Regulatory Services Agreement


“After gaining a reputation as pioneers and innovators in law enforcement, we work closely over the years with a number of stakeholders to create a serious financial services industry, and we continue to focus on the best of ourselves.” The regulatory service provider has access to these registries, as required by the regulatory services agreement, in order to provide certain regulatory services to the SEF. After careful consideration, the Commission finds that the amendment proposed in amendment amended by Amendment 1 is consistent with the requirements of the Act and the provisions and rules applicable to a national stock exchange [13] and, in particular, sections 6 b) (5) and 6 b) (7) of the Act. [14] As noted above, since it has become a national stock exchange. the Exchange has entered into a contract with FINRA under various regulatory service agreements to perform certain regulatory functions on its behalf. [15] Nasdaq General Rule 1, Section 7 requires that regulatory functions that are subject to the regulatory service contract in effect at the time, when Nasdaq began operating a national securities exchange, continue to be exercised at any time by FINRA, a subsidiary or other independent self-regulatory body, unless Nasdaq seeks prior authorization from the Commission. The Exchange is now proposing to redeploy operational responsibility for some of the controversial disciplinary measures discussed above by FINRA to the nasdaq settlement. [16] b) third-party supervision obligation. A designated contract contract that opts for the use of a regulatory service provider must have sufficient compliance staff to monitor the quality and effectiveness of the services provided on its behalf. Contract Compliance Officers are required to hold regular meetings with the regulatory service provider to review ongoing investigations, business models, market participants and other issues of concern. A designated contract contract must also regularly verify the adequacy and effectiveness of the services provided on its behalf. These audits must be carefully documented and made available to the Commission upon request. MAP S.Platis, a law enforcement firm operating in the UK and EU, announced on Thursday that it has reached its second agreement with the Cyprus Securities and Exchange Commission (CySEC).

(a) Use authorized by third parties. A designated contract contract may choose to use a registered futures group or other registered entity, since these terms are defined by law (together “regulatory service providers”) to provide services intended to contribute to compliance with the basic principles approved by the Commission.