Compliance Director definition

Compliance Director means the individual designated by the Fund to make decisions and offer advice regarding Rule 17j-1, as amended, and the Code of Ethics adopted by the Fund.

Compliance Director means the employee responsible for compliance at CMCL and the Group and holding that title;

Compliance Director means the person appointed pursuant to paragraph 18.5;

Examples of Compliance Director in a sentence

• REPORTING MATERIAL NON-PUBLIC INFORMATION TO COMPLIANCE DIRECTOR From time-to-time, a director, officer or employee of The Firm, may come into possession of material non-public information (of the type described above) about a company.

• COMPLIANCE DIRECTOR: means the person appointed by Reserve as such and indicated in Appendix III, as updated from time to time.

• FOR THIS REASON, YOU SHOULD DIRECT ANY QUESTIONS WHATEVER ABOUT WHETHER INFORMATION IS MATERIAL TO THE COMPLIANCE DIRECTOR.

• WHEN YOU BELIEVE THAT YOU SUFFICIENTLY UNDERSTAND THEM, PLEASE SIGN, DATE, AND RETURN THE ATTACHED CERTIFICATE OF COMPLIANCE AND PERSONAL HOLDINGS IN SECURITIES TO THE COMPLIANCE DIRECTOR (AS DEFINED BELOW).

• SECURITIES MAY NOT BE SOLD OR BOUGHT BACK WITHIN 60 DAYS AFTER THE ORIGINAL TRANSACTION WITHOUT THE PERMISSION OF THE GROUP COMPLIANCE DIRECTOR.

More Definitions of Compliance Director

Compliance Director means the person appointed pursuant to paragraph 9.6 of these Undertakings;

Compliance Director means the compliance director of SCS at any given time.

Compliance Director means the person appointed pursuant to paragraph 17.3, who shall be a member of the senior management of Bauer;

Compliance Director means the person designated by Woodland from time to time to fulfill the role of Compliance Director under this Code of Ethics.

Compliance Director means the person(s) charged with the responsibility, at any given time, to pre-clear trades, grant exceptions to prohibitions under the Code, receive reports and notices required by this Code to be generated, and to accomplish any other requirement of this Code related to the oversight of activities, the exercise of discretion or the making of decisions relating to the activities of persons covered by this Code.

Compliance Director means the individual designated by Lincoln Investment Management, Inc. to make decisions and offer advice regarding Rule 17j-1, as amended, and the Code of Ethics.

Compliance Director means the employee who was responsible for compliance at CMCL and the Group during the Relevant Period and holding that title;