Laundering Policies and Procedures Sample Clauses

Laundering Policies and Procedures. The Adviser will promptly furnish the Subadviser from time to time with copies, properly certified or otherwise authenticated, of all amendments of or supplements to any of the foregoing documents. The Adviser will also furnish the Subadviser with copies of all the documents listed on Schedule 1 to this Agreement, and shall promptly notify the Subadviser of any material change in any of the Fund's investment objectives, investment strategies, investment policies, investment restrictions, guidelines or procedures set forth in any of the documents listed in Schedule 1. In addition, the Chief Compliance Officer for the Trust and the Adviser shall provide the Subadviser with a certification that they have adopted and approved a compliance program for the Trust adopted in accordance with Rule 38a-1 under the 1940 Act and the compliance program for the Adviser adopted in accordance with Rule 206(4)-7 under the Investment Advisers Act of 1940, as amended ("Advisers Act"), respectively. The Chief Compliance Officer for the Subadviser shall provide the Trust and the Adviser with copies of the Subadviser's Compliance Policies and Procedures, a summary of its compliance program, and a certification that the Subadviser has adopted and approved a compliance program for the Subadviser in accordance with Rule 206(4)-7 under the Advisers Act and such other information as may be reasonably requested in order to permit the Board of Trustees of the Trust to make such determinations with respect to the Subadviser's compliance program as may be required under Rule 38a-1 under the 1940 Act. The Subadviser has furnished the Adviser with a copy of the Subadviser's Form ADV most recently filed with the SEC, (which Form ADV includes a description of the Subadviser's policies regarding allocation of securities among clients with common investment objectives, soft dollars and brokerage selection) and the code of ethics established by the Subadviser pursuant to Rule 17j-1 under the 1940 Act ("Subadviser's Code of Ethics"). The Subadviser will promptly furnish the Adviser with copies of any amendments to each of those documents, including any revisions required by Rule 204A-1 under the Advisers Act. The Subadviser will also provide the Adviser with the Subadviser's approved list of securities for equity portfolios and list of affiliated persons, and any updates or revisions thereto at least monthly. The Subadviser will also provide the Adviser and the Fund accountant with a list and sp...
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Laundering Policies and Procedures. If you have any questions about
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Laundering Policies and Procedures. If you have any questions about the Anti-Money Laundering Policy and Procedures or any concerns regarding suspicious activity please contact your AML Compliance Officer.
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Laundering Policies and Procedures. INTRODUCTION New River Funds (the “Trust”), an open-end management investment company registered under the Investment Company Act of 1940, has established this anti-money laundering compliance program (“AML Program”), which includes the Trust’s customer identification program (“CIP”). The AML Program is designed to comply with the various anti-money laundering regulations (“AML Rules”) promulgated by the Department of the Treasury’s Financial Crimes Enforcement Network (“FinCEN”) and the U.S. Securities and Exchange Commission (“SEC”) that are applicable to the Trust. The International Money Laundering and Abatement and Anti-Terrorist Financing Act of 2001 was signed into law as Title III of The Uniting and Strengthening America by Providing Appropriate Tools Required to Intercept and Obstruct Terrorism Act of 2001 (the “USA Patriot Act”) on October 26, 2001. The USA Patriot Act amended existing anti-money laundering laws, most notably the Bank Secrecy Act of 1970 (“BSA”). In general, the anti-money laundering provisions of the USA Patriot Act apply to financial institutions (“Financial Institutions”), as that term is defined under the BSA. The BSA, as amended by the USA Patriot Act, defines Financial Institutions to include investment companies. Accordingly, several of the AML Rules that implement the requirements established by the USA Patriot Act apply to the Trust. Section 352(h) of the USA Patriot Act and the implementing regulations thereunder require certain Financial Institutions, including registered open-end management investment companies (“Mutual Funds”), to adopt and implement a written anti-money laundering program. Section 326 of the USA Patriot Act and the implementing regulations thereunder require certain Financial Institutions, including Mutual Funds, to implement customer identification verification programs as a part of their written anti-money laundering program. Section 351 of the USA Patriot Act and the implementing regulations thereunder require certain Financial Institutions to submit suspicious activity reports (“SARs”). The Trust has established this AML Program pursuant to, and in compliance with, Sections 352(h), 326 and 351 of the USA Patriot Act and the implementing regulations thereunder. Accordingly, this AML Program is designed to: (i) detect and deter suspicious transactions that reasonably may be associated with money laundering; (ii) cause the timely reporting of such transactions; and (iii) ensure compliance with the ...
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Related to Laundering Policies and Procedures

  • Policies and Procedures i) The policies and procedures of the designated employer apply to the employee while working at both sites. ii) Only the designated employer shall have exclusive authority over the employee in regard to discipline, reporting to the College of Nurses of Ontario and/or investigations of family/resident complaints. iii) The designated employer will ensure that the employee is covered by WSIB at all times, regardless of worksite, while in the employ of either home. iv) The designated employer will ensure that the employee is covered by liability insurance at all times, regardless of worksite, while in the employ of either home. v) The designated employer shall have exclusive authority over the employee’s personnel files and health records. These files will be maintained on the site of the designated employer.

  • Company Policies and Procedures 7.1.1 The Company will ensure that Employees are able to readily access Company policies and procedures that apply to the Employees. 7.1.2 The Employees will observe and act in accordance with Company policies and procedures that apply to the Employees, as implemented and amended from time to time.

  • COMPLIANCE WITH POLICIES AND PROCEDURES During the period that Executive is employed with the Company hereunder, Executive shall adhere to the policies and standards of professionalism set forth in the Company’s Policies and Procedures as they may exist from time to time.

  • Compliance Policies and Procedures To assist the Fund in complying with Rule 38a-1 of the 1940 Act, BBH&Co. represents that it has adopted written policies and procedures reasonably designed to prevent violation of the federal securities laws in fulfilling its obligations under the Agreement and that it has in place a compliance program to monitor its compliance with those policies and procedures. BBH&Co will upon request provide the Fund with information about our compliance program as mutually agreed.

  • Violence Policies and Procedures The Employer agrees to have in place explicit policies and procedures to deal with violence. The policy will address the prevention of violence, the management of violent situations, provision of legal counsel and support to employees who have faced violence. The policies and procedures shall be part of the employee's health and safety policy and written copies shall be provided to each employee. Prior to implementing any changes to these policies, the employer agrees to consult with the Association.