 | Markus Nassen - 2007 - 141 páginas
...duties and obligations incumbent upon that person by reason of such procedures and system, and had no reasonable cause to believe that such procedures and system were not being complied with. (7) EFFECTOF SUSPENSION. — (A) ASSOCIATION WITH A PUBLIC ACCOUNTING FIRM. — It shall be unlawful... | |
 | United States - 1973 - 402 páginas
...(E) no person shall be deemed to have failed reasonably to supervise any person, if— 7R ST»T, 579, "(ii) such person has reasonably discharged the duties...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... | |
 | United States - 1991 - 692 páginas
...paragraph (5) no person shall be deemed to have failed reasonably to supervise any person, if— (6) such person has reasonably discharged the duties and...procedures and system were not being complied with. (6) is subject to an order of the Commission entered pursuant to subsection (f) of this section barring... | |
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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... 
