Dealing Rules definition

Dealing Rules means the Rules and the Market Operating Rules that govern the submission of orders and the execution and reporting of Market Transactions on a Trading Platform.
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Dealing Rules means Chapter 7 of the Corporations Act, as appropriate, and the Market Operating Rules governing the processes of dealing in and of reporting dealings in Securities.
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Dealing Rules means the Business Rules governing the processes of dealing in and of reporting dealings in Securities and includes Rules 2.4 to 2.18.
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Examples of Dealing Rules in a sentence

  • Personal securities transactions in the securities of Schroders plc are subject to blackout periods and other restrictions which are outlined in the UK Staff Dealing Rules which can be found on Group Compliance's intranet website.

  • In addition to complying with the PA Dealing Rules as set out in this Code, all employees must also comply with Pictet Directive 8, which can be accessed via the Pictet internet.

  • The state will use information gained from returned mail to make additional outreach attempts through other methods (phone, email, etc.) or complete other beneficiary address analysis from previous claims to strengthen efforts to obtain a valid address.

  • At a minimum, such personnel must follow the procedures set forth in the "Schroder Investment Management London Group Personal Investment Dealing Rules" as described below and report their transactions in Covered Securities quarterly to the New York Ethics Supervisor.

  • Individuals covered by this Code may also be covered by other regulations, codes or related policies such as the UK Personal Account Dealing Rules or the Henderson Global Funds Code of Ethics for Principal Executive and Senior Financial Officers.

  • At 30 June2019At 31 December2018RMB’000RMB’000(unaudited)(audited) Trust products 162,000 109,000Wealth management products78,60091,359 Subtotal 240,600 200,359Accrued interest3,268268Less: Allowances for impairment losses(2,867)(2,310) 241,001 198,317 56 GUANGDONG JOIN-SHARE FINANCING GUARANTEE INVESTMENT CO., LTD.

  • Each affected Employee must observe local Personal Account Dealing Rules, as well as abide by the additional principles and rules set forth in this Code, and any other applicable legal vehicle or division specific policies and obligations.

  • The Directors are informed of their obligations on dealing in GlobalCapital p.l.c. shares in accordance with the parameters, procedures and reporting requirements established in terms of applicable law and the Group’s Dealing Rules.

  • All members of staff are subject to the Deutsche Asset Management Personal Account Dealing Rules.

  • LONDON All London-based personnel are required to comply with the requirements of the "Schroder Investment Management London Group Personal Investment Dealing Rules," which are incorporated herein by reference, including placing all transactions in Covered Securities through the Schroder London dealing room.


More Definitions of Dealing Rules

Dealing Rules means the Rules governing the submission of orders and the execution and reporting of Market Transactions on a Trading Platform and includes:
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Dealing Rules means the Market Rules of the ASX Ltd ABN 95 008 642 691, the Clearing Rules of the Australian Clearing House Pty Ltd ABN 29 003 435 014 and the Settlement Rules of the ASX Settlement and Transfer Corporation Pty Ltd ABN 49 008 504 532, as amended from time to time.
Sample 1

Related to Dealing Rules

  • Trading Rules means the Rules and Regulations of the Exchange prescribed by the Stock Exchange from time to time; and

  • Bribery Legislation means the Bribery Act 2010 and any subordinate legislation made under it from time to time together with any guidance or codes of practice issued by the government concerning the legislation;

  • Listing Rules the Rules Governing the Listing of Securities on the Stock Exchange

  • Funding Rules means the documents produced by the Department which set out the detailed requirements with which the Provider must comply in respect of the Services delivered under this Agreement as may be amended by the Department from time to time and as referred to in the Specification (Schedule 1).

  • Operating Rules means the operating rules of a CS Facility regulating the settlement, clearing and registration of uncertificated shares as amended, varied or waived (whether in respect of the Company or generally) from time to time which shall only apply to the Company during the Listed Period;

  • Equality Legislation means any and all legislation, applicable guidance and statutory codes of practice relating to diversity, equality, non discrimination and human rights as may be in force from time to time in England and Wales or in any other territory in which, or in respect of which, the Supplier provides the Services;

  • Clearing Rules means, as the case may be, (a) the general rules, operational procedures and other applicable rules, procedures and regulations of HK-DCASS from time to time in force; and/or (b) the rules, procedures and regulations of the relevant Foreign Clearing System, from time to time in force;

  • ASX Listing Rules means the official listing rules of the ASX.

  • Applicable Legislation means any statute of Canada or a province thereof, and the regulations under any such named or other statute, relating to warrant indentures or to the rights, duties and obligations of warrant agents under warrant indentures, to the extent that such provisions are at the time in force and applicable to this Indenture;

  • Club Rules means such rules and regulations set down by the Manager (with the approval of the Owners’ Committee, (if any)) from time to time with specific application to the Club House and the use and enjoyment thereof;

  • British Council Requirements means the instructions, requirements, policies, codes of conduct, guidelines, forms and other documents notified to the Supplier in writing or set out on the British Council’s website at xxxx://xxx.xxxxxxxxxxxxxx.xxx/new/about-us/jobs/folder_jobs/register-as-a-consultant/policies-for-consultants-and-associates/ or such other web address as may be notified to the Supplier from time to time (as such documents may be amended, updated or supplemented from time to time during the Term);

  • Anti-Corruption Guidelines means the “Guidelines on Preventing and Combating Fraud and Corruption in Projects Financed by IBRD Loans and XXX Credits and Grants”, dated October 15, 2006.

  • Sanctions Laws and Regulations means any sanctions, prohibitions or requirements imposed by any executive order (an “Executive Order”) or by any sanctions program administered by OFAC.

  • EU Bail-In Legislation Schedule means the EU Bail-In Legislation Schedule published by the Loan Market Association (or any successor person), as in effect from time to time.

  • NICs Legislation means the Social Security (Categorisation of Earners) Regulations 1978;

  • AIM Rules means the rules published by the London Stock Exchange governing admission to AIM and the regulation of AIM companies as amended or re-issued from time to time;

  • GEM Listing Rules the Rules Governing the Listing of Securities on GEM

  • Bribery means the act of unduly offering, giving, receiving or soliciting anything of value to influence the process of procuring goods or services, selecting consultants, or executing contracts.

  • Privacy Legislation means the Privacy Xxx 0000 (Cth) and any legislation in any non-Australian jurisdiction (to the extent that either party or any of its Personal Information is subject to the laws of that jurisdiction) affecting privacy, Personal Information or the collection, handling, storage, processing, use or disclosure of personal data.

  • FOI Legislation means the Freedom of Information Xxx 0000, all regulations made under it and the Environmental Information Regulations 2004 and any amendment or re-enactment of any of them; and any guidance issued by the Information Commissioner, the Department for Constitutional Affairs, or the Department for Environment Food and Rural Affairs (including in each case its successors or assigns) in relation to such legislation;

  • Bail-In Legislation means, with respect to any EEA Member Country implementing Article 55 of Directive 2014/59/EU of the European Parliament and of the Council of the European Union, the implementing law for such EEA Member Country from time to time which is described in the EU Bail-In Legislation Schedule.

  • OFAC Regulations means the regulations promulgated by OFAC, as amended from time to time.

  • UK Bail-in Legislation means Part I of the United Kingdom Banking Act 2009 and any other law or regulation applicable in the United Kingdom relating to the resolution of unsound or failing banks, investment firms or other financial institutions or their affiliates (otherwise than through liquidation, administration or other insolvency proceedings).

  • UK Data Protection Legislation means all applicable data protection and privacy legislation in force from time to time in the UK including the UK GDPR; the Data Protection Act 2018; the Privacy and Electronic Communications Directive 2002/58/EC (as updated by Directive 2009/136/EC) and the Privacy and Electronic Communications Regulations 2003 (SI 2003/2426) as amended.

  • Anti-Money Laundering and Anti-Terrorism Laws shall have the meaning assigned thereto in Section 3.1(f)(i).

  • Anti-Bribery Law means any applicable anti-bribery or anti-corruption law, regulation or rule enacted in any jurisdiction, including the US Foreign Corrupt Practices Act of 1977 and the UK Xxxxxxx Xxx 0000;