CCO Responsibilities Sample Clauses

The 'CCO Responsibilities' clause defines the specific duties and obligations assigned to the Chief Compliance Officer (CCO) within an organization. Typically, this clause outlines tasks such as overseeing compliance programs, monitoring regulatory changes, conducting internal audits, and reporting compliance issues to senior management or the board. By clearly delineating the CCO's responsibilities, the clause ensures accountability and helps the organization maintain adherence to relevant laws and regulations, thereby reducing the risk of non-compliance.
POPULAR SAMPLE Copied 1 times
CCO Responsibilities. Except to the extent that any of the following shall be carried out by a Chief Compliance Officer for any Fund who reports directly to the Board, the CCO shall: (a) Report directly to the Board; (b) Review and administer the Trust’s compliance program policies and procedures including those policies and procedures that provide for oversight of compliance by the Trust’s Service Providers; (c) Conduct periodic reviews of the Trust’s compliance program to incorporate any new or changed regulations, best practice recommendations or other guidelines that may be appropriate; (d) Review no less frequently than annually, the adequacy of the policies and procedures of the Trust and the Service Providers and the effectiveness of their implementation; (e) Apprise the Board of significant compliance events at the Trust or the Service Providers; (f) Design testing methods for the Trust’s compliance program policies and procedures; (g) Perform and document periodic testing of certain key control procedures (as appropriate to the circumstances), including reviewing reports, investigating exceptions, and making inquiries of Trust management and Service Providers; (h) Conduct periodic site visits to Service Providers as necessary; (i) Provide training to the Trust and deliver updates to the Trust or the Service Providers, as necessary; (j) Establish a quarterly reporting process to the Board, including both written and oral reports and attend regularly scheduled board meetings as well as special meetings on an as-needed basis; (k) Prepare a written annual report for the Board that, at a minimum, address (i) the operation of the Trust’s and its Service Providers’ policies and procedures since the last report to the Board; (ii) any material changes to such policies and procedures since the last report; (iii) any recommendations for material changes to the policies and procedures as a result of the periodic or annual reviews referred to in (c) and (d) above; and (iv) any “material compliance matters” (as defined in Rule 38a-1) since the date of the last report; and (l) No less than annually, meet separately with the Trust’s independent trustees.
View SourceView Similar (8)
CCO Responsibilities. The CCO shall periodically sample transactions subject to this policy to test for non-compliance. If during the sampling process non compliance is found, further testing will be conducted. All findings of non-compliance shall immediately be brought to the attention of the Investment Adviser and reported to the Board of Directors at the next quarterly meeting.
View SourceView Similar (12)
CCO Responsibilities. Except to the extent that any of the following shall be carried out by a Chief Compliance Officer for any Fund who reports directly to the Board, the CCO shall: (a) Report directly to the Board; (b) Review and administer the Trust's compliance program policies and procedures including those policies and procedures that provide for oversight of compliance by the Trust's Service Providers; (c) Conduct periodic reviews of the Trust's compliance program to incorporate any new or changed regulations, best practice recommendations or other guidelines that may be appropriate; (d) Review no less frequently than annually, the adequacy of the policies and procedures of the Trust and the Service Providers and the effectiveness of their implementation; (e) Apprise the Board of significant compliance events at the Trust or the Service Providers; (f) Design testing methods for the Trust's compliance program policies and procedures; (g) Perform and document periodic testing of certain key control procedures (as appropriate to the circumstances), including reviewing reports, investigating exceptions, and making inquiries of Trust management and Service Providers; (h) Conduct periodic site visits to Service Providers as necessary;
View SourceView Similar (2)
CCO Responsibilities. Club further agrees the CCO will discharge the following duties of the Club under this Agreement: a. Being the point of contact for all COVID-related communications with the TRU, TRRA and opposing Clubs; b. Ensuring the Club complies with all TRU Return To Play Guidelines for all matches and trainings; c. Ensuring the Club has each participant (player, coach, admin., trainer, etc.) involved in any match execute the Player Agreement & Liability Release RE: COVID-19 (attached as Exhibit “A”), and makes copies of those documents available to the TRU on request. d. Ensuring the Club includes each Participant must be included on the e. If the Club is the home Club, ensuring the Club includes the referee crew on its Roster for purposes of temperature checks and contact tracing. f. Ensuring temperature checks of each participant are made upon each Participant's arrival at the pitch and recorded on the Club’s Roster. g. Being the reporting point of contact for the Club’s members and participants in rugby activities in the event a Participant tests positive for COVID, is exposed to someone with COVID, or experiences COVID symptoms (a “COVID Exposure”). The CCO will ensure the Club creates a confidential means for Club Participants to report a COVID Exposure to the CCO, and informing Club Participants of their obligation to self-report COVID Exposures. h. If a COVID Exposure is reported after a match, on behalf of the Club, the CCO will: i. Take all reasonable steps to keep the identity of the exposed person confidential. ii. Upon receipt of a report of a COVID Exposure (either from a Participant in his / her own Club, or from the CCO of the opposing Club), the CCO will: A. Immediately notify the TRU by sending an email to ▇▇▇▇▇@▇▇▇▇▇▇▇▇▇▇▇▇▇▇▇.▇▇▇, and attaching the completed roster from the match; B. Immediately notify the opposing Club’s CCO; and C. Immediately notify his/her Club’s administration and/or coaching staff and ensure that all Participants in the match at which the Participant reporting the COVID Exposure was present are notified of the COVID Exposure, and precluded from participating in any rugby activities for 10 days from the date of the match. EXCEPTIONS: Participants may resume participation in rugby activities before the expiration of 10 days from the date of the match with: (i) a post-match negative COVID test documented to the Club’s CCO; or (ii) evidence to the CCO of the Participant’s complete vaccination for COVID prior to the match. i. If ...
View Source

Related to CCO Responsibilities

  • IRO Responsibilities The IRO shall: 1. perform each Claims Review in accordance with the specific requirements of the CIA;

  • Our Responsibilities A. We will provide the Services in accordance with our then-current systems, standards, and procedures. Nothing requires us to provide you with any special programming; any system, program, or procedure implementation; or any special hardware or software. B. We will provide reports online for each fiscal day’s activity by 10:00 AM ET the next calendar day. Such reports will include an accounting for each currency with supporting detail of transaction activity, Daily Proceeds, reserves and funds transfers for transaction settlement services. Reports will be available for download on the online reporting tool for a period of 14 months from the date of issue. Reports may be upgraded, enhanced and/or modified by us at any time. C. We will initiate payment to you for the amount of each accepted Card transaction only after we receive payment. D. We have the right to honor and rely on the request(s) or instruction(s) of any person we reasonably believe to be your representative or Agent. In the event we receive returned mail intended for you, we may, but are not required to, procure a replacement address according to our standard operating procedures. E. We are only responsible for processing credits and adjustments for Card transactions that we originally processed. You authorize us to audit all Card transactions and deposits. We have the right to withhold amounts from you if we discover inaccuracies. F. We may report information about your account, late payments, missed payments, or defaults to credit bureaus. G. We may suspend or cease providing any Services to you in response to a Member Bank, Network, or Association request. We will use reasonable efforts to notify you if we suspend or cease any Services. H. We are responsible for the security of Cardholder data we store or transmit on your behalf only while it is in our possession and control.

  • Joint Responsibilities The relationship between SAE ITC, the Activities and its Members shall be, and at all times, advisory only, and no party shall have the authority to enter into any contract or commitment in the name of, or on behalf of, any other party. Nothing in this Agreement shall be construed to confer upon either party the status of employee, agent, partner, joint venturer or legal representative of the other, it being intended by all parties to remain independent legal entities solely responsible for its own actions.

  • CITY’S RESPONSIBILITIES 2.1. The CITY shall designate in writing a project coordinator to act as the CITY's representative with respect to the services to be rendered under this Agreement (the "Project Coordinator"). The Project Coordinator shall have authority to transmit instructions, receive information, interpret and define the CITY's policies and decisions with respect to the CONTRACTOR's services for the Project. However, the Project Coordinator is not authorized to issue any verbal or written orders or instructions to the CONTRACTOR that would have the effect, or be interpreted to have the effect, of modifying or changing in any way whatever: (a) The scope of services to be provided and performed by the CONTRACTOR; (b) The time the CONTRACTOR is obligated to commence and complete all such services; or (c) The amount of compensation the CITY is obligated or committed to pay the CONTRACTOR. 2.2. The Project Coordinator shall: (a) Review and make appropriate recommendations on all requests submitted by the CONTRACTOR for payment for services and work provided and performed in accordance with this Agreement; (b) Arrange for access to and make all provisions for the CONTRACTOR to enter the Project site to perform the services to be provided by the CONTRACTOR under this Agreement; and (c) Provide notice to the CONTRACTOR of any deficiencies or defects discovered by the CITY with respect to the services to be rendered by the CONTRACTOR hereunder. 2.3. The CONTRACTOR acknowledges that access to the Project Site, to be arranged by the CITY for the CONTRACTOR, may be provided during times that are not the normal business hours of the CONTRACTOR. 3.1. Services to be rendered by the CONTRACTOR shall be commenced subsequent to the execution of this Agreement upon written Notice to Proceed from the CITY for all or any designated portion of the Project and shall be for a period of two (2) years and three (3) month, with the option for two (2) additional one (1) year renewal. Time is of the essence with respect to the performance of this Agreement. 3.2. Should the CONTRACTOR be obstructed or delayed in the prosecution or completion of its services as a result of unforeseeable causes beyond the control of the CONTRACTOR, and not due to its own fault or neglect, including but not restricted to acts of God or of public enemy, acts of government or of the CITY, fires, floods, epidemics, quarantine regulations, strikes or lock-outs, then the CONTRACTOR shall notify the CITY in writing within 5 working days after commencement of such delay, stating the cause or causes thereof, or be deemed to have waived any right which the CONTRACTOR may have had to request a time extension. 3.3. No interruption, interference, inefficiency, suspension or delay in the commencement or progress of the CONTRACTOR's services from any cause whatsoever, including those for which the CITY may be responsible in whole or in part, shall relieve the CONTRACTOR of its duty to perform or give rise to any right to damages or additional compensation from the CITY. The CONTRACTOR's sole remedy against the CITY will be the right to seek an extension of time to its schedule. This paragraph shall expressly apply to claims for early completion, as well as claims based on late completion. [If Applicable-Provided, however, if through no fault or neglect of the CONTRACTOR, the services to be provided hereunder have not been completed within 18 months of the date hereof, the CONTRACTOR's compensation may be equitably adjusted, with respect to those services that have not yet been performed, to reflect the incremental increase in costs experienced by the CONTRACTOR after expiration of said 18 month period.] 3.4. Should the CONTRACTOR fail to commence, provide, perform or complete any of the services to be provided hereunder in a timely and reasonable manner, in addition to any other rights or remedies available to the CITY hereunder, the CITY at its sole discretion and option may withhold any and all payments due and owing to the CONTRACTOR until such time as the CONTRACTOR resumes performance of its obligations hereunder in such a manner so as to reasonably establish to the CITY's satisfaction that the CONTRACTOR's performance is or will shortly be back on schedule.

  • Vendor Responsibilities Note: NO EXCEPTIONS OR REVISIONS WILL BE CONSIDERED IN C-M, O-S, V-W. Indemnification