Compliance Staff definition

Compliance Staff means those individuals listed in Appendix V with the ability to approve the pre-clearance of security transactions.
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Compliance Staff means individuals employed or contracted by the Compliance Enforcement Authority who have the authority to make initial determinations of Registered Entities’ compliance with or violation of the Reliability Standards and associated Penalties and Mitigation Plans.
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Compliance Staff means a compliance team, consisting of one or more members, led by the CO.
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Examples of Compliance Staff in a sentence

  • Each requirement in each Reliability Standard has an associated VRF and a set of VSLs. VRFs and VSLs are developed by the drafting team, working with NPCC Standards Staff and Compliance Staff, at the same time as the associated Reliability Standard, but are not part of the Reliability Standard.

  • The drafting team also works collaboratively with NPCC Compliance Staff to develop Reliability Standard Audit Worksheets (RSAWs) at the same time regional standards are developed.

  • Another example is tensor calculus, which we will consider in detail in Chapter 2.3.2, where the distinction between the primal and dual space will in fact be crucial, since objects in the different spaces obey different transformation laws.An immediate corollary of the Riesz representation theorem is the following.Corollary 2.3. Let H be a Hilbert space.

  • The Authority Project Manager and Contract Compliance Staff will monitor Contractor’s compliance with Section 3 Requirements.

  • NPCC Compliance Staff will initially review all submittals received to assure that the information forwarded is accurate and complete.

  • Compliance Staff and Resources The MarketAxess SEF shall establish and maintain sufficient compliance staff and resources to ensure that it can conduct effective audit trail reviews, trade practice surveillance, market surveillance, and real-time market monitoring.

  • If after, initially receiving a compliance submittal, the Compliance Staff identifies an instance of non-compliance, a Notice of Possible Violation (NOPV), without penalty, is issued to the registered entity and NERC while the Compliance Staff continues its more detailed and comprehensive review of the submittal.

  • Coordinating the implementation of NPCC Compliance Staff responsibilities as they pertain to the executed MOU with each of the Canadian Provinces in the NPCC Region.

  • While RSAWs are not part of the Reliability Standard, they are developed through collaboration of the SDT and NERC Compliance Staff.

  • SERC’s Monitoring of Registered Entity’s Mitigation Plan Progress:SERC Reliability Corporation Compliance Staff (“SERC Staff”) monitors the Registered Entity’s progress towards completion of its Mitigation Plans in accordance with Section6.0 of the uniform Compliance Monitoring and Enforcement Program, (“CMEP”).

Related to Compliance Staff

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

  • Compliance Statement is that certain statement in the form attached hereto as Exhibit B.

  • 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.

  • 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.