SFA Sample Clauses

SFA. But before we take a closer look at SFA, it might be helpful to put | it into a broader industry perspective. | | The history of the UK's financial services industry is well documented. | Banking, insurance, shares trading and futures dealing have developed into |--SFA* highly organised services and markets to make London one of the financial | SECURITIESS AND DELIVERIES capitals of the world. | DEALERS AND ADVISERS | As the markets in financial services developed, rules were introduced and | continually refined so that business could be conducted in an orderly and | fair manner. Of course, rules are not a guarantee of successful | investment. There is risk. World events, government policies, natural |--IMRO disasters or just simply corporate decisions and company performance all | FUND MANAGERS influence the way prices move. Nevertheless, professionals in the industry | apply knowledge, experience and skill in order to make the best judgement | for their clients and for themselves. But there are those who through | fraudulent of incompetent practice. place their clients' money in | jeopardy. To combat this, Parliament introduced legislation which heralded |--PIA** a new system of financial services regulations. | LIFE ASSURANCE AND UNIT | TRUST SALESMEN, FINANCIAL With the primary aim of improving investor protection, the Financial | INTERMEDIARIES/INDEPENDENT Services Act 1986 brought about a major restructuring in the way | FINANCIAX XXXXXXRS investment services are regulated. Is became a criminal offence to carry | on investment business if not authorised to do so. A new organisation, the | Securities and Investments Board (SIB) was established to oversee the | implementation of the Act.
Sample 1Sample 2Sample 3See All (11)
AutoNDA by SimpleDocs
SFA. To reflect the reorganization of Xxxxxxxx Fund Advisors Inc., a New York corporation, into a Delaware limited liability company and the succession of Xxxxxxxx Fund Advisors LLC to the rights and obligations of SFA as of June 30, 2010, Xxxxxxxx Fund Advisors LLC shall be deemed to replace SFA as a party to the Agreement, and administrator to the Trust.
Sample 1

Related to SFA

  • Xxxxxx Act Any provisions required to be contained in this Agreement by Section 126 and/or Section 130-k or Article 4-A of the New York Real Property Law are hereby incorporated herein, and such provisions shall be in addition to those conferred or imposed by this Agreement; provided, however, that to the extent that such Section 126 and/or 130-k shall not have any effect, and if said Section 126 and/or Section 130-k should at any time be repealed or cease to apply to this Agreement or be construed by judicial decision to be inapplicable, said Section 126 and/or Section 130-k shall cease to have any further effect upon the provisions of this Agreement. In a case of a conflict between the provisions of this Agreement and any mandatory provisions of Article 4-A of the New York Real Property Law, such mandatory provisions of said Article 4-A shall prevail, provided that if said Article 4-A shall not apply to this Agreement, should at any time be repealed, or cease to apply to this Agreement or be construed by judicial decision to be inapplicable, such mandatory provisions of such Article 4-A shall cease to have any further effect upon the provisions of this Agreement.

  • Sxxxxxxx-Xxxxx Act There is and has been no failure on the part of the Company or any of the Company’s directors or officers, in their capacities as such, to comply with any provision of the Sxxxxxxx-Xxxxx Act of 2002 and the rules and regulations promulgated in connection therewith (the “Sxxxxxxx-Xxxxx Act”), including Section 402 related to loans and Sections 302 and 906 related to certifications.

  • Sxxxxxxx-Xxxxx Act of 2002 Notwithstanding anything herein to the contrary, if the Company determines, in its good faith judgment, that any transfer or deemed transfer of funds hereunder is likely to be construed as a personal loan prohibited by Section 13(k) of the Exchange Act and the rules and regulations promulgated thereunder, then such transfer or deemed transfer shall not be made to the extent necessary or appropriate so as not to violate the Exchange Act and the rules and regulations promulgated thereunder.

  • Investment Company Act; Xxxxxxx Rule The Borrower (i) is not, and is not controlled by, an “investment company” registered or required to be registered under the Investment Company Act and (ii) is not a “covered fund” under the Xxxxxxx Rule. In determining that the Borrower is not a “covered fund” under the Xxxxxxx Rule, the Borrower relies on, and is entitled to rely on, the exemption from the definition of “investment company” set forth in Section 3(c)(5) of the Investment Company Act.

  • Xxxxxxxx-Xxxxx Act of 2002 Notwithstanding anything herein to the contrary, if the Company determines, in its good faith judgment, that any transfer or deemed transfer of funds hereunder is likely to be construed as a personal loan prohibited by Section 13(k) of the Exchange Act and the rules and regulations promulgated thereunder, then such transfer or deemed transfer shall not be made to the extent necessary or appropriate so as not to violate the Exchange Act and the rules and regulations promulgated thereunder.

  • Xxxxxxxx-Xxxxx Act There is and has been no failure on the part of the Company or any of the Company’s directors or officers, in their capacities as such, to comply with any provision of the Xxxxxxxx-Xxxxx Act of 2002 and the rules and regulations promulgated in connection therewith (the “Xxxxxxxx-Xxxxx Act”), including Section 402 related to loans and Sections 302 and 906 related to certifications.

  • Xxxx-Xxxxx Act Borrower will comply with the applicable requirements of the Xxxx-Xxxxx Act in purchasing any Replacement Cap Agreement.

Draft better contracts in just 5 minutes Get the weekly Law Insider newsletter packed with expert videos, webinars, ebooks, and more!