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Federal Register / Vol. 86, No. 152 / Wednesday, August 11, 2021 / Notices
directly or through a third-party vendor, to CT Feeds and/or Member PDP.
ii Does the Member offer PDP? If yes, list each product, describe its content, and provide a link to where fees for each product are disclosed.
iii Provide the names of the Voting Representative and, any alternate Voting Representatives, and any Member Observers designated by the Member. Also provide a narrative description of such representativespersons roles within the Member organization, including the title of each individual as well as any direct responsibilities related to the development, dissemination, sales, or marketing of the Members PDP, and the nature of those responsibilities sufficient for the public to identify the nature of any potential conflict of interest that could be perceived by a reasonable objective observer as having an effect on the operation of the Company. If such representativespersons work in or with the Members PDP business, describe such representativespersons roles and describe how that business and such representativespersons Company responsibilities impacts their compensation.
In addition, describe how such representativespersons responsibilities with the PDP business may present a conflict of interest with their responsibilities to the Company.
iv Does the Member, its Voting Representative, or its alternate Voting Representative, its Member Observers, or any affiliate have additional relationships or material economic interests that could be perceived by a reasonable objective observer to present a potential conflict of interest with their responsibilities to the Company? If so, provide a detailed narrative discussion of all material facts necessary to identify the potential conflicts of interest and the effects they may have on the Company.
b The Processors must respond to the following questions and instructions:
i Is the Processor an affiliate of or affiliated with any Member? If yes, disclose the Members and describe the nature of the affiliation. Include an entity-level organizational chart depicting the Processor and its affiliates.
ii Provide a narrative description of the functions directly performed by senior staff, the manager employed by the Processor to provide Processor services to the Company, and the staff that reports to that manager.
iii Does the Processor provide any services for any Members PDP, other NMS
Plans, or creation of consolidated equity data information for its own use? If Yes, disclose the services the Processor performs and identify which NMS Plans. Does the Processor have any profit or loss responsibility for a Members PDP or any other professional involvement with persons the Processor knows are engaged in a Members PDP business? If so, describe.
iv List the policies and procedures established to safeguard Restricted Information, Highly Confidential Information, and Confidential Information that is applicable to the Processor.
v Does the Processor, or its representatives, have additional relationships
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or material economic interests that could be perceived by a reasonable objective observer to present a potential conflict of interest with the representatives responsibilities to the Company? If so, provide a detailed narrative discussion of all material facts necessary to identify the potential conflicts of interest and the effects they may have on the Company.
c The Administrator must respond to the following questions and instructions:
i Provide a narrative description of the functions directly performed by senior staff, the administrative services manager, and the staff that reports to that manager.
ii Does the Administrator provide any services for any Members PDP? If yes, what services? Does the Administrator have any profit or loss responsibility, or licensing responsibility, for a Members PDP or any other professional involvement with persons the Administrator knows are engaged in the Members PDP business? If so, describe.
iii List the policies and procedures established to safeguard Restricted Information, Highly Confidential Information, and Confidential Information that is applicable to the Administrator.
iv Does the Administrator, or its representatives, have additional relationships or material economic interests that could be perceived by a reasonable objective observer to present a potential conflict of interest with the representatives responsibilities to the Company? If so, provide a detailed narrative discussion of all material facts necessary to identify the potential conflicts of interest and the effects they may have on the Company.
d The Non-SRO Voting Representatives must respond to the following questions and instructions:
i Provide the Non-SRO Voting Representatives title and a brief description of the Non-SRO Voting Representatives role within the firm as well as any direct responsibilities related to the procurement of PDP or CT Feeds or the development, dissemination, sales, or marketing of PDP, and the nature of those responsibilities sufficient for the public to identify the nature of any potential conflict of interest that could be perceived by a reasonable objective observer as having an effect on the operation of the Company. If such representatives work in or with their employers market data business, describe such Non-SRO Voting Representatives roles and describe how that business impacts their compensation. In addition, describe how such representatives responsibilities with the market data business may present a conflict of interest with their responsibilities to the Company.
ii Does the Non-SRO Voting Representative have responsibilities related to the firms use or procurement of market data?
iii Does the Non-SRO Voting Representative have responsibilities related to the firms trading or brokerage services?
iv Does the Non-SRO Voting Representatives firm use the CT Feeds? Does the Non-SRO Voting Representatives firm use a Members PDP?
v Does the Non-SRO Voting Representatives firm offer PDP? If yes, list each product, described its content, and provide information about the fees for each product.

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vi Does the Non-SRO Voting Representatives firm have an ownership interest of 5% or more in one or more Members? If yes, list the Members.
vii Does the Non-SRO Voting Representative actively participate in any litigation against the CQ Plan, CTA Plan, UTP Plan, or the Company?
viii Does the Non-SRO Voting Representative or the Non-SRO Voting Representatives firm have additional relationships or material economic interests that could be perceived by a reasonable objective observer to present a potential conflict of interest with their responsibilities to the Company. If so, provide a detailed narrative discussion of all material facts necessary to identify the potential conflicts of interest and the effects they may have on the Company.
e Each service provider or subcontractor that has agreed in writing to provide required disclosures and be treated as a Disclosing Party shall respond to the following questions and instructions:
i Is the service provider or subcontractor affiliated with a Member, Processor, Administrator, or employer of a Non-SRO
Voting Representative? If yes, disclose with whom the person is affiliated and describe the nature of the affiliation.
ii If the service providers or subcontractors compensation is on a commission basis or is tied to specific metrics, provide a detailed narrative summary of how compensation is determined for performing work on behalf of the Company.
iii Is the service provider or subcontractor subject to policies and procedures including information barriers concerning the protection of confidential information that includes affiliates? If so, describe. If not, explain their absence.
iv Does the service provider or subcontractor, or its representative, have additional relationships or material economic interests that could be perceived by a reasonable objective observer to present a potential conflict of interest with its responsibilities to the Company? If so, provide a detailed narrative discussion of all material facts necessary to identify the potential conflicts of interest and the effects they may have on the Company.
f The responses to these questions will be posted on the Companys website. If a Disclosing Party has any material changes in its responses, the Disclosing Party must promptly update its disclosures.
Additionally, the Disclosing Parties must update the disclosures on an annual basis to reflect any changes. This annual update must be made before the first quarterly session meeting of each calendar year, which is generally held in mid-February.
Exhibit C
Confidentiality Policy a Purpose and Scope.
i The purpose of this Confidentiality Policy is to provide guidance to the Operating Committee, and all subcommittees thereof, regarding the confidentiality of any data or information in physical or electronic form generated by, accessed by, or
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