Client Assets Rules definition

Client Assets Rules. The rules and regulations applicable to the safekeeping and custody of financial instruments and client funds, including (but not limited to) the MiFID Regulations, the Delegated Regulation, the Delegated Directive and the Investment Firm Regulations. “Delegated Regulation” The Commission Delegated Regulation (EU) 2017/565 of 25 April 2016 supplementing Directive 2014/65/EU of the European Parliament and of the Council as regards organisational requirements and operating conditions for investment firms and defined terms for the purposes of that Directive. “Delegated Directive” The Commission Delegated Directive (EU) 2017/593 of 7 April 2016 supplementing Directive 2014/65/EU of the European Parliament and of the Council with regard to safeguarding of financial instruments and funds belonging to clients, product governance obligations and the rules applicable to the provision or reception of fees, commissions or any monetary or non- monetary benefits.
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Client Assets Rules means the provisions of the CySEC Rules, specifically, Directive DI81-01 relating to safeguarding of clients’ Financial Instruments.
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Client Assets Rules means the rules specified in the Financial Conduct Authority (“FCA”) Client Asset Sourcebook (“CASS”) in the FCA Handbook.
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Examples of Client Assets Rules in a sentence

  • This means we will receive and handle premiums, refunds and claims monies as agent of the insurer We will provide protection for client money by holding all client money in a general Client Account that is a Trust account set up and controlled in compliance with the FCA’s Client Assets Rules (CASS).

  • Where Client Assets are held with a bank or other third parties outside of Ireland or the EEA, to the extent permitted by the Client Assets Rules, the legal and regulatory regime applying to such bank or other third party may differ to that applicable in Ireland or the EEA and your rights in relation to that bank or other third party may be treated differently to the way it would be treated if it were held in Ireland.

  • Client Money and Client Assets Rules LCH, a recognised central counterparty, is authorised under Regulation (EU) No. 648/2012 of the European Parliament and of the Council of 4 July 2012 on OTC derivatives, central counterparties and trade repositories and is supervised by the Bank of England within the UK regulatory framework.

  • However, save as provided under the Client Assets Rules, we will not be liable for their acts or omissions, insolvency or dissolution.

  • You are warned that Your assets under TTCA will cease to have any protections under, and will not be governed by, Client Assets Rules.

  • The ACD will make use of the revised ‘delivery versus payment’ (DvP) exemption as set out in the FCA’s Client Assets Rules, which provides for a one business day window during which money held for the purposes of settling a transaction in Shares is not treated as ‘client money’.

  • FULL NAME OF SCHEME ADMINISTRATOR POSTCODE Accountant Professional advisers (if relevant) Solicitor Actuary Any funds which we hold for the Pension Scheme will be held in a bank account on the Pension Scheme’s behalf subject to the FCA Client Assets Rules.

  • The total number of acceptances set out above also includes acceptances in respect of 669,129 KAZ Minerals Shares, representing approximately 0.14 per cent.

  • Any funds which we hold for you will be held in a bank account on your behalf subject to the FCA Client Assets Rules.

  • TTCA is subject to the following warning: “You are warned that Your assets under TTCA will cease to have any protections under, and will not be governed by, Client Assets Rules.


More Definitions of Client Assets Rules

Client Assets Rules means the provisions of the FCA’s Client Assets Sourcebook relating to client assets.
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Client Assets Rules means the provisions of Division 2, Part V of the SFA and Division 3, Part III of the Securities and Futures (Licensing and Conduct of Business) Regulations (Rg. 10) relating to Client Assets to the extent applicable to capital markets services licence holders carrying out activities under the SFA.
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Client Assets Rules means the provisions of article 16(8) and 16(9) of MiFID II.
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Related to Client Assets Rules

  • Client Money Rules means the Securities and Futures (Client Money) Rules (Chapter 571I of the Laws of Hong Kong) made by the SFC under section 149 of the Securities and Futures Ordinance as amended from time to time;

  • Toll Billing Exception Service (TBE means a service that allows End Users to restrict third number billing or collect calls to their lines.

  • Information Service Traffic Traffic delivered to or from an Information Service Provider for the provision of Information Service. ISP-Bound Traffic is a subset of Information Service Traffic. Inside Wire or Inside Wiring: Wiring within the customer Premises that extends to the Demarcation Point of CenturyLink’s outside plant. Inside Wire is owned or controlled by the End User (unless otherwise specified herein or under Applicable Law).

  • SAP Group Software means (i) any and all software products listed on the Price List as well as any SAP SDK which are provided by SAP or any other member of the SAP Group to Partner or to an End User (either directly or indirectly via Partner) under any part of this Agreement all as developed by or for the SAP Group; (ii) any new releases, updates or versions thereof made available through unrestricted shipment pursuant to Maintenance Services or warranty obligation by any member of the SAP Group; and (iii) any complete or partial copies of any of the foregoing.

  • Business Customer means a customer who is not a residential customer.

  • Disposable earnings means that part of the earnings of an

  • Customer Group means Customer and any of its Affiliates established and/or doing business in the EEA, or United Kingdom;

  • Customer List means a list in electronic form (or such other form determined by ActewAGL) which sets out the following items for a Volume Customer Delivery Point:

  • Customer Deposits means deposits made by customers with respect to the purchase of goods or the performance of services.

  • Customer Usage Data means the Telecommunications Services usage data of a CLEC End User measured in minutes, sub-minute increments, message units, or otherwise, that is recorded by SBC-13STATE and forwarded to CLEC.

  • Customer-Funded Upgrade means any Network Upgrade, Local Upgrade, or Merchant Network Upgrade for which cost responsibility (i) is imposed on an Interconnection Customer or an Eligible Customer pursuant to Tariff, Part VI, section 217, or (ii) is voluntarily undertaken by a New Service Customer in fulfillment of an Upgrade Request. No Network Upgrade, Local Upgrade or Merchant Network Upgrade or other transmission expansion or enhancement shall be a Customer-Funded Upgrade if and to the extent that the costs thereof are included in the rate base of a public utility on which a regulated return is earned.

  • Toll Billing Exception Service (TBE) means a service that allows End Users to restrict third number billing or collect calls to their lines.

  • flight information service means a service provided for the purpose of giving advice and information useful for the safe and efficient conduct of flights;

  • END USER CUSTOMER LOCATION means the physical location of the premises where an End User makes use of the telecommunications services.

  • Customer Assets means the Customer’s infrastructure, data, software, materials, assets, equipment or other property owned by and/or licensed or leased to the Customer and which is or may be used in connection with the provision of the Goods and/or Services;

  • Company Software means Software owned or purported to be owned by or developed by or for the Company or any Company Subsidiary.

  • Covered contractor information system means an information system that is owned or operated by a contractor that processes, stores, or transmits Federal contract information.

  • Native Load Customers means the wholesale and retail power customers of a Transmission Owner on whose behalf the Transmission Owner, by statute, franchise, regulatory requirement, or contract, has undertaken an obligation to construct and operate the Transmission Owner’s system to meet the reliable electric needs of such customers.

  • Customer Lists We hereby agree that we shall not use any list of your customers which may be obtained in connection with this Agreement for the purpose of solicitation of any product or service without your express written consent. However, nothing in this paragraph or otherwise shall be deemed to prohibit or restrict us or our affiliates in any way from solicitations of any product or service directed at, without limitation, the general public, any segment thereof, or any specific individual, provided such solicitation is not based upon such list.

  • Business Software means with respect to a Licensor, all Software to the extent Controlled by such Licensor or any of its Affiliates as of the Effective Date, which Software is reasonably required as of the Effective Date for the conduct of (i) the Agriculture Business if the Licensee is AgCo, including as listed on section (i) of Schedule Q, or (ii) the Materials Science Business if the Licensee is MatCo, including as listed on section (ii) of Schedule Q, in each case (in respect of the foregoing (i) and (ii)), only if and to the extent such Licensee and its Affiliates have not been granted a license or other rights to use such Software under the Separation Agreement or any other Ancillary Agreement. Notwithstanding the foregoing, Business Software expressly excludes any and all Excluded IP.

  • own-source revenue means adjusted underlying revenue other than revenue that is not under the control of council (including government grants)

  • Customer Site means the site owned or leased by the Customer or any other site used to provide the Service, which is directly connected to a PoP managed by Liquid Telecom, as set out in the COF;

  • Acceptable earned value management system means an earned value management system that generally complies with system criteria in paragraph (b) of this clause.

  • Post-consumer recovered material means any product used by a consumer, including a business that purchases the material, that has served its intended end use, and that has been separated or diverted from the solid waste stream for the purpose of use, reuse, or recycling.

  • Customer Software means software which is owned by or licensed to the Customer;

  • Customer Equipment means hardware, software, systems, cabling and facilities provided by you and used in conjunction with the Equipment that we supply to you in order to receive the Services;