Securities Industry Regulations definition

Securities Industry Regulations means the SCB’s Regulations in force from time to time, or any other successor Regulations or set of Rules;
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Securities Industry Regulations means the Security Industries Regulations, 2012 (S.I. No.50 of 2012);
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Securities Industry Regulations means the Securities Industry Regulations (S.I. No. 1 of 2012);
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Examples of Securities Industry Regulations in a sentence

  • The regulation that applies to the firm and which relate to achieving the best possible result on behalf of our Clients when transmitting orders to our liquidity providers for execution, is the Securities Industry Regulations.

  • These Regulations may be cited as the Securities Industry Regulations, 2000.Interpre- 2.

  • Part-time student workers will support both Learning Enrichment and Academic Advising.

  • In May 2009, the draft Securities Industry Regulations, accompanied by the re-release of the draft Securities Industry Act, was issued for public consultation.

  • This policy outlines the Reserve Bank of Fiji’s minimum requirements for Continuing Professional Education (CPE), and is issued under Sections 273(4) and 274 of the Companies Act 2015 (“Act”) and Section 3 of the Reserve Bank of Fiji (Capital Markets and Securities Industry) Regulations 2015 (RBF Regulations) as part of the Reserve Bank of Fiji’s responsibility for the formulation and implementation of policies for the capital markets industry.

  • The following takeover rules are drafted pursuant to Securities Industry Regulations, 2012, Regulation 107.

  • The Securities Industry Regulations, 2000 requires that a Class 1 broker-dealer shall maintain at least $300,000 of regulatory capital, which consists of cash and cash equivalents, money market funds, government securities and listed securities.

  • The Securities Commission of the Bahamas (the Commission”) is responsible for the administration of the Securities Industry Act, 2011 (“SIA”) and the Securities Industry Regulations, 2012 (“SIR”).

  • For the words "Securities Industry Regulations" (wherever occurring) there were substituted the words "Securities Industry (New South Wales) Regulations".

  • Interpretation COMMODITY EXCHANGE REGULATIONS, 2014 IN the exercise of the powers conferred on the Minister responsible for Finance by Section 214 the Securities Industry Regulations 2014 (Regulations……..) and on the recommendation of the Securities and Exchange Commission, these Regulations are made this …….day of 2014.

Related to Securities Industry Regulations

  • Treasury Regulations means the regulations promulgated under the Code.

  • Investor Money Regulations means the Central Bank (Supervision and Enforcement) Act 2013 (Section 48(1)) Investor Money Regulations 2015 for Fund Service Providers;

  • CFTC Regulations means the rules and regulations promulgated by the CFTC, as amended.

  • Applicable Supervisory Regulations means the provisions of bank supervisory laws and any regulations and other rules thereunder applicable from time to time (including, but not limited to, the BRRD, the CRD, the CRR and the guidelines and recommendations of the European Banking Authority and/or the European Central Bank, the administrative practice of any competent authority, any applicable decision of a court and any applicable transitional provisions) relating to capital adequacy, solvency, other prudential requirements and/or resolution and applicable to the Issuer and/or the banking group to which the Issuer belongs from time to time.

  • SEBI Regulations means the Securities and Exchange Board of India (Listing Obligations and Disclosure Requirements) Regulations, 2015 together with the circulars issued thereunder, including any statutory modification(s) or re-enactment(s) thereof for the time being in force.

  • Benchmarks Regulation means Regulation (EU) 2016/1011 of the European Parliament and of the Council of 8 June 2016 on indices used as benchmarks in financial instruments and financial contracts or to measure the performance of investment funds and amending Directives 2008/48/EC and 2014/17/EU and Regulation (EU) No 596/2014;

  • UCITS Regulations means the European Communities Undertakings for Collective Investment in Transferable Securities) Regulations, 2011 (S.I. No. 352 of 2011) (as amended consolidated or substituted from time to time) and any regulations or notices issued by the Central Bank pursuant thereto for the time being in force.

  • EP Regulations means The Environmental Permitting (England and Wales) Regulations SI 2016 No.1154 and words and expressions used in this permit which are also used in the Regulations have the same meanings as in those Regulations.

  • CDM Regulations means the Construction (Design and Management) Regulations 2015;

  • the 2000 Regulations means the Water Supply (Water Quality) Regulations 2000(b); "the 2001 Regulations" means the Water Supply (Water Quality) Regulations 2001(c);

  • TUPE Regulations means the Transfer of Undertakings (Protection of Employment) Regulations 2006, as amended.

  • FCC Regulations means the regulations duly and lawfully promulgated by the FCC, as in effect from time to time.

  • Regulations means regulations made under this Act;