Associated Person

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 ?
If you're an associated person of a broker/dealer (B/D) and a supervised person of a registered investment adviser (RIA)--i.e., you're dually licensed--you will need to consider all types of accounts offered, both brokerage and advisory, and recommend the one that is in the best interest of that client.
Section 28 further states that no person shall engage in the business of buying or selling securities in the Philippines as a broker or dealer, or act as a salesman, or an associated person of any broker or dealer unless registered with the SEC.
Section 28 of the SRC further states that no person shall engage in the business of buying or selling securities in the Philippines as a broker or dealer, or act as a salesman or an associated person of any broker or dealer unless registered with the SEC.
It added that the respondents violated Section 8 of the SRC which states that 'no person shall engage in the business of buying or selling securities in the Philippines as a broker or dealer, or act as a salesman, or an associated person of any broker or dealer unless registered with the SEC.'
Finally, the Order finds that Essex failed to notify the National Futures Association within thirty days of when an associated person terminated their association with Essex, failed to transmit checks that they received from Essex customers to an FCM on the date that they received the checks, and failed to identify to the public an Essex branch office.
SEC also said that those charged violated Section 8 of the SRC which states that "no person shall engage in the business of buying or selling securities in the Philippines as a broker or dealer, or act as a salesman, or an associated person of any broker or dealer unless registered with the SEC."
As laid out in Regulatory Notice 17-42, FINRA proposes to establish a roster of arbitrators with additional training and specific backgrounds or experience from which a panel would be selected to decide an associated person's request for expungement of customer dispute information.
Secondly, there must be a criminal facilitation of that tax evasion by an associated person of the relevant body; and
In this case, an individual would file a Form U-4 and become an associated person or investment advisor representative of the firm.
This has led to an admission by Sweett Group of an offence under Section 7(1) of the UK Bribery Act 2010 (failing to prevent an associated person bribing another to obtain or retain business for the company).
Specifically, FINRA urged broker-dealers to supervise their activities to reasonably ensure that conflicts of interest do not impair the judgment of a registered representative or another associated person about what is in the customer's interest, the guidance read.
At the same time, expectations continue to mount In 2011, the UK created a new antibribery law, and expanded the footprint under which companies--both domestic and foreign--can be prosecuted in the UK for corruption or for failure to prevent corruption by an associated person or entity, regardless of where the offending act took place.
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