Compliance Functions Sample Clauses
The Compliance Functions clause establishes the requirement for parties to maintain and operate systems or processes that ensure adherence to applicable laws, regulations, and internal policies. In practice, this may involve appointing compliance officers, conducting regular audits, or implementing training programs to monitor and enforce compliance standards within an organization. The core purpose of this clause is to mitigate legal and regulatory risks by ensuring that all parties actively manage and uphold their compliance obligations throughout the duration of the agreement.
Compliance Functions. (1) Prepare and maintain those books and records required by Rule 31a-1 under the1940 Act with respect to services performed pursuant to this Agreement.
(2) Monitor compliance with Fund policies on valuing (pricing) all Fund assets.
(3) Prepare and review periodic compliance reports.
(4) Oversee compliance program of the Funds’ service providers.
(5) Monitor compliance by each Fund with various conditions imposed by exemptive orders and/or regulatory requirements relating to mutual funds, multiple classes of shares, and funds of funds.
(6) Coordinate regulatory examinations of the Funds.
(7) Register with the National Futures Association those Funds not excluded from the definition of a “commodity pool.”
Compliance Functions. TIAA shall institute and maintain on behalf of CREF a regulatory compliance program reasonably designed to satisfy all applicable state and federal legal or regulatory obligations of CREF. TIAA generally will monitor CREF’s compliance with the Federal Securities Laws (as defined in the Agreement), state securities and insurance laws, the IRC and ERISA.
Compliance Functions. (1) Prepare and maintain those books and records required by Rule 31a-1 under the1940 Act with respect to services performed pursuant to this Agreement.
(2) Monitor compliance with Fund policies on valuing (pricing) all Fund assets.
(3) Prepare and review periodic compliance reports.
(4) Oversee compliance program of the Fund’s service providers.
(5) Monitor compliance by the Fund with various conditions imposed by exemptive orders and/or regulatory requirements, as applicable.
(6) Coordinate regulatory examinations of the Fund.
Compliance Functions. All information technology and telecommunication support services reasonably related to the Services that are required for Sears and its Affiliates to meet (A) requirements imposed by federal, state and local laws and regulations, and (B) their internal and external audit and compliance requirements.
Compliance Functions. BGN shall provide to Gaslink all such Information as Gaslink may reasonably require to enable Gaslink to prepare reports to the Commission in respect of compliance by Gaslink with the System Operator Licences.
Compliance Functions. Hydro USA shall continue to maintain the following compliance functions: Central Quality (also known as “Quality”); Compliance; Internal Audit; Legal; Central Environmental Group (“CEG”); Health, Safety, and Environmental (“HSE”); and Operational Excellence (“OPEX”)2 throughout Hydro USA’s operations, facilities, and subsidiaries. If Hydro USA makes any substantive changes to these functions, Hydro USA shall provide a summary of such changes to the EPA Authorized Representative and Independent Monitor as an attachment to the Annual Report covering the period in which the change was made.
Compliance Functions. The Certifier will take such steps as he or she considers appropriate to address any of the following matters relating to the development;
Compliance Functions. (1) Prepare and maintain those books and records required by Rule 31a-1 under the Investment Company Act with respect to services performed pursuant to this Agreement.
(2) Monitor compliance with Fund policies on valuing (pricing) all Fund assets.
(3) Prepare and review periodic compliance reports.
(4) Oversee compliance program of the Fund’s service providers.
(5) Monitor compliance by the Fund with various conditions imposed by exemptive orders and/or regulatory requirements relating to registered funds.
(6) Coordinate regulatory examinations of the Fund.
(7) Monitor the Fund’s use of commodities under the Commodity Exchange Act and make any necessary filings with the National Futures Association.
Compliance Functions. The Administrator shall provide the Chief Financial Officer and Chief Compliance Officer of the Corporation with (or arrange for the provision of) professional staff support to assist the Corporation in the areas of compliance and risk management as follows:
(1) to assist as necessary for the Corporation to achieve and maintain compliance with all state and federal securities laws and regulations;
(2) to assist as necessary for the Corporation to complete any and all compliance procedures required by the S▇▇▇▇▇▇▇-▇▇▇▇▇ Act of 2002; and
(3) to provide such other financial and compliance-related functions as the Chief Compliance Officer of the Corporation shall from time to time determine to be necessary or useful for the operation of the Corporation.
Compliance Functions. (a) The Certifier will take such steps as he or she considers appropriate to address any of the following matters relating to the development;
(i) Non-compliance with the development consent
(ii) The carrying out of work without development consent
(iii) An unauthorised use of a building
(iv) A breach of a law relating to the carrying out of work or the use of land
(v) A threat to the safety of a person or a person’s property
(vi) Any other matter the Certifier considers to be in the public interest to address.
(b) Without limiting the actions that the Certifier may take, the Certifier may:
(i) Attend the Site or nearby properties to inspect any issue of concern relating to the development
(ii) Confer with any person in relation to any issues of concern
(iii) Cause correspondence to be issued to any person
(iv) Refer any matter of concern to such persons or authorities as the Certifier considers appropriate, including the consent authority, the council, NSW Fair Trading or an environmental protection agency.
(v) Issue notices under Section 6.31 (previously s 109L) of the EP&A Act.