FCA CASS Rules definition

FCA CASS Rules means the rules of the FCA relating to the protection of client money or assets as defined in the FCA Rules.
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FCA CASS Rules means the FCA Rules set out in Chapter 6 of the FCA's Client Assets Sourcebook (“CASS”).
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FCA CASS Rules means the rules of the FCA relating to the protection of client money or assets as defined in the FCA Rules. "FCA Rules" means the guidance, rules and regulations of the FCA made pursuant to its powers under the Financial Services and Markets Act. "FCA" means the Financial Conduct Authority or any body that may replace it, being the regulator of the financial services industry in the UK that authorises and regulates CGL. "Limit Order" means an order to buy or sell a financial instrument at a specified price limit or better and for a specified amount. "Multi-Lateral Trading Facility" has the meaning set out in the FCA Rules. "Outside Custodian" means a custodian appointed by you to provide safe custody services in relation to your investments. "Order Execution Policy" means our policy which sets out how we will deal with your orders, as amended from time to time. "Regulated Market" has the meaning set out in the FCA Rules. "Retail Client" means as defined in the FCA Rules. "Sub-Custodian" means a bank or financial institution providing custody services in respect of a particular market or jurisdiction, on behalf of CGL.
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Examples of FCA CASS Rules in a sentence

  • If we do this, we will endeavour to ensure your money is held as client money under the FCA CASS Rules or an equivalent regulatory regime.

  • We will exercise due skill, care and diligence in the selection, appointment and periodic review of any Sub-Custodian as required under the FCA CASS Rules.

  • We may appoint a third party whether an Associate or a Non-Associate to perform custody services following our assessment that the appointment satisfies the requirements of the FCA CASS Rules.

  • The Delivery Versus Payment exemption essentially allows us to disapply the FCA CASS Rules relating to your money or assets for a short period of time when settling your transaction within a Commercial Settlement System, subject always to Applicable Law.

  • We will only transfer your money and/or assets to another person who either will hold them under the FCA CASS Rules or to whom we have exercised all due skill, care and diligence in assessing whether that person will apply adequate measures to protect your money and/or assets.

  • The Custodian may arrange the registration of your safe custody investments in any name permitted by the FCA CASS Rules.

  • This means that money is held as part of a common pool of money, so in the event of our insolvency or other such event, your money will be protected in accordance with the FCA CASS Rules.

  • We will normally settle transactions on a Delivery Versus Payment basis and in entering into this Agreement; you agree that we may at our discretion use the Delivery Versus Payment exemption as permitted by the FCA CASS Rules.

  • Hourly dataAverage of actual valueHour before/after Figure 3: Influence of substitution value on the correction accuracy The accuracy of the correction not only depends on the substitution value but also of the resolution of the data used for the recalculation.For instance, averaging and logging the inputs at a 5 minutes interval in accordance with the methodology described in this paper, would significantly improve the correction of the hourly total.

  • The mixed- method is an integration of qualitative as well as a quantitative method of data collecting (Tashakkori and Creswell, 2007).

Related to FCA CASS Rules

  • CCASS Rules means the General Rules of CCASS and the CCASS Operational Procedures in effect from time to time;

  • FCA Rules means the Rules included within the FCA Handbook issued by the FCA.

  • Business Rules means the business rules established by JSCC regarding its Financial Instruments Obligation Assumption Service for CDS Transactions, as amended, if applicable.

  • CySEC Rules means the Rules, Directives, Regulations, Guidance notes, opinions or recommendations of CySEC.

  • PPB Rules means the rules of the Procurement Policy Board as set forth in Title 9 of the Rules of the City of New York (“RCNY”), § 1-01 et seq.

  • FSA Rules meanss the rules, guidance, principles and codes comprised in the Handbook of Rules and Guidance issued by the FSA.

  • SIFT Rules means the provisions of the Income Tax Act providing for a tax on certain income earned by a “SIFT trust” or “SIFT partnership” as those terms are defined in the Income Tax Act.

  • Applicable Laws/ Rules means the laws/ Rules of Islamic Republic of Pakistan/Punjab, as they may be issued and enforced from time to time.

  • Network Rules means the operating rules of any Network, as may be amended from time to time and provided to Higher One in writing.

  • Regulatory Rules means all corporate and securities laws, regulations, rules, policies, notices, instruments and other orders of any kind whatsoever which may, from time to time, apply to the implementation, operation or amendment of this Plan or the Options granted from time to time hereunder including, without limitation, those of the applicable Regulatory Authorities.

  • M&A Rules means the Provisions on Merging and Acquiring Domestic Enterprises by Foreign Investors, which was promulgated by six Governmental Agencies, namely, the Ministry of Commerce, the State-owned Assets Supervision and Administration Commission, the State Administration for Taxation, the State Administration for Industry and Commerce, the China Securities Regulatory Commission (the “CSRC”), and the State Administration of Foreign Exchange, on August 8, 2006 and became effective on September 8, 2006, as amended by the Ministry of Commerce on June 22, 2009.

  • Central Bank UCITS Regulations means the Central Bank (Supervision and Enforcement)

  • Park Rules means the rules of conduct and practice issued by us from time to time and applicable to the use of the Caravan and other facilities at the Park. A copy of the Park Rules in force at the date of this Licence Agreement is attached.

  • HKIAC Rules shall have the meaning ascribed to it in Section 10.13(a).

  • Relevant Rules means, at any time, the laws, regulations, requirements, guidelines and policies relating to capital adequacy (including, without limitation, as to leverage) then in effect in the United Kingdom including, without limitation to the generality of the foregoing, as may be required by CRD IV or BRRD or any applicable successor legislation or any delegated or implementing acts (such as regulatory technical standards) adopted by the European Commission and applicable to the Issuer from time to time and any regulations, requirements, guidelines and policies relating to capital adequacy adopted by the Relevant Regulator from time to time (whether or not such requirements, guidelines or policies are applied generally or specifically to the Issuer or to the Issuer and any of its holding or subsidiary companies or any subsidiary of any such holding company).

  • UCITS Regulations means the European Communities (Undertakings for Collective

  • QFC Stay Rules means the regulations codified at 12 C.F.R. 252.2, 252.81–8, 12 C.F.R. 382.1-7 and 12 C.F.R. 47.1-8, which, subject to limited exceptions, require an express recognition of the stay-and-transfer powers of the FDIC under the Federal Deposit Insurance Act and the Orderly Liquidation Authority under Title II of the Xxxx Xxxxx Wall Street Reform and Consumer Protection Act and the override of default rights related directly or indirectly to the entry of an affiliate into certain insolvency proceedings and any restrictions on the transfer of any covered affiliate credit enhancements.

  • Board Rules means the administrative rules and regulations promulgated by the

  • 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;

  • DOE Rules means DOE’s energy conservation regulations found in Title 10, Parts 429, 430, and 431 of the Code of Federal Regulations.

  • JAMS Rules has the meaning assigned thereto in Section 13 hereof.

  • Benchmarks Regulation means Regulation (EU) 2016/1011 of the European Parliament and of the Council of 8 June 2016 on indices used as benchmarks in financial instruments and financial contracts or to measure the performance of investment funds and amending Directives 2008/48/EC and 2014/17/EU and Regulation (EU) No 596/2014;

  • CFTC Regulations means the rules and regulations promulgated by the CFTC, as amended.

  • 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.

  • TRADES Regulations means the regulations of the United States Department of the Treasury, published at 31 C.F.R. Part 357, as amended from time to time. Unless otherwise defined herein, all terms defined in the TRADES Regulations are used herein as therein defined.

  • Safety Management System means a systematic approach to managing safety, including the necessary organisational structures, accountabilities, policies and procedures;