Dealing Arrangements definition

Dealing Arrangements means arrangements entered into by the Local Manager as permitted by the FSA Rules for the receipt or payment of money, goods or services that relate to the execution of trades or the provision of research under which the Local Manager executes or arranges for the execution of orders in designated investments.

Dealing Arrangements. Means arrangements entered into by Puma Investments in accordance with the FCA Rules for the receipt of goods or services that relate to the execution of trades or the provision of research in any of the designated investments specified in the FCA Rules and which may includeCommission Sharing Arrangements.

Dealing Arrangements. Means arrangements entered into by Puma Investments in accordance with the FCA Rules for the receipt of goods or services that relate to the execution of trades or the provision of research in any of the designated investments specified in the FCA Rules and which may include Commission Sharing Arrangements.

Examples of Dealing Arrangements in a sentence

• Puma Investments shall provide the Investor on request with information regarding its Dealing Arrangements, including any Commission Sharing Arrangement, in accordance with the FCA Rules, including its policy statement relating to such arrangements, the details of the goods and services that relate to the execution of trades and those which relate to the provision of research.

• Dealing Arrangements In certain circumstances, the investor’s right to redeem Shares may be suspended or redemption requests may be deferred.

• TMP 5 Organisation, Clarity and Segregation of Responsibilities, and Dealing Arrangements This organisation considers it essential, for the purposes of the effective control and monitoring of its treasury management activities, for the reduction of the risk of fraud or error, and for the pursuit of optimum performance, that these activities are structured and managed in a fully integrated manner, and that there is at all times a clarity of treasury management responsibilities.

• Douglas Melamed, Exclusive Dealing Arrangements and Other Exclusionary Conduct – Are There Unifying Principles?, 73 ANTITRUST L.J. 375, 389-403 ( 2006) (stating views of counsel for Rambus in this proceeding).

• Admission to Trading and Dealing Arrangements Application has been made to Euronext Dublin for Notes issued under the Programme during the period of twelve months after the date of this Information Memorandum to be admitted to the Official List and to trading on the regulated market of Euronext Dublin.

• General Dealing Arrangements UK Equities In normal market conditions and for orders concerning liquid (i.e. frequently traded) UK equities, Stocktrade will use its automated execution technology to identify the best available terms by polling a variety of execution venues including the RSP network.

• Schedule Four - Organisation, Clarity and Segregation of Responsibilities, and Dealing Arrangements Organisation1 The key participants in the treasury management process and their rioles and responsibilities are set out in the following sections.

• This "Part III – Admission to Trading and Dealing Arrangements" contains information relating to the admission of the Instruments to trading on a regulated market of a securities exchange in a member state of the European Economic Area that is required in accordance with Annex V of the Prospectus Regulation, as the case may be, in connection with such an admission to trading of the Instruments.

• In particular, the Operator shall not enter into linked Sale or Exclusive Dealing Arrangements.

• This will be achieved through a customer satisfaction checklist available on the DLPC website available to be filled in at any time by customers.

More Definitions of Dealing Arrangements

Dealing Arrangements the arrangements entered into by the Manager in accordance with the FCA Rules for the receipt of goods or services that relate to the execution of trades or the provision of research, under which the Manager executes customer orders in any of the designated investments specified in the FCA Rules;