Examples of Foreign Financial Regulatory Authority in a sentence
In performing its duties under this subsection, the Custodian shall use reasonable care and may rely on such reasonable sources of information as may be available including but not limited to: (i) published ratings; (ii) information supplied by a Subcustodian that is a participant in such Securities Depository; (iii) industry surveys or publications; (iv) information supplied by the depository itself, by its auditors (internal or external) or by the relevant Foreign Financial Regulatory Authority.
The Sub-Custodian may rely on such reasonable sources of information as may be available including but not limited to: (i) published ratings; (ii) information supplied by a subcustodian that is a participant in such Securities Depository; (iii) industry surveys or publications; (iv) information supplied by the depository itself, by its auditors (internal or external) or by the relevant Foreign Financial Regulatory Authority.
In performing its duties under this Sub-Section, the Custodian may rely on such reasonable sources of information as may be available including but not limited to: (i) published ratings; (ii) information supplied by a Subcustodian that is a participant in such Foreign Depository; (iii) industry surveys or publications; and (iv) information supplied by the depository itself, by its auditors (internal or external) or by the relevant Foreign Financial Regulatory Authority (as defined below).
Foreign Financial Regulatory Authority: This term includes (1) foreign securities authority; (2) another governmental body or foreign equivalent of a self-regulatory organization empowered by a foreign government to administer or enforce its laws relating to the regulation of investment-related activities; and (3) a foreign membership organization, a function of which is to regulate the participation of its members in the activities listed above.
The Sub-Custodian may rely on such reasonable sources of information as may be available including but not limited to: (i) published ratings; (ii) information supplied by a sub-custodian that is a participant in such Securities Depository; (iii) industry surveys or publications; (iv) information supplied by the depository itself, by its auditors (internal or external) or by the relevant Foreign Financial Regulatory Authority.
Foreign Financial Regulatory Authority shall have the meaning given by Section 2(a)(50) of the 1940 Act.
List the name and country, in English, of each foreign financial regulatory authority with which the private fund is registered. Check only one box: Add Delete Amend English Name of Foreign Financial Regulatory Authority _ Name of Country 6.
Name of Country/ Foreign Financial Regulatory Authority : United Kingdom - Financial Conduct Authority Other: Item 2 SEC Registration/ReportingResponses to this Item help us (and you) determine whether you are eligible to register with the SEC.
ARCHIVED BUSINESS RECORDS Other: United Kingdom - Financial Conduct Authority : Name of Country/ Foreign Financial Regulatory Authority Section 1.M. for each foreign financial regulatory authority with whom you are registered.
A broker or dealer shall be deemed to be in compliance with the reporting requirements of this Securities and Exchange Commission § 240.17Ab2–1 section with respect to a Material As- sociated Person if such broker or deal- er furnishes in accordance with the provisions of this section copies of the reports filed by such Material Associ- ated Person with a Foreign Financial Regulatory Authority.