Regulated financial services definition

Regulated financial services means services provided—

Regulated financial services. ’ means any services regulated, or supplied by any person regulated, under any written law administered by the Monetary Authority of Singapore or under the Commodity Trading Act;

Regulated financial services means, when used in any of the forms set out in the appendix to schedule 2 or the Code of Practice, any financial services (including mutual fund or fiduciary services) in respect of which the Financial Services Commission has regulatory powers, including the carrying on the business in Nevis of the business of an administrator or manager, or promoter, of a mutual fund, or any financial services the provision of which is subject to regulation in any other country or jurisdiction;

Examples of Regulated financial services in a sentence

• Regulated financial services companies face the risk that the FCA or the PRA could find that they have failed to comply with applicable regulations or have not undertaken corrective action as required.Any legislative or regulatory action (whether in the UK or elsewhere) could have a negative impact upon the Group’s results or on its relations with current and potential customers.

• Regulated financial services companies face the risk that the FCA or the PRA could find that they have failed to comply with applicable regulation or to undertake corrective action where required.Any legislative or regulatory action (whether in the UK or elsewhere) could have a negative impact upon the Group’s results or on its relations with current and potential customers.

• Regulated financial services firms include banks, brokers, advisers, fund managers and custodians, but only where they are selling, arranging, advising or managing designated investments.

• Regulated financial services firms include banks; brokers, advisers, fund managers and custodians, but only where they are selling, arranging, advising or managing designated investments.

• Regulated financial services companies face the risk that the FCA or the PRA could find that they have failed to comply with applicable regulations or have not undertaken corrective action as required.

• Regulated financial services providers in Ireland need to ensure that their approach to AI is consistent with the general regulatory requirements placed on them including in relation to governance and control, risk management, outsourcing and data protection.

• Regulated financial services firms are obliged to have adequate systems and controls to deal with operational and other risks, as well as clear and documented policies for businesscontinuity and contingency planning.

• The flow chart below (Figure 1.1) presents the key decision making points, incorporating an initial judgement on the significance of the scheme effects, and the need for mitigation where significance effects are predicted.

• Provide a brief introduction to and history of the Applicant, including what experience it or its Group have in conducting Regulated financial services in the UAE or any other jurisdictions:39 38 Add more rows as necessary.

• Figure A The scope of different UK bodies’ competition responsibilities All sectors of the economy (CMA) All financial services/ payment systems (FCA/PSR) Regulated financial services/ payment systems (FCA/PSR) Services provided by PRA-authorised persons in carrying on regulated activities (PRA/FCA) Competition and Markets Authority (CMA) The CMA assumed its role as the United Kingdom’s primary competition and consumer agency in April 2014.

More Definitions of Regulated financial services

Regulated financial services means services carried out by a Regulated Financial Institution as defined in Schedule [G].

Regulated financial services. Means financial services that are governed by laws and regulations on what financial institutions are allowed to do.