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Associated Person |
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Associated Person The name given to participants within the futures market that are involved in the solicitation or facilitation of transacting customer orders, the maintenance of discretionary accounts, or the true participatory involvement in the futures market. Notes: Associated people are bound by the rules and regulations of different futures exchanges and regulatory bodies. |
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The final rules also state that an associated person must not cause a violation due to an act or omission the person "knew, or was reckless in not knowing, would directly and substantially contribute" to a violation. A compendium of all pending criminal, civil or administrative actions against the firm or any associated person in connection with any audit report. One of the proposed regulations to be heard in March would require that CPAs report the notice of an opening or initiation of an investigation by the Public Company Accounting Oversight Board involving the licensee or any associated person of the licensee. |
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Associated Person
