Sentences with phrase «compliance by its officers»

No matter what steps a corporation takes to ensure legal compliance by its officers and employees, t...

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Additionally, we decided to further centralize our data security efforts by appointing Steve Ross, one of our most senior executives, to the new position of Client Data Compliance Officer.

The culture of compliance at Franklin Templeton starts from the top, with support from senior management and oversight by the firm's Chief Complianccompliance at Franklin Templeton starts from the top, with support from senior management and oversight by the firm's Chief ComplianceCompliance Officer.

Further, as noted below, any Shares pledged by a Board member or Executive Officer will not be counted when determining whether the Board member or Executive Officer is in compliance with the guidelines.

«We won't be able to eliminate all spam, but we want to make the online environment more secure for Canadians by addressing the more severe cases,» said Manon Bombardier, the CRTC's chief compliance and enforcement officer.

If you're running a fintech business, subject to anti-money laundering (AML) laws, appointing an AML and / or compliance officer isn't enough — board / senior management need to take responsibility to manage AML risk by carrying out a risk assessment;

itBit utilizes a proprietary AML / KYC program, overseen by our experienced Chief Compliance Officer, Erik Wilgenhof Plante, that incorporates the use of bank - grade compliance software and systems to continuously monitor our aCompliance Officer, Erik Wilgenhof Plante, that incorporates the use of bank - grade compliance software and systems to continuously monitor our acompliance software and systems to continuously monitor our activities.

This week, the SEC issued an order charging a registered investment adviser, along with its then - chief compliance officer, with breaching their fiduciary duties by failing to disclose a conflict of interest created by the outside business activity of one of the adviser's top - performing portfolio managers and failing to disclose a breach of the adviser's private investment policy by that portfolio manager.

Other specific duties and responsibilities of the HR and Compensation Committee include reviewing senior management selection and overseeing succession planning, including reviewing the leadership development process; reviewing and approving objectives relevant to executive officer compensation and evaluating performance and determining the compensation of executive officers in accordance with those objectives; approving severance arrangements and other applicable agreements for executive officers; overseeing HP's equity and incentive compensation plans; overseeing non-equity-based benefit plans and approving any changes to such plans involving a material financial commitment by HP; monitoring workforce management programs; establishing compensation policies and practices for service on the Board and its committees, including annually reviewing the appropriate level of director compensation and recommending to the Board any changes to that compensation; developing stock ownership guidelines for directors and executive officers and monitoring compliance with such guidelines; and annually evaluating its performance and its charter.

Last, but not least, there is typically no reason not to immediately address any safety hazards identified by the compliance officer during the inspection.

He added that any workplace violations would likely be investigated by the corporate compliance officer.

The DUP's Jim Shannon is being investigated by the Independent Parliamentary Standards Authority's compliance officer over expense claims.

Democratic Unionist Party MP Jim Shannon is being investigated by the Independent Parliamentary Standards Authority's compliance officer over expenses claims, the watchdog has said.

The lawsuit seeks to void the content of a memo drafted in February by Joshua Toas, chief compliance officer at SUNY RF, the university system's nonprofit research arm, which concluded that Dr. Haldar had shown «a reckless disregard for the rules and policies that govern our business.»

However, it was learnt that three bank workers including a relationship manager and a compliance officer were arrested by the anti-graft agency.

Mr Danczuk coughed up before being forced to by the Compliance Officer of the Independent Parliamentary Standards Authority — the body that oversees MPs expenses.

However, Oyedepo told the court that there was a certificate from Fidelity Bank Plc bearing the authenticity of the document and that it was signed by one Bayo Ogunmolade, Chief Compliance Officer, Fidelity Bank Plc..

Our officers had come back to monitor for compliance but they were prevented by hoodlums from carrying out their statutory responsibilities

The Commission oversees compliance by public officers with ethics laws and by lobbyists with the state laws that govern lobbying in order to avoid conflicts of interest on the part of those holding elected office or public employment in the State of New York.

• All government departments and agencies will be assigned two officers, Sanitation Marshals and Deputy Marshals, to ensure the compliance to sanitation by - laws.

If you suspect fraud, abuse or waste in Medicaid Claims made by, or in connection with, the Syracuse City School District we encourage you to report them to Medicaid Compliance Officer, Lynne Sheldon.

(B)(i) that such unit shall be located at an organizational level and shall have an organizational status within such State agency comparable to that of other major organizational units of such agency, or (ii) in the case of an agency described in clause (1)(B)(ii), either that such unit shall be so located and have such status, or that the director of such unit shall be the executive officer of such State agency; except that, in the case of a State which has designated only one State agency pursuant to clause (1) of this subsection, such State may, if it so desires, assign responsibility for the part of the plan under which vocational REHABILITATION services are provided for the blind to one organizational unit of such agency, and assign responsibility for the rest of the plan to another organizational unit of such agency, with the provisions of this clause applying separately to each of such units; provide for financial participation by the State, or if the State so elects, by the State and local agencies to meet the amount of the non - Federal share; provide that the plan shall be in effect in all political subdivisions, except that in the case of any activity which, in the judgment of the Secretary, is likely to assist in promoting the vocational REHABILITATION of substantially larger numbers of handicapped individuals or groups of handicapped individuals the Secretary may waive compliance with the requirement herein that the plan be in effect in all political subdivisions of the State to the extent and for such period as may be provided in accordance with regulations prescribed by him, but only if the non - Federal share of the * cost of such vocational REHABILITATION services is met from funds made available by a local agency (including, to the extent permitted by such regulations, funds contributed to such agency by a private agency, organization, or individual);

Within the Department of Transportation (DOT), DOT's Office of Chief Information Officer (OCIO), within the Office of the Secretary of Transportation (OST), is responsible for leading DOT's compliance with the Open Government Directive issued by the Office of Management and Budget on December 8, 2009 (OMB Memorandum M -10-06).

This accreditation, when accepted by the Contracting Officer, shall be incorporated into the contract as a compliance document, and shall include a final security plan, a risk assessment, security test and evaluation, and disaster recovery / continuity of operations plan.

D. Obtaining, within sixty days after entry of this Final Judgment and on each anniversary of the entry of this Final Judgment, from each person identified in Sections VII.A and VII.B of this Final Judgment, and thereafter maintaining, a certification that each such person (a) has read, understands, and agrees to abide by the terms of this Final Judgment; and (b) is not aware of any violation of this Final Judgment or the antitrust laws or has reported any potential violation to the Antitrust Compliance Officer;

The proposed Final Judgment further requires the Antitrust Compliance Officer to ensure that each such person receives training related to the proposed Final Judgment and the antitrust laws; to ensure certification by each such person of compliance with the terms of the proposed Final Judgment; to conduct an annual antitrust compliance audit; to be available to receive information concerning violations of the proposed Final Judgment and to take appropriate action to remedy any violations of the proposed Final Judgment; and to maintain a log of communications between officers and directors of Settling Defendants, involved in the development of strategies related to e-books, and any person associated with another Publisher Defendant, where that communication relates to the selling of books in any format in the UnitCompliance Officer to ensure that each such person receives training related to the proposed Final Judgment and the antitrust laws; to ensure certification by each such person of compliance with the terms of the proposed Final Judgment; to conduct an annual antitrust compliance audit; to be available to receive information concerning violations of the proposed Final Judgment and to take appropriate action to remedy any violations of the proposed Final Judgment; and to maintain a log of communications between officers and directors of Settling Defendants, involved in the development of strategies related to e-books, and any person associated with another Publisher Defendant, where that communication relates to the selling of books in any format in the Unitcompliance with the terms of the proposed Final Judgment; to conduct an annual antitrust compliance audit; to be available to receive information concerning violations of the proposed Final Judgment and to take appropriate action to remedy any violations of the proposed Final Judgment; and to maintain a log of communications between officers and directors of Settling Defendants, involved in the development of strategies related to e-books, and any person associated with another Publisher Defendant, where that communication relates to the selling of books in any format in the Unitcompliance audit; to be available to receive information concerning violations of the proposed Final Judgment and to take appropriate action to remedy any violations of the proposed Final Judgment; and to maintain a log of communications between officers and directors of Settling Defendants, involved in the development of strategies related to e-books, and any person associated with another Publisher Defendant, where that communication relates to the selling of books in any format in the United States.

The Fund's Chief Compliance Officer, or a Compliance Manager designated by the Chief Compliance Officer, may also grant exceptions to permit additional disclosure of Fund portfolio holdings information at differing times and with different lag times (the period from the date of the information to the date the information is made available), if any, in instances where the Fund has legitimate business purposes for doing so, it is in the best interests of shareholders, and the recipients are subject to a duty of confidentiality, including a duty not to trade on the nonpublic information and are required to execute an agreement to that effect.

Meanwhile, 43 of the companies surveyed nationwide said they had not yet appointed a compliance officer, as required by law.

The Board exercises on - going oversight of the disclosure of fund portfolio holdings by overseeing the implementation and enforcement of the fund's policies and procedures by the Chief Compliance Officer and by considering reports and recommendations by the Chief Compliance Officer concerning any material compliancCompliance Officer and by considering reports and recommendations by the Chief Compliance Officer concerning any material compliancCompliance Officer concerning any material compliancecompliance matters.

Securities transactions by some of these individuals may be subject to prior approval of the investment adviser's Chief Compliance Officer or alternate.

The final rule implements requirements and restrictions imposed by the Dodd - Frank Act concerning loan officer compensation; qualifications of, and registration or licensing of loan originators; compliance procedures for depository institutions; mandatory arbitration; and the financing of single - premium credit insurance.

QUESTIONS AND CONTACT INFORMATION For more information or concerns contact our Privacy Compliance Officer at [email protected] or by mail at Iconic Paws Natural Products ™ ATTN: Privacy Compliance Officer, PO Box 1641, Woodbridge, VA, 22195, United States.

All questions or concerns regarding this policy and our compliance with it, as well as any of our other policies and practices with respect to the management of personal information, should be directed to the Privacy Officer in writing, and sent by email to info [at] petsmartchartities [dot] org or by post to:

In some cases our officers gain voluntary compliance by educating pet guardians about their responsibilities and proper pet care; in other situations it may warrant administrative action and / or an arrest and criminal prosecution.

Corporate Counsel highlights innovations in ethics and compliance at the company Convercent, spearheaded by Katie Smith, its chief ethics & compliance officer.

Despite being one of the crucial requirements for GDPR compliance for any business involved in the «large scale monitoring of individuals», hiring a Data Privacy Officer or additional privacy staff has only been actioned by 29 % of UK GCs / CSOs and even fewer Fortune 500 companies (18 %).

However, the report urges the CIO to adopt a more proactive position by analyzing the information about breaches, devising best practices, and ensuring — through the establishment of a compliance officer and regular audits — that the ministries comply.

In a statement, Manon Bombardier, chief compliance and enforcement officer with the CRTC said Compu - Finder ``... flagrantly violated the basic principles of the law by continuing to send unsolicited commercial electronic messages after the law came into force to e-mail addresses it found by scouring web sites.

Each pleaded guilty to two charges: failing to ensure the company provided information, instruction and supervision to a worker regarding fall protection and / or working at height and to failing to ensure that the company ensured that a worker was protected by fall protection (director and officer provisions in Ontario, as well as B.C., require that directors and officers take all reasonable care to ensure corporate compliance with OH&S provisions including regulations and orders).

The new compliance structure will be headed up by the recently installed group GC and chief compliance officer Gerson Zweifach, who was brought in this February to steer News Corp's efforts to shake up its governance following the phone - hacking scandal.

Under the new section 91.1 of the ESA, an employment standards officer may, by giving written notice, require an employer to conduct an examination of the employer's records, practices or both to determine whether the employer is in compliance with one or more provisions of the Act or the regulations.

We regularly advise clients in relation to loan / payment defaults, insolvencies, receiverships, fraud, breach of fiduciary duties by directors and officers and trustees, shareholder disputes, professional negligence claims, investment product «misselling» claims and the related regulatory / compliance investigation and employment disputes.

These items are often discovered by Municipal compliance officers, and police, who use special forensic lighting instruments to unveil this technology.

to report generally on compliance to contractual counterparties on an ongoing basis, which could include requiring the provision of a confirmation signed by an officer of the company.

It quoted an editor of Compliance Week: «The big story is that Sarbanes - Oxley has shifted the power center at public companies by homogenizing the roles of the general counsel and the compliance officCompliance Week: «The big story is that Sarbanes - Oxley has shifted the power center at public companies by homogenizing the roles of the general counsel and the compliance officcompliance officer.»

Where external counsel has not been instructed, the company may consider resourcing the process internally either by using compliance personnel, internal auditors or HR officers or by using in - house counsel.

Under the final rule, covered entities may disclose protected health information in compliance with and as limited by relevant requirements of: a court order or court - ordered warrant, or a subpoena or summons issued by a judicial officer.

(7) Where in the opinion of the Chief Electoral Officer, by reason of any mistake, miscalculation, emergency or unusual or unforeseen circumstance, a situation exists for which no provision is made under this Act, the Chief Electoral Officer may make such appointments or give such directions as he or she considers proper and anything done in compliance with any such direction is not open to question, but the Chief Electoral Officer shall immediately give notice of any such direction to the candidates affected and to the registered parties, if any, of the candidates.

The security standard authority applies to both the transmission and the maintenance of health information, and requires the entities described in section 1172 (a) to maintain reasonable and appropriate safeguards to ensure the integrity and confidentiality of the information, protect against reasonably anticipated threats or hazards to the security or integrity of the information or unauthorized uses or disclosures of the information, and to ensure compliance with part C by the entity's officers and employees.

The most substantial and controversial change introduced by the Handbook is the requirement that all law firms, irrespective of size, designate a compliance officer for legal practice (COLP) and a compliance officer for finance and administration (COFA).