Chief Regulatory Officer definition

Chief Regulatory Officer means the individual appointed by the Board as the Exchange’s chief regulatory officer.
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Chief Regulatory Officer means the individual appointed by the Board as the Exchange’s chief regulatory officer for the DCM Trading System.
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Chief Regulatory Officer means the head of a Division of the Authority under sub-section (3) of section 21;
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Examples of Chief Regulatory Officer in a sentence

  • The Board shall appoint individuals at the recommendation of the Chief Compliance Officer or the Chief Regulatory Officer to serve on the Appeal Panel for a term of one year, subject to reappointment by the Board, as potential participants on Appeal Panels.

  • A failure of the Disciplinary Panel to act within the time prescribed in Rule 605(b)(i) shall not prevent the Chief Compliance Officer or the Chief Regulatory Officer from acting pursuant to Rule 605(a).

  • Officers (a) The Board shall appoint a Chief Compliance Officer, a Chief Executive Officer, a Chief Regulatory Officer, and such other officers of the Exchange (each, an “Officer”) as it may deem necessary or appropriate from time to time, in accordance with the Operating Agreement.(b) The Exchange shall notify the CFTC of the appointment or removal of the Chief Compliance Officer within two Business Days of such appointment or removal.

  • The Chief Regulatory Officer shall have available to it at all times the resources of the Exchange Regulation Department and such other Exchange resources as may be necessary to conduct Investigations of alleged rule violations and market conditions.

  • If the respondent determines to answer a Notice of Charges, the respondent must file answers within the period indicated in the Notice of Charges pursuant to Rule 606(b)(vi), which period may be extended by written consent of the Chief Compliance Officer or the Chief Regulatory Officer.

  • Within 10 days of being notified of the appointment of the Appeal Panel, an appellant may seek to disqualify any individual named to the Appeal Panel for the reasons identified in Rule 215 or for any other reasonable grounds, by serving written notice on the Chief Compliance Officer or the Chief Regulatory Officer.

  • In connection with any appeal, the Exchange Regulation Department will furnish to the Chief Compliance Officer or the Chief Regulatory Officer and to the respondent a transcript of the hearing, any exhibits introduced at the hearing, the notice of appeal and briefs filed to support and oppose the appeal.

  • Gifts and Gratuities Except as permitted in writing by the Chief Compliance Officer or the Chief Regulatory Officer, no Person shall, directly or indirectly, give or permit to be given anything of value, including gifts and gratuities, in excess of one hundred dollars ($100) per individual per year to a Person publicly known, or known by such Person, to be an Exchange Official.

  • It shall be the duty of the Chief Regulatory Officer to enforce the Rules with respect to the DCM Trading System.

  • The Chief Compliance Officer or the Chief Regulatory Officer shall inform the Regulatory Oversight Committee of any such failure of the Disciplinary Panel to act.


More Definitions of Chief Regulatory Officer

Chief Regulatory Officer or “CRO” means an officer of the Exchange responsible for discharging regulatory functions of the Exchange;
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Chief Regulatory Officer means the chief regulatory officer of the Company;
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Chief Regulatory Officer means the individual appointed by the Board as the Exchange’s chief regulatory officer in accordance with the Operating Agreement, with the duties and responsibilities as may be prescribed by the Board from time to time.
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Related to Chief Regulatory Officer

  • Chief Compliance Officer means the individual appointed by the Board as BSEF’s chief compliance officer in accordance with the Operating Agreement, with the duties and responsibilities as may be prescribed by the Board from time to time as set forth in Rule 208.

  • Chief Pretrial Services Officer (i.e., CPSO) means the individual appointed by the court to supervise the work of the court’s pretrial services staff. For the purpose of the contract, the “Chief Probation Officer” acts as the contract administrator on behalf of the Director of the Administrative Office of the United States Courts.

  • medical officer means a medical practitioner who is—

  • Chief means Chief Agri/Industrial, a division of Chief Industries, Inc.

  • President means the President of the Corporation.

  • Information Officer means the Person acting on behalf of the Company and discharging the duties and responsibilities assigned to the Head of the Private Body by the Act. The Information Officer is duly authorised to act as such and such authorisation has been confirmed in writing by the Head of the Private Body.

  • Executive Officer means, with respect to any corporation, the Chief Executive Officer, Chief Operating Officer, Chief Financial Officer, President, Executive Vice President, any Vice President, the Secretary or the Treasurer of such corporation and, with respect to any partnership, any general partner thereof.

  • Vice President when used with respect to the Company or the Trustee, means any vice president, whether or not designated by a number or a word or words added before or after the title "vice president".

  • Chief Probation Officer (i.e., CUSPO) means the individual appointed by the United States District Court to supervise the work of the court’s probation staff. For the purpose of the contract, the “Chief Probation Officer” acts as the contract administrator on behalf of the Director of the Administrative Office of the United States Courts.

  • Chief Administrative Officer or “CAO” means the administrative head of a municipality as appointed by Council under clause 86(2)(c) of the Municipal Government Act.

  • Police officer means every officer authorized to direct or regulate traffic, or to make arrests for violations of traffic regulations.

  • CFO means an individual who acted as chief financial officer of the Company, or acted in a similar capacity, for any part of the most recently completed financial year;