FCA Rules Sample Clauses

FCA Rules. The rules of the FCA require the Custodian to inform the Issuer that: (a) where Securities Collateral are held outside the United Kingdom there may be different settlement, legal and regulatory requirements in jurisdictions outside the United Kingdom from those applying in the United Kingdom, or such jurisdiction as is appropriate in the circumstances, together with different practices for the separate identification of Securities Collateral and the Custodian will from time to time inform the Issuer of matters relevant to each jurisdiction in which Securities Collateral are held; (b) in providing the services described in this Agreement, the Custodian may hold Securities Collateral with Sub-Custodians who are in the same group as the Custodian; (c) although Securities Collateral will ordinarily be registered in the name of a nominee, the Custodian may from time to time (to the extent that if the Securities Collateral are subject to the law or market practice of a jurisdiction outside the United Kingdom and it is in the Issuer's best interests to register in that way or it is not feasible to do otherwise because of the nature of the applicable law or market practice) register or record the relevant Securities Collateral in the name of a Sub-Custodian, the Issuer, or the Custodian itself. If Securities Collateral are registered in the Custodian's name, the Securities Collateral in question may not be segregated from assets of the Custodian and, if there is a failure of the Custodian (for example, the appointment of a liquidator, receiver or administrator, or trustee in bankruptcy or any equivalent procedure in any relevant jurisdiction), the Issuer's assets may not be as well protected from claims made on behalf of the general parties of the Custodian. However, arrangements with each Sub-Custodian are such that the Securities Collateral with them shall be held in a separate account containing assets belonging only to the customers of the Custodian and not the Custodian's proprietary assets. In any event, the Custodian will notify the Issuer of the registered name in which the Securities Collateral are held; (d) the Custodian accepts the same level of liability for any nominee company controlled by the Custodian or an affiliate as for itself; (e) the accounts referred to in paragraph 1 (Custody Accounts/Securities Collateral) above are a form of pooling; (f) if the Issuer instructs the Custodian to hold the Securities Collateral with or register or record the...
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FCA Rules. In providing the services contemplated hereunder, the Custodian will comply with the FCA Rules. The Custodian is required to ensure that the provisions set forth in Appendix 1 Part 1 hereto are contained in any agreement with its customers. References to any FCA Rules or any other legislation under this Agreement are a reference to such rules or legislation as extended, applied, amended or re-enacted and includes any subordinate legislation and in particular any amendment or re-enactment arising from the implementation of the Markets in Financial Instruments Directive (“MiFID”).
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FCA Rules. For the purposes of these Terms, applicable laws and regulations shall include the FCA Rules, the rules of any other relevant regulatory authority or exchange and any applicable laws, rules, procedures, guidance, codes, standards and regulations (including, without limitation, accounting rules and anti-money laundering or sanctions legislation) in force from time to time. Nothing in this Agreement will exclude or restrict any duty or liability owed by us or any Related Persons to you under FSMA, PSR 2017 or the FCA Rules.
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FCA Rules. All rules and regulatory requirements made by the FCA, Central Bank of Ireland or any equivalent local regulatory authority applicable to the Party
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FCA Rules. This Agreement shall constitute a client agreement for the purposes of the rules of the Financial Conduct Authority (“FCA Rules”). The Investment Manager shall treat the Advisor as a ‘Professional Client’ for the purposes of the FCA Rules.
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FCA Rules. The Financial Conduct Authority rules under the Financial Services Xxx 0000 (FRN 509909).
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Related to FCA Rules

  • HIPAA Rules “HIPAA Rules” shall mean the Privacy, Security, Breach Notification, and Enforcement Rules at 45 CFR Part 160 and Part 164.

  • HOUSE RULES RESIDENT shall comply with all house rules as stated on separate addendum, but which are deemed part of this rental agreement, and a violation of any of the house rules is considered a breach of this agreement.

  • Export Rules You agree that the Software will not be shipped, transferred or exported into any country or used in any manner prohibited by the United States Export Administration Act or any other export laws, restrictions or regulations (collectively the "Export Laws"). In addition, if the Software is identified as an export controlled item under the Export Laws, you represent and warrant that you are not a citizen of, or located within, an embargoed or otherwise restricted nation (including without limitation Iran, Syria, Sudan, Libya, Cuba and North Korea) and that you are not otherwise prohibited under the Export Laws from receiving the Software. All rights to use the Software are granted on condition that such rights are forfeited if you fail to comply with the terms of this agreement.

  • School Rules The School rules which apply are set out on the School website and other documents published from time to time. The Parents are requested to read these documents carefully with the Pupil before they accept the offer of a place.

  • Conduct Rules Each party acknowledges and agrees to be bound by the Conduct Rules of the Financial Industry Regulatory Authority, Inc. applicable to transactions in options, and further agrees not to violate the position and exercise limits set forth therein.

  • Safety Rules 5.01 The safety rules of the State having jurisdiction shall be observed by the parties hereto. It is recognized that the Employer has the exclusive responsibility for providing a safe and healthful workplace. To assist the Employer in maintaining an effective and continuing safety program, a permanent Joint Safety Committee shall be established, consisting of two (2) members from the Union and two (2) members from the Employers, who shall meet at regular times to administer educational instructions, investigate serious accidents, and to draft appropriate safety rules. Such rules as adopted by this committee, shall become a part of this Agreement.

  • Laws, Rules and Regulations You agree to comply with all existing and future operating procedures used by the Bank for processing of transactions. You further agree to comply with, and be bound by, all applicable state or federal laws, rules, regulations, orders, guidelines, operating circulars and pronouncements, affecting checks and drafts, including, but not limited to, all rules and procedural guidelines established by the Board of Governors of the Federal Reserve and the Electronic Check Clearing House Organization ("ECCHO") and any other clearinghouse or other organization in which Bank is a member or to which rules Bank has agreed to be bound. These procedures, rules, and regulations (collectively the "Rules") and laws are incorporated herein by reference. In the event of conflict between the terms of this Agreement and the Rules, the Rules will control.

  • Applicable Law; Arbitration This Agreement shall be interpreted, construed, applied and enforced in accordance with the laws of the Commonwealth of Massachusetts, with regard to its “choice of law” rules. Any “Dispute” (as such term is defined in the Management Agreements) under this Agreement shall be resolved through final and binding arbitration conducted in accordance with the procedures and with the effect of, arbitration as provided for in the Management Agreements.

  • RULES & REGULATIONS The Exhibitor must comply with the requirements of all Authorities and where applicable with all rules and regulations issued by the owner of the Venue in force at the time of the Exhibition. The Exhibitor undertakes to comply with the obligations and duties contained or referred to in the Contract including (without limitation) those contained or to be contained in the Exhibitors’ Manual. Exemptions from any of these obligations and duties may be granted at the Organisers’ discretion. No exemption given by the Organisers will be effective unless in writing. The Contract comprises these Terms and Conditions, the Exhibition Space Contract and the Exhibitors’ Manual) except as varied in writing signed by the parties.

  • Applicable Rules Where a matter relating to investment is governed by this Agreement and simultaneously by the national legislation of either Contracting Party or international obligations existing at present or future by the contracting parties, investors of the other contracting party may avail itself of the provisions that are most favourable.

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