Non-registered capacity with no public contact nor supervision. Customer records are located on another floor. Offense committed more than 2 years ago and X sought rehabilitation in outpatient treatment program and AA. Community Supervisor states X is complying with his court-ordered supervision. Proposed Supervisor not related by blood or marriage.
1. X will conduct business on behalf of the Sponsoring Firm only from the office where the Proposed Supervisor is physically located, at a desk nearthe Proposed Supervisor;
2. X will not have any direct dealings with the investing public;
3. X will not act in a supervisory capacity;
4. The Proposed Supervisor will review all of X's work before it goes into production;
5. The Proposed Supervisor will review X's incoming and outgoing written correspondence at the time that it is either received or sent;
6. All complaints pertaining to X, whether verbal or written, will immediately be referred to the Proposed Supervisor for review, and then to the Firm's Director of Compliance. The Proposed Supervisor will prepare a memorandum to the file explaining the measures he took to investigate the merits of the complaint and the resolution of the matter. Documents pertaining to these complaints should be kept segregated for ease of review; and
7. For the duration of X's statutory disqualification, the Sponsoring Firm must obtain prior approval from Member Regulation if it wishes to change X's responsible supervisor from the Proposed Supervisor to another person.set forth above.