Compliance Officer definition

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compliance of policies, procedures, maintenance of records, monitoring adherence to the rules for the preservation of unpublished price sensitive information, monitoring of trades and the implementation of the codes specified in these regulations under the overall supervision of the Board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 Officer means the person or persons (including his or her designees) designated by the Manager, the Adviser/Subadviser, or Principal Underwriter, respectively, as having responsibility for compliance with the requirements of the Code.

Compliance Officer means the Company Secretary of the Company.

Examples of Compliance Officer in a sentence

• Consultant shall adhere to Client’s internal and regulatory policies and procedures and other applicable requirements directed by the Client’s Chief Compliance Officer (or designee) and Client’s required approval procedures prior to the publishing of any website pages, marketing emails or other digital and/or print marketing and advertising materials.

• The ADA Compliance Officer and each ADA Coordinator are responsible and will continue to be responsible for overseeing, supervising, and assisting in all investigations, and the resolution of grievances alleging that based on an ADA recognized disability, a Nevada employee or inmate has subjected an inmate to discrimination, harassment, intimidation, retaliation, or interference with the inmate’s rights under the ADA or this Agreement.

• Nevada shall also advise inmates of their right to submit complaints or grievances directly to the ADA Compliance Officer or relevant ADA Coordinators.

• The assigned CMD Contract Compliance Officer will apply these rating bonuses to each evaluation stage of the selection process, as applicable.

• Nevada shall implement revised procedures to ensure that grievances by inmates who allege discrimination on the basis of disability are promptly reviewed, reported to the ADA Compliance Officer and relevant ADA Coordinators, and addressed by appropriate action.

More Definitions of Compliance Officer

Compliance Officer means Company Secretary of the Company.

Compliance Officer means any senior officer, designated so and reporting to the board of directors or head of the organization in case of absence of Board, who is financially literate and is capable of appreciating requirements for legal and regulatory compliance under these regulations 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 listed company or the head of an organization, as the case may be;Explanation – For the purpose of this clause, “financially literate” shall mean a person who has the ability to read and understand basic financial statements i.e. balance sheet, profit and loss account, and statement of cash flows.

Compliance Officer means the Chief Compliance Officer of the Adviser and the Trust and the persons designated in Appendix 2, as such Appendix shall be amended from time to time.

Compliance Officer means Company Secretary or any senior officer, designated so and reporting to the Reporting Officer, who is financially literate and is capable of appreciating requirements for legal and regulatory compliance under the Regulations 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 this Code and other codes as specified in the Regulations under the overall supervision of the Board. For the purpose of this Code, “financially literate” shall mean a person who has the ability to read and understand basic financial statement, i.e., balance sheet, profit and loss account, and statement of cash flows.

Compliance Officer means a compliance safety and health officer employed by Iowa OSHA Enforcement.

Compliance Officer means the Company Secretary of the Company, who shall be responsible for compliance of policies, procedures, maintenance of records, monitoring adherence to the rules for the preservation of UPSI, monitoring of trades and implementation of the code under overall the overall supervision of the Board.

Compliance Officer means any person designated so, who is capable of appreciating requirements for regulatory compliance under these regulations, by a service provider;