Authorised Firm means a person authorised by the QFC Regulatory Authority to engage in Regulated Activities as set forth in Article 23 of QFC Financial Services Regulations.
Authorised Firm means a Firm which is authorised to practise as a Statutory Audit Firm, a Non Audit Firm or authorised under Investment Business Regulations.
Authorised Firm means a firm authorised by the FCA to conduct the regulated activities required by this Agreement in accordance with Part IV of FSMA;
Examples of Authorised Firm in a sentence
An Authorised Individual is a person who is approved by the DFSA to perform a Licensed Function for an Authorised Firm.
In considering whether an Authorised Individual remains fit and proper, the Authorised Firm should consider those matters in section 3.2 of the RPP Sourcebook and the notification requirements in section 11.10 of this module.
Deposits 2.1.2 An arrangement does not constitute a Collective Investment Fund if the whole amount of each participant's contribution is a Deposit which is accepted by an Authorised Firm authorised under its Licence to carry on the Financial Service of Accepting Deposits.
Depending on the nature, scale and complexity of its business, it may be appropriate for an Authorised Firm to have in place a suitable Complaints handling procedure for Professional Clients in order to ensure that such Complaints are properly handled and remedial action is taken promptly.
There are also requirements upon the Authorised Firm to apportion material responsibility among its senior management.
More Definitions of Authorised Firm
Authorised Firm means a firm, partnership or company which is authorised under the FSMA to carry on investment business and has appointed the Intermediary as its Appointed Representative, and which is either:(a) the party subject to the terms of Business from time to time; or(b) each party subsequent to that referred to at (a), where the Intermediary has notified the Provider in accordance with Clause 12.3 and the Provider has chosen not to exercise its right to terminate this Agreement under Clause 16.4;“Commencement Date”means the date of this Agreement; “Controller to Controller Standard Contractual Clauses”means the standard contractual clauses as approved by the European Commission Decision of 27 December 2004 amending Decision 2001/497/EC as regards the introduction of an alternative set of standard contractual clauses for the transfer of personal data to third countries (notified under document number C(2004) 5271), and any amendments thereto. “Customer”means an individual, organisation or company, (including an employee of, or individual associated with, such organisation or company) who has appointed the Intermediary as its agent;“Customer Personal Data”means Personal Data relating to a Customer which is Processed by, or on behalf of, either Party; “Data”means all information and data transmitted by one Party to the other Party (whether transmitted directly or via an Approved TPSP) or to or from an Approved TPSP, including statistics, policy information and valuations, Personal Data (including Customer Personal Data), information about products and services, commercial information, and whether as images, text or otherwise; “Data Protection Laws”means all applicable statutes, laws, secondary legislation, rules, regulations and guidance from a Supervisory Authority (or its UK equivalent) relating to privacy, confidentiality, security, direct marketing or the protection of Personal Data or corporate data (including any national laws implementing any such legislation (including Directives 2002/58/EC and 97/66/EC)), including but not limited to the UK GDPR, the UK Data Protection Act 2018, the Privacy and Electronic Communications (EC Directive) Regulations 2003 (SI2003/2426), the Regulation of Investigatory Powers Act 2000, the Investigatory Powers Act 2016, the Telecommunications (Lawful Business Practice) (Interception of Communications) Regulations 2000 (SI 2000/2699) and the EU General Data Protection Regulation. “Defect”means any and all material errors, omissio...
Authorised Firm means any entity authorised by the Institute to use a plural of a Chartered title to describe itself; and
Authorised Firm means a person who has been given permission by the FCA under Part IV of FSMA to carry out one or more regulated activities under section 22 of FSMA; ‘Authorised Insurer’ means a person with permission under FSMA to effect and carry out contracts of insurance or a person admitted to the Society of Lloyd’s as an underwriting member; ‘Bordereau Account’ means a bordereau account operated by Close in the name of the Broker whereby the net value of all Borrower transactions introduced by the Broker is recorded;
Authorised Firm a firm with permission from the FCA to carry out regulated activities as referred to in the FSMA; "Business" means the activities constituting Regulated Activities and all other activities which ITC has agreed the AR may conduct as specified in Schedule 1; "Business Day" any day which is not a Saturday, a Sunday or a Public Holiday; "Commencement Date" the date (which shall be the date when this Agreement takes effect) which ITC will notify to the AR as being the Commencement Date (and which will be the later of the date when the FCA registers the AR as an appointed representative of ITC with permission to commence Regulated Activities or the date when the FCA has approved the AR’s Approved Person as such by including such Approved Person’s details on the FCA register); ”Complaint" any oral or written expression of dissatisfaction about any activity provided or withheld by the AR or ITC (whether justified or not); “Compliance Materials” the ITC compliance materials which should be observed and implemented by ITC’s network of Appointed Representatives including the AR and which ITC will issue to the AR from time to time;
Authorised Firm means a Person, other than an Authorised Market Institution, who holds a Licence.
Authorised Firm means a body corporate who holds a licence to carry on money services as they are stated in the DFSA Rules.
Authorised Firm means a firm regulated by the Institute in its capacity as –