Foreign Financial Regulatory Authority definition

Foreign Financial Regulatory Authority shall have the meaning given by Section 2(a)(50) of the 0000 Xxx.
Foreign Financial Regulatory Authority shall have the meaning given by Section 2(a)(50) of the 1940 Act.
Foreign Financial Regulatory Authority means any (A) foreign securities authority, (B) other 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 fiduciaries, trusts, commercial lending, insurance, trading in contracts of sale of a commodity for future delivery, or other instruments traded on or subject to the rules of a contract market, board of trade or foreign equivalent, or other financial activities, or (C) membership organization a function of which is to regulate the participation of its members in activities listed above.

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.


More Definitions of Foreign Financial Regulatory Authority

Foreign Financial Regulatory Authority. ’ means any
Foreign Financial Regulatory Authority means any (A) foreign securities authority, (B) other 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 fiduciaries, trusts, commercial lending, insurance, trading in contracts of
Foreign Financial Regulatory Authority shall have the meaning given by Section 2(a)(50) of the 1940 Act. Securities Depository shall mean a central or book entry system or agency established under Applicable Law for purposes of recording the ownership and/or entitlement to investment securities for a given market that meets the definitional requirements of Rule 17f-7 under the 1940 Act. All defined terms used herein shall have the meaning given in the Custodian Agreement as amended by this Amendment. The Custodian Agreement shall remain in full force and effect except as modified or amended herein. Any conflict between this amendment and the Custodian Agreement shall be governed by this amendment.
Foreign Financial Regulatory Authority. ’ means any (A) foreign securities authority, (B) other governmental body or foreign equivalent of a self-regulatory organization empowered by a foreign government to administer or enforce its laws relat- ing to the regulation of fiduciaries, trusts, commercial lending, insurance, trading in contracts of sale of a commodity for fu- ture delivery, or other instruments traded on or subject to the
Foreign Financial Regulatory Authority shall have the meaning given by Section 2(a)(50) of the 1940 Act. Fund(s) shall mean each series of the Trust listed in Appendix B and any additional series added pursuant to Written Instructions. A series is individually referred to as a "Fund" and collectively referred to as the "Funds." Instruction(s) shall mean Oral Instructions or Written Instructions. Instructions may be continuing Written Instructions when deemed appropriate by both parties. Investment(s) shall mean any investment asset of the Trust and/or a Fund, including without limitation, Money Market Securities and Securities. Money Market Security shall mean debt obligations issued or guaranteed as to principal and/or interest by the government of the United States or agencies or instrumentalities thereof, commercial paper, obligations (including certificates of deposit, bankers' acceptances, repurchase agreements and reverse repurchase agreements with respect to the same), and time deposits of domestic banks and thrift institutions whose deposits are insured by the Federal Deposit Insurance Corporation, and short-term corporate obligations where the purchase and sale of such securities normally require settlement in federal funds or their equivalent on the same day as such purchase and sale, all of which mature in not more than thirteen (13) months. Officer shall mean the Chairman, President, Secretary, Treasurer, any Vice President, Assistant Secretary or Assistant Treasurer of the Trust. Oral Instructions shall mean Instructions orally transmitted to and received by the Custodian from an Authorized Person (or from a person that the Custodian reasonably believes in good faith to be an Authorized Person) and confirmed by Written Instructions in such a manner that such Written Instructions are received by the Custodian on the Business Day in accordance with Section 4 herein immediately following receipt of such Oral Instructions, provided, however, The Trust agrees that the failure of the Custodian to receive such confirming instructions shall in no way affect the validity of the transactions or enforceability of the transactions authorized by such Oral Instructions. Prospectus shall mean with respect to each Fund, the Fund’s then currently effective prospectus and Statement of Additional Information, as filed with and declared effective from time to time by the Securities and Exchange Commission. SEC shall mean the Securities and Exchange Commission of the United States. Security or Securiti...
Foreign Financial Regulatory Authority shall have the meaning given by Section 2(a)(50) of the 0000 Xxx. 13.11 FUNDS TRANSFER SERVICES AGREEMENT shall mean any separate agreement entered into between the Custodian and the Fund or its authorized representative with respect to certain matters concerning the processing of payment orders from Principal Accounts of the Fund. 13.12 INSTRUCTION(S) shall have the meaning assigned in Section 4. 13.13 INVESTMENT ADVISOR shall mean any investment advisor as defined in Section 202(a)(11) of the Investment Advisors Act of 1940.

Related to Foreign Financial Regulatory Authority

  • Regulatory Authority means any federal, national, multinational, state, county, city, provincial, or local regulatory agency, department, bureau or other governmental entity with authority over the marketing, commercialization, manufacture or sale of a pharmaceutical product in the Territory, including the FDA in the United States and the EMA in the EU.

  • Public Procurement Regulatory Authority (PPRA) means the Government Agency responsible for oversight of public procurement.

  • statutory authority This agreement implements Iowa Code § 280.25 and is consistent with 34 C.F.R. 99.38 (2012).

  • Highway authority means the state highway commission, a board of county road commissioners or the governing body of a city or village.

  • FDA means the United States Food and Drug Administration or any successor entity thereto.

  • Financial Regulations means regulations made under section 21 of the Act;

  • international application means an application filed under this Treaty;

  • Regulatory entity means any board, commission, agency,

  • EMEA means the European Agency for the Evaluation of Medicinal Products, or any successor agency thereto.