Regulatory Services Provider definition

Regulatory Services Provider means the organization which provides regulatory services to BSEF pursuant to a Regulatory Services Agreement.

Regulatory Services Provider means the NFA and such other organizations, if any, that provide regulatory services to the Company, in each case, together with those certain employees and agents of any such organization that provide regulatory services to the Company.

Regulatory Services Provider means NFA and such other organizations, if any, that provide regulatory services to the Company, together with any such organization’s employees and agents.

Examples of Regulatory Services Provider in a sentence

• Notice to the Respondent, the Regulatory Services Provider and the Public BSEF will provide Written notice of disciplinary proceedings to the parties consistent with applicable CFTC Regulations.

• Inquiries and Investigation (a) The Compliance Department, with the assistance of a Regulatory Services Provider, if necessary, will conduct inquiries and, if applicable, investigations with respect to any matter within BSEF’s jurisdiction of which it becomes aware or which the Commission requests BSEF to investigate.

• Upon request of BSEF, a Participant shall promptly provide to BSEF or its Regulatory Services Provider information about the Participant, its Customers, Accounts, Clearing Members and Authorized Traders as BSEF requests related to or in connection with SEF Activity.

• A Person subject to a disciplinary or appeals proceeding (and any counsel or representative of such Person) and the Compliance Department (and any counsel or representative of the Compliance Department including any Regulatory Services Provider) shall not knowingly make or cause to be made an ex parte communication relevant to the merits of a disciplinary or appeals proceeding to any member of the Disciplinary Panel or Appeals Panel hearing such proceeding.

• Members of a Disciplinary Panel or Appeals Panel shall not knowingly make or cause to be made an ex parte communication relevant to the merits of a disciplinary or appeals proceeding to any Person subject to such proceeding (and any counsel or representative of such Person) and the Compliance Department (and any counsel or representative of the Compliance Department including any Regulatory Services Provider).

More Definitions of Regulatory Services Provider

Regulatory Services Provider means the organization, if any, which provides regulatory services to the SEF pursuant to a Regulatory Services Agreement. The SEF’s Regulatory Services Provider is currently the NFA.

Regulatory Services Provider or “RSP,” means an organization, if any, that provides regulatory services to the MarketAxess SEF pursuant to a Regulatory Services Agreement.

Regulatory Services Provider means the NFA or other such organization, if any, which provides regulatory services to Tradition SEF pursuant to a Regulatory Services Agreement.

Regulatory Services Provider or “RSP” means the organization which provides regulatory services to Tera pursuant to a Regulatory Services Agreement. Tera’s RSP is the NFA.

Regulatory Services Provider means the organization, if any, which provides regulatory services to INFX SEF pursuant to a Regulatory Services Agreement.

Regulatory Services Provider means the National Futures Association (“NFA”), the organization which provides regulatory services to BSEF pursuant to a Regulatory Services Agreement.

Regulatory Services Provider means the organization, if any, which provides regulatory services to the Exchange pursuant to a Services Agreement.