Examples of Disciplinary Panels in a sentence
Disciplinary Panels (a) The Disciplinary Panel shall conduct hearings in connection with any disciplinary proceedings (except for summary impositions of fines pursuant to Rule 717), to make findings, render decisions, and impose sanctions pursuant to this Chapter 7.
The SEF, through its Market Regulation Department, Review Panels, Disciplinary Panels and Appeals Panels will conduct inquiries, investigations, disciplinary proceedings and appeals from disciplinary proceedings, summary impositions of fines, summary suspensions or other summary actions in accordance with this Section 6.
The Board shall appoint individuals at the recommendation of the Chief Compliance Officer to serve for a term of one year subject to reappointment, removal or replacement by the Board, as potential participants on Review Panels, Disciplinary Panels and Appeal Panels.
In forming a Disciplinary Panel, the Chief Compliance Officer shall draw panel members from the individuals appointed by the Board as potential members of Disciplinary Panels.
This will not apply if the evidence could have been adduced before the Disciplinary Panel by the exercise of reasonable diligence;but no party may otherwise appeal against the Disciplinary Panel's finding of infringement, or order;(b) In the case of appeal against a sanction, the Appeals Panel may affirm, vary or revoke the sanction, in all cases, within the limits set out in Rule E.4.11.
The Chief Compliance Officer has the authority to delegate the formation and staffing of Disciplinary Panels under this Rule 710 to the RSP as per the terms of the Regulatory Services Agreement.
All sanctions imposed by the Exchange or the Disciplinary Panels must be commensurate with the violations committed and must be clearly sufficient to deter recidivism or similar violations by other Participants.
The Chief Compliance Officer shall draw panel members from the individuals appointed by the Board as potential members of Disciplinary Panels.
Tera, through the Compliance Department, the Disciplinary Panels and the Appeals Panel, will conduct inquiries, investigations, disciplinary and appeals proceedings, summary impositions of fines, summary suspensions or other summary actions in accordance with this Chapter 8.
Whenever the Exchange finds by final decision that a Participant or Person has violated a Rule or otherwise committed a disciplinary offense and such finding makes such person ineligible to serve on the Exchange’s Disciplinary Panels, Exchange committees, or the Board, the Exchange shall inform the Commission of such finding and the length of the ineligibility in a notice it is required to provide to the Commission pursuant to either CEA Section 17(h)(1) or CFTC Regulation 9.11.