Restrictions on Selling Imposed by Front-end Monitoring Sample Clauses

Restrictions on Selling Imposed by Front-end Monitoring. 2.1.4.1 For the Client who deposits his A-shares with securities companies other than WLSL, if he wishes to sell certain A-shares he holds, he must transfer such. A-shares to his account with BS Securities before the day of selling (T day). If he fails to meet this deadline, he will not be able to sell such A-shares on T day.
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Restrictions on Selling Imposed by Front-end Monitoring. For Customers who usually keep their China Connect Securities outside of their brokers, if they want to sell certain China Connect Securities they hold, they must transfer those China Connect Securities to the respective accounts of their brokers before the cut-off time as specified by CMSHK in its sole discretion from time to time. Only settled China Connect Securities are allowed to be sold on any China Connect Trading Day.
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Restrictions on Selling Imposed by Front-end Monitoring. For Customers who usually keep their China Connect Securities outside of their brokers, if they want to sell certain China Connect Securities they hold, they must transfer those China Connect Securities to the respective accounts of their brokers before the cut-off time as specified by CMSHK in its sole discretion from time to time. Only settled China Connect Securities are allowed to be sold on any China Connect Trading Day. If CMSHK considers that the Customer has not (by the commencement of trading on the Trading Day on which he wishes to execute a sell order or any other cut-off time specified by CMSHK from time to time) transferred sufficient China Connect Securities to his broker’s designated CCASS stock account(s) to cover a proposed sell order, CMSHK may (but shall not be obliged to) in its sole discretion: (a) reject the Customer’s sell order in whole or in part; (b) where appropriate arrangements are in place and as permitted by Terms and Conditions of China Connect and Applicable Regulations, use any China Connect Securities in CMSHK’s (or any other broker’s) designated CCASS account(s) which CMSHK holds for itself or on behalf of its other customers to fulfil the front-end monitoring requirement in respect of the Customer’s sell order, in which case, the Customer shall reimburse CMSHK for any costs, losses or expenses which CMSHK incurs as a result of buying in or otherwise sourcing the amount of China Connect Securities which the Customer has failed to deliver in respect of the Customer’s sell order, on such terms and at such price (including any associated fees and expenses) and at such time as CMSHK shall determine in its sole discretion; or (c) perform any other act which CMSHK considers necessary or desirable to comply with front-end monitoring and/or relevant Terms and Conditions of China Connect and Applicable Regulations and to cover the Customer’s shortfall (including but not limited to applying any other China Connect Securities available to CMSHK) from any stock borrowing arrangements (to the extent permitted by Terms and Conditions of China Connect and Applicable Regulations and available to CMSHK) or other sources. In addition, CMSHK may in its sole discretion reject the Customer’s sell order in whole or in part if for any other reason CMSHK considers that there is or may be non-compliance or potential non-compliance with Terms and Conditions of China Connect and Applicable Regulations. Any risk, loss, or cost resulting from non-co...
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Related to Restrictions on Selling Imposed by Front-end Monitoring

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  • Restriction on Transfer, etc Unless it is expressly permitted in this Agreement, you will not sell, transfer, assign, mortgage, enter into a derivative transaction concerning, or otherwise deal in any way with your escrow securities or any related share certificates or other evidence of the escrow securities. If a Securityholder is a private company controlled by one or more principals (as defined in section 3.5 of the Policy) of the Issuer, the Securityholder may not participate in a transaction that results in a change of its control or a change in the economic exposure of the principals to the risks of holding escrow securities.

  • Restrictions on Lobbying The subrecipient shall not use funds made available to it under this Agreement to pay for, influence, or seek to influence any officer or employee of a State or Federal government.

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