Examples of Market Regulation Department in a sentence
Reports of Investigations (a) The Market Regulation Department will maintain a log of all investigations and their disposition.
After completing its Investigative Report, the Market Regulation Department may, upon approval of the Chief Compliance Officer, notify each potential respondent that the Market Regulation Department has recommended formal disciplinary charges against the potential respondent.
Any third or subsequent position limit violation within twenty-four (24) months of the issuance of a warning letter shall be referred by the Market Regulation Department to the Chief Compliance Officer for consideration of the issuance of charges.
Notwithstanding the foregoing, a Person who establishes an exemption-eligible position in excess of position limits and files the required application with the Market Regulation Department shall not be in violation of this Rule 530 provided the filing occurs within one (1) Business Day after assuming the position.
Such records must be provided to the Market Regulation Department upon request.Rule 527.
A Person intending to exceed position limits established by the MarketAxess SEF pursuant to the Rules, including limits under a previously approved exemption, must file the required application and receive approval from the Market Regulation Department prior to exceeding such limits.
In addition, trading of the new contracts is subject to all relevant Exchange rules which are enforced by the Market Regulation Department.
A second position limit violation by a Participant within twenty-four (24) months of the issuance of a warning letter will result in the imposition of an automatic fine by the Market Regulation Department to the Participant as set forth below and the issuance of a cease and desist order.
If the Chief Compliance Officer determines that additional investigation or evidence is needed to decide whether a reasonable basis exists to believe that a violation within the MarketAxess SEF’s jurisdiction has occurred or is about to occur, the Chief Compliance Officer will direct the Market Regulation Department to conduct further investigation.
The Chief Compliance Officer may also delegate such authority to staff of the Market Regulation Department or the Regulatory Services Provider.