CSA regulator definition

CSA regulator means a securities regulatory authority or a regulator, as applicable;
Sample 1Sample 2Sample 3
CSA regulator means a securities regulatory authority or a regulator, as applicable; “dual application” means an application described in section 22;
Sample 1Sample 2Sample 3
CSA regulator means a securities regulatory authority or a regulator, as applicable; “cease trade order” (or “CTO”) has the same meaning as in National Policy 11-207
Sample 1Sample 2

Examples of CSA regulator in a sentence

  • However, if an issuer requests that a CSA regulator hold the application, supporting materials, or order in confidence after its effective date, the issuer should describe the request for confidentiality separately in its application, and pay any required fee to the CSA regulator.

  • Such halt is taken whether or not the CSA regulator that issued the CTO is the PR of the issuer and once the halt is imposed by IIROC, no person subject to UMIR may trade those securities on any marketplace in Canada, over-the-counter or on a foreign organized regulated market.

  • Therefore, the remainder of the guidance in this part deals with market participants who are not otherwise subject to the jurisdiction of IIROC.Market participants should be cautious about trading in a security in one jurisdiction if a CSA regulator in another jurisdiction has issued a CTO.

  • Before submitting an application, an issuer should contact each relevant CSA regulator to confirm the fees that will be payable.

  • The Dealer must also ensure that each Portfolio Manager has notified the applicable Canadian Securities Administrators (CSA) regulator before fully-paid securities of clients of Portfolio Managers are borrowed by the Dealer.

  • Such halt is taken whether or not the CSA regulator that issued the CTO is the [PR] of the issuer and once the halt is imposed by IIROC, no person subject to UMIR may trade those securities on any marketplace in Canada, over-the-counter or on a foreign organized regulated market.

  • Notwithstanding the establishment of the JSC, but subject to Section 3.5, Incyte shall have the sole right to prepare and approve the Detailing Plan and Global Branding Strategy, including any amendments thereto.

  • However, a CSA regulator may apply this policy if a reporting issuer is in default of a continuous disclosure requirement that is not included in the definition of specified default.Similarly, a CSA regulator may apply this policy if a reporting issuer has made a required filing but the required filing is deficient in terms of content (a content deficiency).

  • Broker shall maintain such licenses, registrations or approvals in good standing throughout the term of this Agreement.

  • In certain jurisdictions, the CSA regulator may issue a CTO that prohibits trading in, and the acquisition or purchase of, securities of a reporting issuer.

Related to CSA regulator

  • Regulator means, with respect to any person, any Government Authority charged with regulating, supervising or examining such person and its Affiliates.

  • Public Procurement Regulatory Authority (PPRA) means the Government Agency responsible for oversight of public procurement.

  • Regulatory Authority means any federal, national, multinational, state, county, city, provincial, or local regulatory agency, department, bureau or other governmental entity with authority over the marketing, commercialization, manufacture or sale of a pharmaceutical product in the Territory, including the FDA in the United States and the EMA in the EU.

  • Foreign Financial Regulatory Authority shall have the meaning given by Section 2(a)(50) of the 0000 Xxx.

  • MFDA means the Mutual Fund Dealers Association of Canada;

  • FDA means the United States Food and Drug Administration and any successor agency thereto.

  • Regulatory Authorities means the Commissions and the Exchange;