Examples of Surveillance Team in a sentence
Compliance Monitoring and Surveillance Team may, at its discretion, require supervisor approval of a pre-clearance request before considering such request.
The Investigation Team will commence an investigation upon the receipt of a request from Commission staff or upon the discovery or receipt of information by the Exchange that, in the judgment of the Surveillance Team, indicates a possible basis for a finding that a violation has occurred or will occur.
Pre-clearance requests will be reviewed by the Compliance Monitoring and Surveillance Team in relation to information available from the trading system(s) or other relevant information sources (consulting with Portfolio Management as needed) to determine whether your request should be approved.
Compliance Monitoring and Surveillance Team monitors trading activity, reports this activity periodically to CSIM management and may impose additional trading restrictions or prohibitions as appropriate.
Subsequent investments of the applicable Covered Security pursuant to the plan are exempt from pre-clearance and blackout periods provided no changes to the plan have been made (i.e. changes to Covered Securities in the plan or investments made after the cancellation of the plan) since originally approved by the Compliance Monitoring and Surveillance Team.
A copy of the Daily Activity Report by the Flying Squad and Static Surveillance Team will be forwarded to him on the same day.
If the Compliance Monitoring and Surveillance Team grants an exception, you will not be required to further certify during the quarterly and annual certification periods to the holdings or transactions in such Personal Account once the exception is granted.
In such cases, Access Persons are required to submit a letter from any unaffiliated money manager to the Compliance Monitoring and Surveillance Team before the account is deemed exempt.
Exceptions to this prohibition may be granted by the Compliance Monitoring and Surveillance Team if, upon receipt of a request for preclearance of a transaction in a mutual fund or ETF, it determines that the client trading activity in that mutual fund or ETF occurred for cash flow purposes or that other potential conflicts do not exist or are adequately mitigated.
Within 10 days of hire or of being notified by the Compliance Monitoring and Surveillance Team that you have been deemed an Access Person, you must: ◾ Report all of your Personal Accounts that are capable of holding Covered Securities (including those of your Covered Persons).