Surveillance Team definition

Surveillance Team means the group within the Compliance Department that is responsible for real-time and post-trade surveillance of the Exchange’s trading systems, as described in Rule 602.
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Surveillance Team means a Compliance Department unit whose function is to fulfill the various enforcement responsibilities and duties described in Rule 602.
Sample 1

Examples of Surveillance Team in a sentence

  • The Surveillance Team identifies actions or omissions that may indicate a possible basis for finding that a violation of Exchange Rules has occurred or will occur.

  • Members of the Surveillance Team respond to real-time alerts to ensure the integrity of the markets.

  • The Investigation Team will commence an investigation upon the receipt of a request from Commission staff or upon the discovery or receipt of information by the Exchange that, in the judgment of the Surveillance Team, indicates a possible basis for a finding that a violation has occurred or will occur.

  • Compliance Monitoring and Surveillance Team may, at its discretion, require supervisor approval of a pre-clearance request before considering such request.

  • The Surveillance Team is responsible for real-time and post-trade surveillance of the Exchange’s trading systems.

  • Recommendations from the Behavioral Risk Factor Surveillance Team.

  • A copy of the Daily Activity Report by the Flying Squad and Static Surveillance Team will be forwarded to him on the same day.

  • The Video Surveillance Team shall be properly trained and oriented to capture all the expenditure related events and evidences.

  • Pre-clearance requests will be reviewed by the Compliance Monitoring and Surveillance Team in relation to information available from the trading system(s) or other relevant information sources (consulting with Portfolio Management as needed) to determine whether your request should be approved.

  • Subsequent investments of the applicable Covered Security pursuant to the plan are exempt from pre-clearance and blackout periods provided no changes to the plan have been made (i.e. changes to Covered Securities in the plan or investments made after the cancellation of the plan) since originally approved by the Compliance Monitoring and Surveillance Team.

Related to Surveillance Team

  • Surveillance means monitoring and observation of the disposal site for purposes of visual detection of need for maintenance, custodial care, evidence of intrusion, and compliance with other license and regulatory requirements.

  • market surveillance means the activities carried out and measures taken by public authorities to check and ensure that devices comply with the requirements set out in the relevant Union harmonisation legislation and do not endanger health, safety or any other aspect of public interest protection;

  • medical surveillance means a planned programme or periodic examination (which may include clinical examinations, biological monitoring or medical tests) of employees by an occupational health practitioner or, in prescribed cases, by an occupational medicine practitioner;

  • market surveillance authority means an authority of a Member State responsible for carrying out market surveillance on its territory;

  • Evaluation Team means the team appointed by the City; “Information Meeting” has the meaning set out in section 2.2;

  • Quality Surveillance Engineer / Inspector means any person appointed by or on behalf of the Purchaser to inspect or carry out quality surveillance on supplies, stores or work under the Contract or any person deputed by the Quality Surveillance Engineer for the said purpose.

  • Program Manager refers to the professional management firm selected by the Owner as the Owner’s representative for the Project, and its employees and consultants.

  • Team means a team affiliated to a Club, including where a Club provides more than one team in the Competition in accordance with the Rules.

  • Project Leader has the meaning set forth in Section 3.1.

  • Project Management Plan means the management plan that (i) sets out a high level workplan to describe the manner in which the Design-Builder will manage the Project, including to address related matters such as traffic management and communications, and (ii) is prepared by or for the Design-Builder and submitted to the Owner;

  • Strategy means the Department of Education International Risk Management Strategy for Homestays and Short Term Cultural Exchanges developed and implemented under section 171 of the Working With Children (Risk Management and Screening) Act 2000 as in force at any given time.

  • Project Managers means the person at Developer responsible for the project management of Product and identified in Schedule 2;

  • Leader means the person vested from time to time (in accordance with law and the applicable constitutional arrangements) with the political leadership, for the purposes of this Agreement, of each of the London Local Authorities listed in Part 1 of Schedule 1

  • Procurement Committee means a Committee constituted by the Employer to perform the functions as such under the terms and conditions of Contract.

  • Project Team means Owner, Contractor, A/E and consultants, any separate Contractors employed by Owner, and others employed for the purpose of programming, design, and construction of the Project. The members of the Project Team will be designated in writing by Owner and may be modified from time to time in writing by Owner.

  • Project Management The individuals appointed by each Party cf. clause 4.1 in the Agreement.

  • Maintenance Supervisor (Tradesperson) means an employee who has trade qualifications and has overall responsibility for maintenance at the place of employment and may be required to supervise other maintenance staff.

  • Procurement Management means the Director of Lee County’s Procurement Management Department or designee.

  • SRS means the scheme referred to by the Ministry of Finance as the Supplementary Retirement Scheme or such other scheme as shall replace or supersede the Supplementary Retirement Scheme from time to time.

  • Architectural Review Committee or “ARC” shall mean the architectural review committee established by the Organization to review plans submitted to the Organization for architectural review.

  • Oversight means the term as it is defined in the Stewardship Agreement between CDOT and the FHWA.

  • Monitoring Committee means the committee established under clause 10 of this Award.

  • Network Operating Committee means a group made up of representatives from the Network Customer(s) and the Transmission Provider established to coordinate operating criteria and other technical considerations required for implementation of Network Integration Transmission Service under Tariff, Part III.

  • Management Team means Xxxxxx X. X’Xxxxxxx, Xxxxxxx X. Xxxxxx, Xx. and Xxxxx X. Xxxxxxxxxx.

  • Supply Chain Management All aspects of supply chain management, from the initial sourcing phase through customer delivery (e.g., procurement, sourcing management, inventory management, catalog management, ordering/purchasing, invoice tracking, storefront/shopping cart, warehouse management, returns management, logistics/transportation).

  • Utilization review organization means an entity that conducts utilization review, other than a health carrier performing a review for its own health benefit plans.