Compliance Consultant definition

Compliance Consultant means the independent, third-party compliance consultancy engaged by CFP during the Relevant Period;
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Compliance Consultant means Kroll, LLC.
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Compliance Consultant means the outside independent entity retained by Maxim, such as a healthcare or consulting firm, to perform the functions identified in Appendix C.
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Examples of Compliance Consultant in a sentence

  • The Independent Compliance Consultant shall be a named individual who is either self-employed or a principal, partner, member or officer of an entity.

  • To pre-clear while out-of-office (iTrade is on the Intranet), either e-mail personst@wellsfargo.com or call the Compliance Consultant in charge of iTrade.

  • To pre-clear while out-of-office (iTrade is on the Intranet), either e-mail personst@wellsfargo.com or call the Compliance Consultant in charge of iTrade.Restricted /Prohibited SecuritiesRules 204A-1 and 17j-1 both require that Access Persons of investment advisers pre-clear any purchase in an Initial Public Offering or a Limited Offering (a private placement, an LP or LLC (including hedge funds)).

  • The CCO and/or the Compliance Consultant will periodically review notes and document such review.

  • Compliance Consultant shall place the highest priority on health, safety and protection of the environment.

  • The CCO, with the assistance of the Compliance Consultant, is responsible for monitoring all reports disclosed and responding to all preclearance requests submitted through ComplianceAlpha.

  • State and federal securities laws prohibiting insider trading also prohibit conduct that is intended to manipulate Securities prices or otherwise affect market conditions by injecting false or inaccurate information into the marketplace.If you have any questions about whether particular conduct is manipulative, you should contact the CCO who may consult with outside counsel and/or the Compliance Consultant.

  • The CCO may consult with outside counsel and/or the Compliance Consultant as needed.

  • Upon receipt of account statements, the Compliance Officer or Compliance Consultant will review the transaction activity to confirm:•There were no violations of the firm's personal trading policy•There was no evidence of improper trading activities or conflicts of interest.

  • As referenced in Restricted List Section below, the CCO, in consultation with the CIO or outside counsel and/or Compliance Consultant, will determine whether to place any issuers on the Restricted List before authorizing you or any other Firm personnel to receive such information.

Related to Compliance Consultant

  • Compliance Costs means all expenses, commitments or obligations in excess of one million dollars ($1,000,000) incurred by Carrier or required to be incurred by Carrier to comply with a Change in Law, irrespective of whether such expenses, commitments or obligations are to be incurred as a one-time expenditure or periodically for an extended period.

  • Insurance Consultant or "consultant" means a person who:

  • 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.

  • Compliance Audit means the procedure (in a form advised by the GLA from time to time) by which an auditor independent of the Grant Recipient certifies (at the Grant Recipient's cost) whether the Named Projects developed or Rehabilitated pursuant to this Agreement satisfy the GLA's procedural compliance requirements (as described in the Affordable Housing Capital Funding Guide);

  • Compliance year means the calendar year beginning with June 1 and ending with May 31 of the following year, for which a Retail Electricity Supplier must demonstrate that it has met the requirements of this Regulation.

  • Year 2000 Compliance has the meaning set forth in section 17.29 of the Management Agreement.

  • 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.

  • Consulting physician means a physician who is qualified by specialty or experience to make a professional diagnosis and prognosis regarding the patient's disease.

  • Subconsultant means any person or entity to whom/which the Consultant subcontracts any part of the Services in accordance with the provisions of GCC Clause 50.

  • Compliance Forester means the DNR staff person(s) identified in the Pre-Work Conference who perform the compliance inspections, approve Work, recommend payment to the Contract Manager, and manage the Work Schedule.

  • Compliance Review means an inspection of the home, grounds, and files to determine compliance with these regulations.

  • Labor compliance agreement means an agreement entered into between a contractor or subcontractor and an enforcement agency to address appropriate remedial measures, compliance assistance, steps to resolve issues to increase compliance with the labor laws, or other related matters.

  • Consultant means any person, including an advisor, engaged by the Company or a Parent or Subsidiary to render services to such entity.

  • The Consultant means the person, partnership or company with whom this Contract is placed.

  • Department compliance officer means an individual who is:

  • Repeat compliance period means any subsequent compliance period after the initial compliance period.

  • Project Management Consultant means --------------Not Applicable --------------

  • Sub-consultant means an entity to whom the Consultant intends to subcontract any part of the Services while the Consultant remains responsible to the Procuring Entity during the whole performance of the Contract.

  • Compliance schedule means a schedule of events, by date, which will result in compliance with these regulations.

  • Compliance Committee means the committee referenced under the Federated Code of Business Conduct and Ethics, consisting of, among others, the Chief Compliance Officer, the General Counsel, the Chief Audit Executive and the Chief Risk Officer.

  • Compliance Date means, in each case, the date by which compliance is required under the referenced provision of ARRA’s or HIPAA’s implementing regulations, as applicable.

  • Investment Consultant means any individual or organization employed to provide advisory services, including advice on investment objectives and/or asset allocation, manager search, and performance monitoring.

  • Independent Consultant means the independent individual, firm, or organization with which the SBA contracts to prepare the Premium Formula and any other actuarial services for the FHCF, as determined under the contract with the Consultant.

  • Compliance Department means the Chief Compliance Officer of Federated and those other individuals designated by him or her as responsible for implementing this Code and the Associated Procedures.

  • Year 2000 Compliant means, with respect to the Company's Information Technology, that the Information Technology is designed to be used prior to, during and after the calendar Year 2000, and the Information Technology used during each such time period will accurately receive, provide and process date and time data (including, but not limited to, calculating, comparing and sequencing) from, into and between the 20th and 21st centuries, including the years 1999 and 2000, and leap-year calculations, and will not malfunction, cease to function, or provide invalid or incorrect results as a result of the date or time data, to the extent that other information technology, used in combination with the Information Technology, properly exchanges date and time data with it. The Company has delivered to the Buyers true and correct copies of all analyses, reports, studies and similar written information, whether prepared by the Company or another party, relating to whether the Information Technology is Year 2000 Compliant, if any.

  • Compliance Report means, as applicable in relation to the test being conducted, a report containing the results of the Compliance Tests carried out by State Street.