HOW WE ARE REGULATED Clause Samples

The "How We Are Regulated" clause defines the legal and regulatory framework under which the company or service provider operates. It typically outlines the specific regulatory bodies or authorities that oversee the company's activities, such as financial regulators, industry-specific agencies, or government departments. For example, a financial services provider might state that it is authorized and regulated by a national financial authority. This clause provides transparency and reassurance to customers or clients by clarifying the oversight mechanisms in place, thereby building trust and ensuring compliance with relevant laws and standards.
HOW WE ARE REGULATED. 31.1 A company registered in England and Wales (company number 4552753). Registered office: ▇▇ ▇▇▇▇ ▇▇▇▇▇▇▇ ▇▇▇▇▇▇, London EC4N 7BG. Authorised by the Prudential Regulation Authority and regulated by the Financial Conduct Authority and the Prudential Regulation Authority. Our Financial Services Register Number is 222030. 31.2 To find out more about us, see the Financial Services Register: ▇▇▇.▇▇▇.▇▇▇.▇▇ or call the FCA on ▇▇▇▇ ▇▇▇ ▇▇▇▇. 31.3 To find out more about our company, see the Registrar's website, ▇▇▇.▇▇▇▇▇▇▇▇▇▇▇▇▇▇.▇▇▇.▇▇ or call the Registrar on 0303 1234 500.
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HOW WE ARE REGULATED. 33.1 A company registered in England and Wales (company number 4552753). Registered office: ▇▇ ▇▇▇▇ ▇▇▇▇▇▇▇ ▇▇▇▇▇▇, London EC4N 7BG. Authorised by the Prudential Regulation Authority and regulated by the Financial Conduct Authority and the Prudential Regulation Authority. Our Financial Services Register Number is 222030. 33.2 To find out more about us, see the Financial Services Register: ▇▇▇.▇▇▇.▇▇▇.▇▇ or call the FCA on ▇▇▇▇ ▇▇▇ ▇▇▇▇ 33.3 To find out more about our company, see the Registrar's website, ▇▇▇.▇▇▇▇▇▇▇▇▇▇▇▇▇▇.▇▇▇.▇▇ or call the Registrar on 0303 1234 500 34.1 We are covered by the Financial Services Compensation Scheme ("FSCS"). The FSCS can pay compensation to depositors if a bank is unable to meet its financial obligations. Most depositors – including most individuals and non-financial corporates – are covered by the scheme. 34.2 In respect of deposits, an eligible depositor is entitled to claim up to £85,000. For joint accounts each account holder is treated as having a claim in respect of their share so, for a joint account held by two eligible depositors, the maximum amount that could be claimed would be £85,000 each (making a total of £170,000). The £85,000 limit relates to the combined amount in all the eligible depositors' accounts with the bank including their share of any joint account, and not to each separate account. 34.3 For further information about the compensation provided by the FSCS (including the amounts covered and eligibility to claim) please ask at one of our branches, refer to the FSCS website at ▇▇▇.▇▇▇▇.▇▇▇.▇▇ or call the FSCS on ▇▇▇ ▇▇▇▇ ▇▇▇▇ or ▇▇▇▇ ▇▇▇ ▇▇▇▇. Please note only compensation related queries should be directed to the FSCS.
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HOW WE ARE REGULATED. We are a payment institution authorised and regulated by the Financial Services Authority (“FSA”) in the United Kingdom. The FSA Register is available at ▇▇▇.▇▇▇.▇▇▇.▇▇/▇▇▇▇▇▇▇▇.
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Related to HOW WE ARE REGULATED

  • Compliance with Federal Law, Regulations, and Executive Orders This is an acknowledgement that FEMA financial assistance will be used to fund all or a portion of the contract. The contractor will comply with all applicable Federal law, regulations, executive orders, FEMA policies, procedures, and directives.

  • Executive Orders This Contract is subject to the provisions of Executive Order No. Three of Governor ▇▇▇▇▇▇ ▇. ▇▇▇▇▇▇▇, promulgated June 16, 1971, concerning labor employment practices, Executive Order No. Seventeen of Governor ▇▇▇▇▇▇ ▇. ▇▇▇▇▇▇▇, promulgated February 15, 1973, concerning the listing of employment openings and Executive Order No. Sixteen of Governor ▇▇▇▇ ▇. ▇▇▇▇▇▇▇ promulgated August 4, 1999, concerning violence in the workplace, all of which are incorporated into and are made a part of the Contract as if they had been fully set forth in it. The Contract may also be subject to Executive Order No. 14 of Governor M. ▇▇▇▇ ▇▇▇▇, promulgated April 17, 2006, concerning procurement of cleaning products and services, Executive Order No. 61 of Governor ▇▇▇▇▇▇ ▇. ▇▇▇▇▇▇ promulgated December 13, 2017 concerning the Policy for the Management of State Information Technology Projects, as issued by the Office of Policy and Management, Policy ID IT-SDLC-17-04, and Executive Order No. 49 of Governor ▇▇▇▇▇▇ ▇. ▇▇▇▇▇▇, promulgated May 22, 2015, mandating disclosure of certain gifts to public employees and contributions to certain candidates for office in accordance with their respective terms and conditions. If Executive Orders 14, 61 or 49 are applicable, it is deemed to be incorporated into and are made a part of the Contract as if it had been fully set forth in it. At the Contractor’s request, the State shall provide a copy of these orders to the Contractor.

  • COMPLIANCE WITH STATUTES AND REGULATIONS a) Contractor warrants and certifies that in the performance of this Contract, it will comply with all applicable statutes, rules, regulations and orders of the United States and the State of California and agrees to indemnify the State against any loss, cost, damage or liability by reason of Contractor’s violation of this provision. b) If this Contract is in excess of $554,000, it is subject to the requirements of the World Trade Organization (WTO) Government Procurement Agreement (GPA).

  • Compliance with Healthcare Laws The tests, studies, and trials conducted by or on behalf of or sponsored by the Company or any of its subsidiaries were and, if still pending, are being conducted in all material respects in accordance with all applicable Health Care Laws (as defined below) and standard medical and scientific research protocols, procedures, and controls; none of the Company or any of its subsidiaries has received any written notice, correspondence, or other written communication from any regulatory agency or any institutional review board or comparable body requiring or threatening the termination, suspension, or material modification of any tests, studies, or trials, or commercial distribution, and to the knowledge of the Company and its subsidiaries, there are no reasonable grounds for the same. Each of the Company and its Subsidiaries has obtained (or caused to be obtained) the informed consent of each human subject who participated in a test, study, or trial. None of the tests, studies, or trials involved any investigator who has been disqualified as a clinical investigator. The Company and its directors, officers, employees, and agents are, and at all times prior hereto have been, in material compliance with, all health care laws and regulations applicable to the Company or any of its product candidates or activities, including development and testing of pharmaceutical products, kickbacks, recordkeeping, documentation requirements, the hiring of employees (to the extent governed by Health Care Laws), quality, safety, privacy, security, licensure, accreditation or any other aspect of developing and testing health care or pharmaceutical products (collectively, “Health Care Laws”). The Company has not received any notification, correspondence or any other written or oral communication, including notification of any pending or threatened claim, suit, proceeding, hearing, enforcement, investigation, arbitration or other action from any governmental authority, including, without limitation, the United States Food and Drug Administration, the Drug Enforcement Agency, the Centers for Medicare & Medicaid Services, and the U.S. Department of Health and Human Services Office of Inspector General, of potential or actual non-compliance by, or liability of, the Company under any Health Care Laws. To the Company’s knowledge, there are no facts or circumstances that would reasonably be expected to give rise to liability of the Company under any Health Care Laws, except that would not individually or in the aggregate have a Material Adverse Effect.

  • Anti-Money Laundering/International Trade Law Compliance No Covered Entity is a Sanctioned Person. No Covered Entity, either in its own right or through any third party, (i) has any of its assets in a Sanctioned Country or in the possession, custody or control of a Sanctioned Person in violation of any Anti-Terrorism Law; (ii) does business in or with, or derives any of its income from investments in or transactions with, any Sanctioned Country or Sanctioned Person in violation of any Anti-Terrorism Law; or (iii) engages in any dealings or transactions prohibited by any Anti-Terrorism Law.