Administration of Compliance Program Sample Clauses

The Administration of Compliance Program clause outlines the responsibilities and procedures for managing and overseeing a company's compliance initiatives. It typically designates specific personnel or departments to implement, monitor, and update compliance policies, and may require regular training, reporting, and audits to ensure adherence to legal and regulatory standards. This clause ensures that there is a clear framework for maintaining compliance, reducing the risk of violations, and demonstrating due diligence to regulators and stakeholders.
Administration of Compliance Program. The CCO shall administer and enforce the Trust’s Compliance Program.
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Administration of Compliance Program. The CCO shall administer and enforce the Fund’s Compliance Program. The CCO shall consult with the Board of Trustees and the Fund’s officers as necessary to amend, update and revise the Compliance Program as necessary, but no less frequently than annually (if required).
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Related to Administration of Compliance Program

  • Regulation M Compliance The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or, paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to the Company’s placement agent in connection with the placement of the Securities.