Client Securities definition

Client Securities means any Securities (other than Securities Collateral) received or held by or on behalf of USL or any other member of uSmart Group, or nominees which are so received or held on the Client’s behalf or in which the Client has a legal or equitable interest.
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Client Securities means any Securities (other than Securities Collateral) received or held by or on behalf of GTJAS or any other member of GTJA Group, or nominees which are so received or held on the Client’s behalf or in which the Client has a legal or equitable interest.
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Client Securities mean the Securities, which forms part of the Portfolio.
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Examples of Client Securities in a sentence

  • By way of brief background, the Client Securities Rules prescribe how client assets are to be dealt with by all intermediaries and their associated entities.

  • However, as the China Connect Securities traded through China Connect are not listed or traded on the SEHK, the Client Securities Rules will not apply unless otherwise specified by the SFC or any other relevant China Connect Authority.

  • The Firm may place an issuer on the Client Securities List at any time without prior notice to Access Persons.

  • The fact that a particular issuer has been placed on the Client Securities List is itself sensitive and confidential.

  • You understand that as the China Connect Securities traded through China Connect are not listed or traded on SEHK, you will not have protection either under the Client Securities Rules nor under the Client Identity Rules.

  • This form of consent will comply with the Securities and Futures (Client Securities) Rules which requires that, in the case of non-professional investors, any such consent shall specify the period for which it is current but shall remain in force for a period specified in such consent and shall, in any event, not exceed 12 months.

  • However, as the China Connect Securities traded through China Connect are not listed or traded on SEHK, the Customer will not have protection under the Client Securities Rules, unless otherwise specified by the SFC or any other relevant China Connect Authority.

  • In order to transfer Client Pledged Eligible Collateral to LCH SA, in order to satisfy a request made in accordance with Article 4.3.2.1(i) of the CDS Clearing Rule Book, the Defaulting Clearing Member must provide LCH SA with its consent to the debit of Client Pledged Eligible Collateral from its Client Pledged Account by Euroclear, pursuant to an instruction of LCH SA, and credit of the Client Pledged Eligible Collateral to be credited to the LCH Client Securities Account.

  • Voting Client Securities In the case of the SMA Platform, the SMA Portfolio Manager is responsible for voting proxies with respect to issuers held in an account, unless a client directs otherwise in writing.

  • Before an Access Person or his/her Related Person makes a short sale transaction, the Access Person must review the Client Securities List and confirm the issuer of the relevant security is listed thereon.


More Definitions of Client Securities

Client Securities means Securities which are, from time to time, contained in the Client’s Account(s) and which are available for Lending Transactions pursuant to this Agency Agreement.
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Client Securities. Rules”「客戶證券規則」 means the Securities and Futures (Client Securities) Rules (Cap. 517H of the Laws of Hong Kong).指香港法例第 571 H 章證券及期貨(客戶證券) 規則。 “Close out”「平倉」 means the entering into of a Futures Contract/Options Contract on identical terms to a previous Futures Contract or Options Contract, except (i) that the price may not be the same as the price specified in the previous contract and (ii) that we take the opposite side to the side it holds under the previous contract; for the express purpose of crystallizing the profit or loss on that previous contract; and the expressions “closed out”, “closed out” and “closed out contract” shall be construed accordingly.是指根據先前簽訂之期貨合約或期權合約的相同條款定立的一份期貨合約或期權合約，但其 (i) 價格可能與先前簽訂之合約不相同；及 (ii) 本公司持與先前之合約相反的立場，以訂出先前之合約的利潤或損失；而已平倉、正平倉及平倉合約均須相應地解釋。 “Code of Conduct”「操守準則」 means Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission issued by the SFC and as amended from time to time.指證監會發出的《證券及期貨事務監察委員會持牌人或註冊人操守準則》，及其不時修訂的版本。 “Collateral”「有關抵押品」 means all securities, money and any other properties provided by the Client to the Company or purchased or received by the Company for the Client or otherwise which come to the possession, custody or control of the Company or other persons on behalf of the Company which are charged to the Company as security under the Clause 3 of the Additional Terms for Margin Account; Accordingly, “securities collateral” refers to the securities comprised in the Collateral.指現在及將來公司或其他人士代公司持有、託管或控制所有由客戶向公司提供、公司代客戶購買或收取或以其他任何形式獲得的任何證券、款項或其他財產，而該等財產 已根據保證金賬戶之附加條款中第 3 條，抵押予公司作為押記；「證券抵押品」指有關抵押品中的證券。 “Company ”「公司」 means Fubon Securities (Hong Kong) Limited.指富邦證券(香港) 有限公司。 “Company Group”「公司集團」 means the Company, its affiliates, its direct and indirect holding companies and subsidiaries of the holding companies and a “member of the Company Group” refers to any one or more of the aforesaid companies.指公司、其聯營公司、其直接及間接控股公司及該等控股公司的附屬公司，而「公司集團成員」指上述任何一家或多家公司。 “Company Nominee”「公司代理人」 means such agents, correspondents, sub custodians or nominees in Hong Kong or elsewhere employed by the Company as it thinks fit to hold securities or other assets, to pay for and receive or to deliver or exchange or to make collections with respect to securities or other assets or otherwise to perform any of the Company’s duties as custodian under these Terms and Conditions and shall include (for the avoidance of doubt) depositories and clearing systems.指公司在其認為合適的情況下在香港或其他地區雇用的、為公司持有證券或其他資產、辦理...
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Client Securities means those Securities that are currently held in any RCA client’s portfolio. A list of Client Securities is available from the Chief Compliance Officer. If an Employee owns stock that becomes a Client Security at some point in the future, the Employee is subject to the 60 day holding period restriction effective the day the stock becomes a Client Security.
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Client Securities means any Securities (other than Securities Collateral) received or held by or on behalf of PATRONS, or nominees which are so received or held on the Client’s behalf or in which the Client has a legal or equitable interest.
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Client Securities means securities of the Client which are deposited by KGI in a custody account with KGI or a custodian in accordance with the requirements under the Singapore Rules and applicable foreign rules
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Related to Client Securities

  • Parent Securities has the meaning set forth in Section 4.02(b)(ii).

  • Investment Securities means any of the following:

  • Replacement Securities means securities of the same issuer, class and denomination as Loaned Securities.

  • Client Securities Rules means the Securities and Futures (Client Securities) Rules (Cap 571H of the Laws of Hong Kong).

  • U.S. Government Securities means direct obligations of the United States or of its agencies or instrumentalities that are entitled to the full faith and credit of the United States and that, other than United States Treasury Bills, provide for the periodic payment of interest and the full payment of principal at maturity or call for redemption.

  • Long-Term U.S. Government Securities means U.S. Government Securities maturing more than one year from the applicable date of determination.

  • Equivalent Securities with respect to a Transaction, Securities equivalent to Purchased Securities under that Transaction. If and to the extent that such Purchased Securities have been redeemed, the expression shall mean a sum of money equivalent to the proceeds of the redemption;

  • Government Securities means direct obligations of, or obligations guaranteed by, the United States of America, and the payment for which the United States pledges its full faith and credit.

  • U.S. Government Securities Business Day means any day except for (a) a Saturday, (b) a Sunday or (c) a day on which the Securities Industry and Financial Markets Association recommends that the fixed income departments of its members be closed for the entire day for purposes of trading in United States government securities.

  • Investment security means a marketable obligation in the form of a bond, note, or debenture, commonly regarded as an investment security and that is salable under ordinary circumstances with reasonable promptness at a fair value.

  • Deposit Securities means, as of any date, any United States dollar-denominated security or other investment of a type described below that either (i) is a demand obligation payable to the holder thereof on any Business Day or (ii) has a maturity date, mandatory redemption date or mandatory payment date, on its face or at the option of the holder, preceding the relevant Redemption Date, Dividend Payment Date or other payment date in respect of which such security or other investment has been deposited or set aside as a Deposit Security:

  • Development Security means (i) cash or (ii) a Letter of Credit in the amount set forth on the Cover Sheet.

  • Short-Term U.S. Government Securities means U.S. Government Securities maturing within one year of the applicable date of determination.

  • Exempt Securities has the meaning set forth in Section 4.4(d).

  • Liquid Securities means securities that are publicly traded on the New York Stock Exchange, the American Stock Exchange or the Nasdaq Stock Market and as to which the Company or any Restricted Subsidiary is not subject to any restrictions on sale or transfer (including any volume restrictions under Rule 144 under the Securities Act or any other restrictions imposed by the Securities Act) or as to which a registration statement under the Securities Act covering the resale thereof is in effect for as long as the securities are held; provided that securities meeting the foregoing requirements shall be treated as Liquid Securities from the date of receipt thereof until and only until the earlier of (a) the date on which such securities are sold or exchanged for cash or Cash Equivalents and (b) 180 days following the date of receipt of such securities. If such securities are not sold or exchanged for cash or Cash Equivalents within 180 days of receipt thereof, for purposes of determining whether the transaction pursuant to which the Company or a Restricted Subsidiary received the securities was in compliance with Section 4.11, such securities shall be deemed not to have been Liquid Securities at any time.

  • Foreign Government Securities means with respect to Subordinated Debt Securities of any series that are denominated in a Foreign Currency, non-callable (i) direct obligations of the participating member state or government that issued such Foreign Currency for the payment of which obligations its full faith and credit is pledged or (ii) obligations of a Person controlled or supervised by and acting as an agency or instrumentality of such participating member state or government, the payment of which obligations is unconditionally guaranteed as a full faith and credit obligation of such participating member state or government. For the avoidance of doubt, for all purposes hereof, euro shall be deemed to have been issued by each participating member state from time to time.

  • Contract Securities means the Offered Securities, if any, to be purchased pursuant to the delayed delivery contracts referred to below.

  • relevant securities means Ordinary Shares and securities carrying conversion or subscription rights into Ordinary Shares;

  • Portfolio Securities or "investments" of the Series shall mean, respectively, such assets, net assets, securities, portfolio securities or investments which are from time to time under the management of the Subadviser pursuant to this Agreement.

  • NIM Securities As defined in the tenth Recital to this Agreement.

  • Compliant Securities means securities issued by UBS Group AG or any of its subsidiaries that have economic terms not materially less favourable to a Holder than these Terms and Conditions (as reasonably determined by the Issuer), provided that

  • Designated Securities means securities issued by an Insured, or by any Affiliated Entity, or by any Fund to which such Insured or any Affiliated Entity provides any services.

  • Equity-linked Securities means any debt or equity securities that are convertible, exercisable or exchangeable for Class A Shares issued in a financing transaction in connection with a Business Combination, including but not limited to a private placement of equity or debt.

  • Net Securities Proceeds means the Cash proceeds (net of underwriting discounts and commissions and other reasonable costs and expenses associated therewith, including reasonable legal fees and expenses) from the (i) issuance of Capital Stock of or incurrence of Indebtedness by Borrower or any of its Subsidiaries and (ii) capital contributions made by a holder of Capital Stock of Borrower.

  • Escrowed Securities means the direct, noncallable obligations of the United States of America, as described in the Escrow Agreement.

  • CHESS Approved Securities means securities of the Company for which CHESS approval has been given in accordance with the ASX Settlement Operating Rules;