Sentences with phrase «designated chief compliance officer»

Mr. Dell is the designated Chief Compliance Officer for various regulated entities within the Ares Management organization, including registered investment advisers, registered investment companies, and a broker - dealer.

Not exact matches

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.

1.2 Thomson Reuters Canada has designated a Chief Privacy Officer to oversee compliance with the Thomson Reuters Canada Privacy Code.

The Compliance Officer of the Company is designated as the Chief Grievance Redressal Officer.