Regulatory examinations definition

Regulatory examinations means the examinations prescribed under the Financial Advisory and Intermediary Services Act, No. 37 of 2002 and “RE” shall have a similar meaning;
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Examples of Regulatory examinations in a sentence

  • All parties shall have the right to present evidence, cross-examine, make objections and make arguments on the site that shall be subjected to further Regulatory examinations or cross-examination.

  • Regulatory examinations usually occur at three-year intervals, and certain of these examinations are currently ongoing.

  • Fit + Proper Requirement Personal character qualities Competency requirements Experience requirements Qualifications Regulatory examinations Continuous Professional Development Operational ability Financial soundness For the purpose of this module we shall only discuss those fit and proper requirements that are applicable to representatives.

  • Regulatory examinations are conducted to review compliance with the state’s laws and regulations.

  • Passing the Regulatory examinations is not considered a professional qualification and will definitely not make financial advisers professional overnight.

  • Mr. Look has completed Canadian Investment Finance Parts I and II, along with having completed the NASD Series 3 and 7 and UK FSA Regulatory examinations.

  • Regulatory examinations are based on the guidelines of the respective agency and generally cover safety and soundness as well as a review of data processing systems.

Related to Regulatory examinations

  • Regulatory Bodies means those government departments and regulatory, statutory and other entities, committees, ombudsmen and bodies which, whether under statute, rules, regulations, codes of practice or otherwise, are entitled to regulate, investigate, or influence the matters dealt with in the Contract or any other affairs of the Authority and “Regulatory Body” shall be construed accordingly.

  • Regulatory Approvals means any registrations, licenses, authorizations, permits or approvals issued by any Governmental Authority and applications or submissions related to any of the foregoing.

  • Regulatory Authorities means the Commissions and the Exchange;

  • Regulatory Approval means any approval or clearance by any governmental agency or agencies having authority to regulate the use or sale of any Licensed Product(s) in the pertinent jurisdiction or territory.

  • 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.