Investment Firms Act definition

Investment Firms Act means Act CXXXVIII of 2007 on Investment Firms and Commodity Exchange Service Providers, and Rules Concerning the Activities They Are Authorised to Pursue [befektetési vállalkozásokról és az árutőzsdei szolgáltatókról, valamint az általuk végezhető tevékenységek szabályairól szóló 2007. évi CXXXVIII. törvény]
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Investment Firms Act means Act CXXXVIII of 2007 on Investment Firms and Commodity Exchange Service Providers, and Rules Concerning the Activities They Are Authorised to Pursue
Sample 1Sample 2

Examples of Investment Firms Act in a sentence

  • The intermediary shall be subject to the provisions set out in Sections 111–116, 123(1)(e), 123(4)(a) and 159(2)–(4) of the Investment Firms Act.

  • On May 26th 2004, the Securities and Exchange Commission (“SEC”) voted to adopt a new code of ethics rule for registered investment Firms, Rule 204A-1 under the Investment Firms Act of 1940 (the “IAA”) and related amendments to the recordkeeping rules under the IAA, Form ADV, and the code of ethics rule under the Investment Company Act of 1940 (the “ICA”).

  • The Investment Firms Act defines item-by-item what kind of criteria the customer must satisfy in order to belong to either of the above categories.

  • Under the Investment Firms Act, a Retail Client may not be reclassified as an Eligible Counterparty.

  • The court shall enforce this subdivision and impose upon the party or attorney in violation of this requirement an appropriate sanction that may include compensating the person unduly burdened for lost earnings and for reasonable attorney's fees.

  • Information for CustomersThe Investment Firms Act provides an opportunity for the Customer to request its categorisation to be changed.

  • Pursuant to Section 28 (1)k) of the Investment Firms Act, the business plan must be attached to the application.

  • Rapid infiltration is the most efficient means for effluent disposal, in terms of capital and O & M costs, as well as in terms of the land requirements.

  • If its investment services or ancillary services licence is terminated or suspended or limited, or if the licence is withdrawn, the Bank may transfer its contractual obligations towards its Client to other investment firms (hereinafter including also credit institutions licensed for investment services), either Hungarian or foreign, as defined under Chapter 17 and in accordance with the provisions of the Investment Firms Act.

  • Having regard to Sections 41–43 of the Investment Firms Act, the investment firm shall provide appropriate information in good time to clients or potential clients with regard to the investment firm and its services, the financial instruments and proposed investment strategies, execution venues and all costs and related charges.

Related to Investment Firms Act

  • Investment Advisers Act means the Investment Advisers Act of 1940, as amended.

  • investment firm means any legal person whose regular occupation or business is the provision of one or more investment services to third parties and/or the performance of one or more investment activities on a professional basis;

  • Investment Company Act of 1940 means the Investment Company Act of 1940, as amended, and the rules and regulations thereunder.

  • Advisers Act means the Investment Advisers Act of 1940, as amended.

  • Investment Company Act Event means that the Company shall have received an Opinion of Counsel to the effect that, as a result of the occurrence of a change in law or regulation or a written change in interpretation or application of law or regulation by any legislative body, court, governmental agency or regulatory authority, there is more than an insubstantial risk that the Securities Trust is or will be considered an "investment company" that is required to be registered under the Investment Company Act of 1940, as amended, which change becomes effective on or after the Original Issue Date.

  • Investment Company Act means the Investment Company Act of 1940, as amended.

  • U.S. Investment Company Act means the United States Investment Company Act of 1940, as amended;

  • Investment Adviser or "Adviser" means a party furnishing services to the Trust pursuant to any contract described in Article IV, Section 7(a) hereof;

  • SEBI Act or “Act” means the Securities and Exchange Board of India Act, 1992;

  • WHS Act means the Work Health and Safety Act 2011 (Qld) or the Work Health and Safety (National Uniform Legislation) Act 2012 (NT), where applicable. WHS EPH means Workplace Health and Safety Entry Permit Holders under the WHS Act. Workplace Impairment Policy and Procedures means the Workplace Impairment Policy and Procedures found in APPENDIX 4.

  • Securities Act (Ontario) means the Securities Act, R.S.O. 1990, c.S.5, as amended, and the regulations thereunder, unless otherwise specified, as the same exist on the date hereof.

  • Securities Trading Act means the Securities Trading Act of 2007 no.75 of the Relevant Jurisdiction.

  • FAIS Act means the Financial Advisory and Intermediary Services Act, 2002 (Act No. 37 of 2002);

  • Investment Advisor means, in relation to a Portfolio, the investment manager or investment advisor of the Portfolio.

  • Registered Clubs Act means the Registered Clubs Act 1976 and any regulation made under the Registered Clubs Act 1976. Any reference to a provision of the Registered Clubs Act includes a reference to the same or similar provision in any legislation replacing, amending or modifying the Registered Clubs Act however that provision may be amended in that legislation.

  • 1940 Act means the Investment Company Act of 1940, as amended.

  • the 2007 Act means the Local Government and Public Involvement in Health Act 2007;

  • 40 Act means the Investment Company Act of 1940, as amended.

  • Company Act means the Investment Company Act of 1940, as amended.

  • Recognised Investment Exchange means a recognised investment exchange as defined by section 285 of the Financial Services and Markets Xxx 0000;

  • 2012 Act means the Health and Social Care Act 2012;

  • Cannabis Act means An Act respecting cannabis and to amend the Controlled Drugs and Substances Act, the Criminal Code and other Acts, S.C. 2018, c. 16, as amended from time to time.

  • investment dealer means a person or company registered in the category of investment dealer;

  • Advisers Act Rules and Regulations means the rules and regulations of the Commission under the Advisers Act.

  • POPI Act means the Protection of Personal Information Act, 4 of 2013;

  • FW Act means the Fair Work Act 2009, as amended from time to time.