Instruments Business definition
Examples of Instruments Business in a sentence
When the Financial Instruments Business Operator is deemed to have a serious problem from the viewpoint of protecting public interests and investors, the supervisors shall take actions such as issuing an order for business improvement based on Article 51 of the FIEA.
When the Financial Instruments Business Operator is deemed to have committed a serious and malicious violation of law, the supervisors shall consider necessary actions, including the issuance of an order for business suspension based on Article 52 (1) of the FIEA.
In order to safeguard customer assets, Financial Instruments Business Operators are required to segregate customer assets from proprietary assets and manage them separately.
Under FIEA regulations, Financial Instruments Business Operators are obligated to confirm the suitability of individual customers with regard to FX trading activities.
Either party may terminate the Term upon thirty (30) days’ notice in the event that the number of Advertising Impressions delivered during an invoice period as calculated by LowerMyBills’ 3rd party ad server differs by greater than [*]% from the number of Advertising Impressions delivered during that same invoice period as calculated by Bankrate on [*] separate occasions during the Term of this Agreement.
Unregistered credit rating firms are not subject to any supervision of the Financial Services Agency of Japan or regulations applicable to credit rating firms, including obligations to disclose information, nor obligated to publicize information regarding such matters as listed in Article 313, Paragraph 3, Item 3 of the Ordinance of the Cabinet Office Concerning Financial Instruments Business, etc.
As a Financial Instruments Business Operator registered under Japan’s Financial Instruments and Exchange Act (FIEA), YJFX carries out its operations in compliance with the FIEA, related regulations, and Cabinet Office ordinances.Nevertheless, should an infringement of any of these regulations or ordinances occur, YJFX could have its operations suspended, be deregistered, or receive some other administrative disciplinary action.
To exercise the options in a manner set forth in the preceding paragraph, the Subscriber shall open an account in his name with the Financial Instruments Business Operator in a manner prescribed by the Company.
The eligible officers are required to open accounts in order to keep records of restricted shares in a designated way at the designated Financial Instruments Business Operators as the Company specifies.
An entity related ratings shall mean a Stakeholder as stipulated in Article 307 of the Cabinet Office Ordinance Concerning the Financial Instruments Business (Cabinet Office Ordinance No. 52, 2007).