FCA CASS Rules definition

FCA CASS Rules means the rules of the FCA relating to the protection of client money and assets as defined in the FCA Rules. Such definition is available from us on request or can be found on the FCA's website (xxx.xxx.xxx.xx);
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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

  • 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.

  • 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.

  • Your safe custody investments will be held and recorded in accordance with the terms of the agreement, and, in all cases, as permitted by 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.

  • All this money is protected as client money in accordance with the FCA CASS Rules.

  • Regarding the ceilings for private funding, no political party may receive an annual amount of funding from its members (including candidates), self-financing and collections in rallies or the streets, which exceeds the 10 percent established as a limit for campaign expenses of the preceding presidential election.

  • 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 it.

  • 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 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.

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

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. The parties understand and agree that such categorisation is not intended to, and does not, affect the relationship between and among the parties under the 1940 Act or the Advisers Act.

  • SIFT Rules means the provisions of the Tax Act, including those contained in sections 104, 122 and 122.1 of the Tax Act, which apply to the taxation of a “specified investment flow through trust” and its unitholders.

  • ACH Rules means the NACHA Operating Rules and NACHA Operating Guidelines, as in effect from time to time.

  • Network Rules means the rules, regulations, releases, interpretations and other requirements (whether contractual or otherwise) imposed or adopted by any Card Networks and related authorities, including without limitation, those of the PCI Security Standards Council, LLC and the National Automated Clearing House Association (including, with respect to EBT, the Quest Operating Rules and with respect to PIN debit cards, the rules, regulations, policies and procedures of the applicable debit network).

  • 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)

  • 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 Investment in Transferable Securities) Regulations, 2011 (S.I. No. 352 of 2011) (as amended consolidated or substituted from time to time) and any regulations or notices issued by the Central Bank pursuant thereto for the time being in force.

  • 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 has the meaning given to it in the ISM Code.

  • Interconnection Regulations means the Telecommunication (Broadcasting and Cable) Services Interconnection (Addressable Systems) Regulations, 2017 (as amended).