compliance policies and procedures definition

compliance policies and procedures means the policies and procedures established under paragraph 7(a) of the advice under Article 13(2) of the Directive, including the code of conduct referred to in paragraph 11 of that advice, and the policies and procedures required under Articles 13(4) and (5) of the Directive;
Sample 1Sample 2
compliance policies and procedures shall have the meaning specified in Section 5.11.
Sample 1

Examples of compliance policies and procedures in a sentence

  • IN ADDITION, EMPLOYEES OF SIGFS ARE SUBJECT TO ALL OTHER APPLICABLE COMPLIANCE POLICIES AND PROCEDURES ADOPTED BY THOSE ENTITIES.

  • IN ADDITION, EMPLOYEES OF SIGFS AND SIFM ARE SUBJECT TO ALL OTHER APPLICABLE COMPLIANCE POLICIES AND PROCEDURES ADOPTED BY THOSE ENTITIES.

  • Employees should refer to and comply with the requirements of Batterymarch's INFORMATIONAL BARRIERS POLICY, PRIVACY POLICY and the various portfolio holdings disclosure policies included in Batterymarch's COMPLIANCE POLICIES AND PROCEDURES MANUAL.

  • In some cases, the rules in the Code are more restrictive than the rules in the Deutsche Bank COMPLIANCE POLICIES AND PROCEDURES.

  • HAVE READ the material on Insider Trading in the Deutsche Bank COMPLIANCE POLICIES AND PROCEDURES MANUAL and CODE OF PROFESSIONAL CONDUCT.

  • The approval may be subject to limitations, including timing of COMPLIANCE POLICIES AND PROCEDURES MANUAL investments, number of investments, or amount of investments.

  • THE REQUIREMENTS AND LIMITATIONS OF THIS CODE OF ETHICS ARE IN ADDITION TO ANY REQUIREMENTS OR LIMITATIONS CONTAINED IN THE CODE OF CONDUCT OR IN OTHER COMPLIANCE POLICIES AND PROCEDURES APPLICABLE TO SEI AND ITS PERSONNEL.

  • COMPLIANCE POLICIES AND PROCEDURES MANUAL Exhibit D - List of Funds RiverNorth Core Opportunity Fund RiverNorth/DoubleLine Strategic Income Fund RiverNorth Equity Opportunity Fund RiverNorth/Oaktree High Income Fund RiverNorth Opportunities Fund, Inc.

  • COMPLIANCE POLICIES AND PROCEDURES MANUAL Exhibit D - List of Funds RiverNorth Core Opportunity Fund RiverNorth/DoubleLine Strategic Income Fund RiverNorth/Oaktree High Income Fund RiverNorth Opportunities Fund, Inc.

  • COMPLIANCE POLICIES AND PROCEDURES: means the then current Compliance Policies and Procedures adopted by FS & Co. COVERED SECURITY: means any stock, bond, note or other obligations, future, investment contract, or any other investment that is considered a security under the Investment Advisers Act (SEE Section 2(a)(36) of the Investment Company Act, the text of which is also set forth in Appendix A).

Related to compliance policies and procedures

  • 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.

  • Environmental Guidelines means the environmental guidelines and occupational health and safety standards of the World Bank Group as in effect on [Bid Date].

  • AML/KYC Procedures means the customer due diligence procedures of a Reporting Finnish Financial Institution pursuant to the anti-money laundering or similar requirements of Finland to which such Reporting Finnish Financial Institution is subject.

  • Trading Compliance Policy means the written policy of the Company pertaining to the purchase, sale, transfer or other disposition of the Company’s equity securities by Directors, Officers, Employees or other service providers who may possess material, nonpublic information regarding the Company or its securities.

  • Compliance Plan means the compliance obligations, program, and procedures described in this Consent Decree at paragraph 13.

  • Compliance Program means the program established by CNYCC to prevent, detect, and address compliance issues that arise with respect to PPS operations, projects or activities.

  • Staff Vetting Procedures means the Authority’s procedures for the vetting of personnel and as advised to the Contractor by the Authority.

  • railway operational procedures means procedures specified under any access agreement (as defined in the Railways Act 1993) or station lease;

  • Internal Procedures means in respect of the making of any one or more entries to, changes in or deletions of any one or more entries in the register at any time (including without limitation, original issuance or registration of transfer of ownership) the minimum number of the Warrant Agent’s internal procedures customary at such time for the entry, change or deletion made to be complete under the operating procedures followed at the time by the Warrant Agent, it being understood that neither preparation and issuance shall constitute part of such procedures for any purpose of this definition;

  • MERS Procedures Manual The MERS Procedures Manual, as it may be amended, supplemented or otherwise modified from time to time.

  • Safeguards Monitoring Report means each report prepared and submitted by the Borrower to ADB that describes progress with implementation of and compliance with the EMP and the RP (as applicable), including any corrective and preventative actions;

  • Procurement Guidelines means the “Guidelines: Procurement under IBRD Loans and XXX Credits” published by the Bank in May 2004 and revised in October, 2006.

  • Servicer Policies and Practices means, with respect to the Servicer’s duties under Exhibit A to the Servicing Agreement, the policies and practices of the Servicer applicable to such duties that the Servicer follows with respect to comparable assets that it services for itself and, if applicable, others.

  • Standard Operating Procedures or “SOP” means the procedures as specified in the Annexes or Attachments to the relevant Schedules;

  • 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.

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

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

  • Bidding Procedures means the procedures governing the Auction and sale of all or substantially all of the Debtors’ assets, as approved by the Bankruptcy Court and as may be amended from time to time in accordance with their terms.

  • Operating Procedures means the standard internal operating procedures and compliance policies established by the Company to implement the Compliance Plan.

  • Auction Procedures means the Auction Procedures that are set forth in Paragraph 10 of the Articles Supplementary.

  • Compliance Order means an order issued by the Code Enforcement Officer pursuant to subdivision (a) of section 15 of this local law.

  • Compliance agreement means a written agreement between a person and the Commissioner to achieve compliance with this quarantine.

  • Operating Guidelines means the guidelines for the creation and redemption of Units of a class as set out in the schedule to each Participation Agreement as amended from time to time by the Manager with the approval of the Trustee, and where applicable, with the approval of HKSCC and the Conversion Agent, and following consultation, to the extent reasonably practicable, with the relevant Participating Dealers subject always, in respect of the relevant Operating Guidelines for a Participating Dealer, any amendment being notified in writing by the Manager in advance to the relevant Participating Dealer. Unless otherwise specified, references to the Operating Guidelines shall be to the Operating Guidelines for the relevant Sub-Fund applicable at the time of the relevant Application.

  • Ordering Procedures means the ordering and award procedures specified in Clause 6 (Ordering Procedures) and Framework Schedule 5 (Ordering Procedure);

  • Program Requirements means that Partner has to fulfill certain program requirements as described in detail in the applicable SAP PartnerEdge Model and the PartnerEdge Program Guide.