g., the Awards, Shares, etc.) in the Company or any Affiliates within two business days of (i) its acquisition or disposal, (ii) any change in a previously disclosed interest (e.g., when Shares are sold), or (iii) becoming a CEO, director, associate director or shadow director. SOUTH AFRICA

  • Responsibility of Dual Directors, Officers and/or Employees If any person who is a manager, partner, officer or employee of the Adviser or the Administrator is or becomes a director, officer and/or employee of the Company and acts as such in any business of the Company, then such manager, partner, officer and/or employee of the Adviser or the Administrator shall be deemed to be acting in such capacity solely for the Company, and not as a manager, partner, officer or employee of the Adviser or the Administrator or under the control or direction of the Adviser or the Administrator, even if paid by the Adviser or the Administrator.

  • Compliance Procedures The Adviser will, in accordance with Rule 206(4)-7 of the Advisers Act, adopt and implement written policies and procedures reasonably designed to prevent violations of the Advisers Act and will provide the Trust with copies of such written policies and procedures upon request.

  • Executive Office; Maintenance of Offices The Seller shall give Ally Auto written notice within ten (10) days of any relocation of its principal executive office if, as a result of such relocation, the applicable provisions of the UCC would require the filing of any amendment of any previously filed financing or continuation statement or of any new financing statement. The Seller shall at all times maintain each office from which it originates Receivables and its principal executive office within the United States of America.

Time is Money Join Law Insider Premium to draft better contracts faster.