Examples of Relevant Period in a sentence
This Compliance Certificate is provided with respect to the fiscal quarter ending on September 30, 2023 (the "Relevant Period").
During the Relevant Period, Oppenheimer employees, including those at senior levels, communicated both internally and externally using unapproved methods, including via personal text messages and, in the case of at least one employee, WhatsApp messages.
Based on the foregoing, the Commission finds that, during the Relevant Period, Oppenheimer violated Section 4g of the Act, 7 U.S.C. § 6g, and Regulations 1.31, 1.35, and 166.3, 17 C.F.R. §§ 1.31, 1.35, 166.3 (2023).
Importantly, during the Relevant Period, Oppenheimer’s policies and procedures broadly prohibited employees from using unapproved communication methods, such as personal text messages and WhatsApp, to engage in business-related communications.
There is no material deferred tax not provided for during the Relevant Period or on the respective balance sheet dates.