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" ... (i) there have been established procedures, and a system for applying such procedures, which would reasonably be expected to prevent and detect, insofar as practicable, any such violation by such other person, and (ii) such person has reasonably discharged... "
Wall Street Polices Itself: How Securities Firms Manage the Legal Hazards of ... - Página 57
por David P. McCaffrey, David W. Hart - 1998 - 224 páginas
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Laws Relating to Securities Commission, Exchanges and Holding Companies

United States - 1973
...the purposes of this clause (E) no person shall be deemed to have failed reasonably to supervise any person, if — "(i) there have been established procedures,...procedures and system were not being complied •with. "(F) is subject to an order of the Commission entered pursuant to paragraph (7) of this subsection...
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United States Code

United States - 2000
...expected to prevent and detect, Insofar as practicable, any such violation by such other person, and (B) such person has reasonably discharged the duties and...procedures and system were not being complied with. (7) is subject to an order of the Commission entered pursuant to subsection (f) of this section barring...
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United States Code: Containing the General and Permanent Laws of the United ...

United States - 1983
...person has reasonably discharged the duties and obligations incumbent upon that person, as supervisor, by reason of such procedures and system, without reasonable...procedures and system were not being complied with; (D) such person was convicted of a felony other than a felony of the type specified in paragraph (2XD)...
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Laws Relating to Securities Commission, Exchanges and Holding Companies

United States - 1964
...supervise any person, if — 39-068 O-64-22 Postponement of registration. Post, pp. 5747R STttT, 57?, "(i) there have been established procedures, and a...procedures and system were not being complied with. "(F) is subject to an order of the Commission entered pursuant to paragraph (7) of this subsection...
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The Code of Federal Regulations of the United States of America

1980
...person has reasonably discharged the duties and obligations incumbent upon that person, as supervisor, by reason of such procedures and system, without reasonable...procedures and system were not being complied with. (7) Such person has pleaded nolo contendere to criminal charges of felonious conduct, or has been convicted...
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SEC Legislation, 1963: Hearings Before a Subcommittee of the Committee on ...

United States. Congress. Senate. Committee on Banking and Currency - 1963 - 470 páginas
...clause (E) of this paragraph, no person shall be deemed to have failed reasonably to supervise any person, if (i) there have been established procedures,...procedures and system were not being complied with. Pending final determination whether any such registration shall be denied, the Commission may by order...
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Investor Protection: Hearings Before a Subcommittee of the Committee on ...

United States. Congress. House. Committee on Interstate and Foreign Commerce - 1964 - 1418 páginas
...clause (E) of this paragraph, no person shall be deemed to have failed reasonably to supervise any person, if (i) there have been established procedures,...procedures and system were not being complied with. Pending final determination whether any such registration shall be denied, the Commission may by order...
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Investor Protection: Hearings Before a Subcommittee of the Committee on ...

United States. Congress. House. Committee on Interstate and Foreign Commerce - 1964 - 1418 páginas
...any such violation Ity such other person; and (ii) such person has reasonably discharged the duti< * and obligations incumbent upon him by reason of such...reasonable cause to believe that such procedures and system icere not being complied with. Pending final determination whether any such registration shall be denied,...
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Investment Company Amendments of 1967: S. 1659: Analysis of ..., Volúmenes22-23

United States. Congress. Senate. Committee on Banking and Currency - 1967 - 117 páginas
...other person, and "(6) is subject to an order of the Commission entered pursuant to subsection "(B) such person has reasonably discharged the duties and...procedures and system were not being complied with. with an investment adviser, which order is in effect with respect to such person." (/) of this section...
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Investment Company Amendments of 1967: S. 1659: Analysis of ..., Volúmenes22-23

United States. Congress. Senate. Committee on Banking and Currency - 1967 - 117 páginas
...discharged the duties and obligation". incumbent upon him by reason of such procedures and system withoui reasonable cause to believe that such procedures and system were not being complied with. "(6) is subject to an order of the Commission entered pursuant to subsection (/) of this section barring...
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