Associated Person

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Associated Person

1. On a futures exchange, any person affiliated with an investment advisory firm, brokerage or futures commission merchant. An associated person must be registered with the CFTC and must abide by the regulations of the exchange on which he/she works.

2. A person affiliated with a company traded on NASDAQ.
References in periodicals archive ?
Then, in February 2014, FINRA proposed a rule change to prohibit member firms and associated persons from conditioning or seeking to condition settlement of a customer dispute on, or to otherwise compensate a customer for, the customer's agreement to consent to, or not to oppose, a member's or associated person's request to expunge such customer dispute information from the CRD system.
Contract notice: Road transport services and associated persons.
Mr Harrison and associated persons have agreed not to dispose
Paul was referring to President Barack Obama's new request that would allow him to use force against the ISIL terrorist group "and associated persons and forces" anywhere in the world for the next three years.
The proposed new Authorization for the use of Military Force against ISIL "or associated persons or forces" includes no geographic limitations and prohibits the "enduring" deployment of U.
Fans must note that the reports lack official comments from the associated persons.
Moreover, SMS service has been launched which will be used for conveying dengue related messages to various political and social organizations, health associated persons and media.
Conflicts also may exist for firms and their associated persons that are responsible for educating plan participants about their choices.
The new rule also broadens the existing list of customer-specific factors that firms and associated persons generally must attempt to ascertain and analyze when making recommendations to customers.
As a result of the new "section seven", issues like corporate entertaining, the behaviour of associated persons (including agents and overseas workers) can now all be caught by the act.
The key measure of the UKBA is a new corporate offence of a company failing to prevent bribery by its associated persons - punishable by an unlimited fine.
They are now listed as:Proportionate ProceduresTop Level CommitmentRisk AssessmentDue DiligenceCommunication and TrainingMonitoring and Review There is further useful clarification regarding some of the trickier issues such as facilitation payments, corporate hospitality, associated persons and joint ventures.
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