Sentence examples for supervisory procedures from inspiring English sources

Florida regulators also fined the firm $2,500 in August for not registering a branch office and failing to establish and maintain adequate supervisory procedures.

Finra is asking firms for detailed data on municipal bond transactions they handled for clients during the first quarter of 2009, including sales and marketing data, pricing and disclosure practices, customer complaints and supervisory procedures.

Findings suggest that a reassessment of the roles and responsibilities in primary eye care of dispensary health workers, review of training curriculum and teaching, and supervisory procedures may be necessary.

Last Thursday Mr. Frankhauser, a former regional administrator of the Securities and Exchange Commission in New York and a former enforcement chief at the New York Stock Exchange, was hired as a consultant to Prudential-Bache Secureview Inc. thereview the firm's supervisory procedures.

"Manager of manger" funds often do (and always should) have supervisory procedures to track such matters/changes.

Do you understand and acknowledge that failure to comply with any of the policies of the PNC Financial Services Group, Inc. and its affiliates, including, but not limited to, those contained in the Compliance Manual or Written Supervisory Procedures, or any state or federal securities, insurance, or banking laws, may subject you to disciplinary action including possible termination?

Aspects of the supervisory process.

The firm — which was found to be in violation of one charge, failing to have "adequate supervisory systems and procedures" — will be fined $200,000 and the cost of the hearing, according to the decision.

NASD staff members recommended disciplinary action against the Bank One Securities Corporation, a unit of the Bank One Corporation that J.P. Morgan purchased in July, for lacking the supervisory system and written procedures needed to prevent so-called late trading of its funds, J.P. Morgan said yesterday in a filing with the Securities and Exchange Commission.

Thus, Morgan Stanley failed to establish a reasonable supervisory system and written procedures to monitor the sale of Non-Traditional ETFs.

Thus, Wells Fargo failed to establish a reasonable supervisory system and written procedures to monitor the sale of Non-Traditional ETFs.