Legal and Compliance Department definition

Legal and Compliance Department means the Legal and Compliance Department of Legg Mason and the persons designated in Appendix 1, as such Appendix shall be amended from time to time. See also “Appropriate Compliance Department.”
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Legal and Compliance Department means the Compliance and Business Risk Department in the U.K. or the Legal and Compliance Department in the U.S., or successor departments, as appropriate.
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Legal and Compliance Department means the Legal and Compliance Department of Brandywine
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Examples of Legal and Compliance Department in a sentence

  • Employees receiving such inquiries should refer such matters immediately to the Legal and Compliance Department.

  • Please also refer to the Policy and Procedures for Giving and Receiving Gifts and Entertainment, which can be found on the Legal and Compliance Department intranet site, for a discussion relating to some of these issues.

  • A copy of the policy can be found on the Legal and Compliance Department intranet site.

  • Legal and Compliance Department (click link) reviews the quality and completeness of our Client file.

  • Such independent review shall be made in writing and furnished to the Legal and Compliance Department.

  • Clearance must be obtained from the Legal and Compliance Department before any new word, phrase or slogan, which we consider proprietary and in need of trademark protection, is adopted or used in any written materials.

  • Any concern regarding copyright, trademark, or patent infringement should be immediately communicated to the Legal and Compliance Department.

  • To obtain clearance, the proposed word, phrase or slogan and a brief description of the products or services for which it is intended to be used should be communicated to the Legal and Compliance Department sufficiently well in advance of any actual use in order to permit any necessary clearance investigation.

  • Legal and Compliance Department personnel are available to assist employees in meeting these requirements.

  • Please see the Policy and Procedures for Giving and Receiving Gifts and Entertainment, which can be found on the Legal and Compliance Department intranet site, for a discussion relating to political contributions suggested by clients.


More Definitions of Legal and Compliance Department

Legal and Compliance Department means the Legal and Compliance Department of Brandywine as shown on Appendix 1.
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Related to Legal and Compliance Department

  • 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.

  • Health Department means the department of environmental quality, a city health department, a county health department, or a district health department, whichever has jurisdiction.

  • State department means the state department of human services.

  • the Department means the Department of the Environment;

  • Local health department means the same as that term is defined in Section 26A-1-102.

  • Planning Department means the Planning Department of the City and County of San Francisco.

  • Environmental and Social Management Plan or “ESMP” means a site-specific environmental and social management plan to be prepared in accordance with the parameters laid down in the ESMF and acceptable to the Association, setting forth a set of mitigation, monitoring, and institutional measures to be taken during the implementation and operation of the Project activities to eliminate adverse environmental and social impacts, offset them, or reduce them to acceptable levels, and including the actions needed to implement these measures.

  • 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.

  • Department means the department of health.

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

  • StarCompliance Code of Ethics application means the web-based application used to electronically pre-clear personal securities transactions and file many of the reports required herein. The application can be accessed via the AB network at: https://alliance-ng.starcompliance.com/.

  • 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.

  • government department means any department of the Government of the United Kingdom;