StarCompliance Code of Ethics application definition

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/.
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StarCompliance Code of Ethics application means the web-based application used to electronically pre-clear personal securities transactions and file many of the
Sample 1Sample 2Sample 3
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 AllianceBernstein network at: https://alliance.starcompliance.com. 2 Defined as any client order on a Growth trading desk which has not been completely executed, as well as any “significant” open Value client orders, or Value “priority” purchases or sales, as those terms are defined by the applicable Value SBU CIO.
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Examples of StarCompliance Code of Ethics application in a sentence

  • Following each calendar quarter, the Legal and Compliance Department will forward (electronically via the StarCompliance Code of Ethics application) to each Employee, an individualized form containing all Securities transactions in the Employee’s Personal Accounts during the quarter based on information reported to AB by the Employee’s brokers.

  • Please note that this signoff is performed electronically through the StarCompliance Code of Ethics application.

  • New employees will receive an electronic request to perform this task via the StarCompliance Code of Ethics application.

  • On an annual basis, by a date to be specified by the Compliance Department (typically August 15th), each Employee who has reported managed accounts in the StarCompliance Code of Ethics application must provide to the Chief Compliance Officer, a signed and dated (or electronically certified via the StarCompliance application) certification.


More Definitions of StarCompliance Code of Ethics application

StarCompliance Code of Ethics application means the web-based application used to electronically pre-clear personal securities transactions and file many of the 2 Defined as any client order on a Growth trading desk which has not been completely executed, as well as any
Sample 1Sample 2
StarCompliance Code of Ethics application means the web-based application
Sample 1
StarCompliance Code of Ethics application means the web-based application used to electronically pre-clear personal
Sample 1

Related to StarCompliance Code of Ethics application

  • Vigilance and Ethics Officer means an officer appointed to receive protected disclosures from whistle blowers, maintaining records thereof, placing the same before the Audit Committee for its disposal and informing the Whistle Blower the result thereof.

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

  • Environmental and Social Standards or “ESSs” means, collectively:

  • Mobile crisis outreach team means a crisis intervention service for minors or families of minors experiencing behavioral health or psychiatric emergencies.

  • Community corrections officer means an employee of the

  • Quality Assurance Plan or “QAP” shall have the meaning set forth in Clause 11.2;

  • Statement of Compliance means the statement forming part of a Tender indicating the Bidders compliance with the Specification.

  • Code of Conduct means the SFC's Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission.