Person responsible for the review and implementation of procedures for monitoring and supporting investment advisory and mutual fund businesses to ensure regulatory compliance.
Means Foundation staff assigned to insure compliance by all Foundation staff with all Federal regulations and Foundation policies and to respond to inquiries from staff when it appears that a written Foundation policy does not address a question presented by the facts concerning a particular issue.
An official of an intermediary whose role is to ensure that the entity complies with all the laws under which it operates and rules issued by the *regulator.
Individual serving as the organization's information/contact resource for compliance related issues, as well as a resource for federal and state regulations, particularly the federally-funded Medicare program. This person also serves as the auditor/reviewer of system-wide compliance policies and procedures.
Officer appointed by the AMC to comply with regulatory requirement and to redress investor grieviences.
Person appointed within an authorised firm to be responsible for ensuring compliance with the rules.
The officer that oversees trading, administration and other activities to ensure that regulations are being adhered.