Examples of Supervised Persons in a sentence
Supervision A Participant shall establish, maintain and administer reasonable supervisory procedures to monitor the compliance of Authorized Traders and Supervised Persons with the MarketAxess SEF Rules and any applicable provisions of the CEA or CFTC Regulations; and such Participant may be held accountable for the actions of such Authorized Traders or Supervised Persons.Rule 514.
Members of each such panel may be Directors, Participants (if individuals) or any of a Participant’s Supervised Persons (if an entity), or such other individuals as may be qualified to serve on such panel.(c) Except as otherwise specifically provided in the Rules, the members of any additional committee or panel shall be appointed as determined by the Board.
All Supervised Persons shall conduct themselves at all times in the best interests of the Firm.
All Supervised Persons shall promptly report to the Compliance Officer all apparent violations of the Code of Ethics.
All Participants (that are individuals), Authorized Traders and other Supervised Persons that are called as witnesses are required to appear at the hearing and, where applicable, produce evidence.