Securities secrets definition

Securities secrets means all data and information that is at the disposal of the Company concerning specific Clients relating to their personal information, financial standing, business operations and investments, ownership and business relations, and their contracts and agreements with the Company, and to the balance and money movements on their accounts. For the purposes of legal provisions applicable to securities secrets, any person who receives services from the Company shall be considered a Client.
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Securities secrets means all data and information that is at the disposal of an investment firm, an operator of multilateral trading facilities or a commodity dealer concerning specific clients relating to their personal information, financial standing, business operations and investments, ownership and business relations, and their contracts and agreements with any investment firm or commodity dealer, and to the balance and money movements on their accounts;
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Securities secrets means all data and information that is at the disposal of an
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More Definitions of Securities secrets

Securities secrets means all data and information that is at the disposal of the Company
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Securities secrets means all data and information that is at the disposal of the Company concerning specific Clients relating to their personal information, financial standing, business operations and investments, ownership and business relations, and their contracts and agreements with the Company,
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Related to Securities secrets

  • Securities Seal means a seal for use for sealing certificates for shares or other securities issued by the Company which is a facsimile of the Seal of the Company with the addition on its face of the words “Securities Seal”;

  • Securities Depositories means DTC; and, in accordance with then current guidelines of the Securities and Exchange Commission, such other addresses and/or such other securities depositories as the District may designate in a Written Request of the District delivered to the Paying Agent.

  • Securities Regulators means collectively, the securities regulators or other securities regulatory authorities in the Selling Jurisdictions;

  • Securities Acts means the Securities Act of 1933 and the Securities Exchange Act of 1934.

  • central securities depository or ‘CSD’ means a central securities depository as defined in point (1) of Article 2(1) of Regulation (EU) No 909/2014.

  • Securities as used herein does not include (i) securities of issuers that are affiliated with the Buyer or are part of the Buyer's Family of Investment Companies, (ii) securities issued or guaranteed by the U.S. or any instrumentality thereof, (iii) bank deposit notes and certificates of deposit, (iv) loan participations, (v) repurchase agreements, (vi) securities owned but subject to a repurchase agreement and (vii) currency, interest rate and commodity swaps.

  • Securities Transfer Act means the Securities Transfer Act (British Columbia) from time to time in force and all amendments thereto and includes all regulations and amendments thereto made pursuant to that Act.

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

  • Securities Depository Nominee means, as to any Securities Depository, such Securities Depository or the nominee of such Securities Depository in whose name there shall be registered on the registration books maintained by the Registrar the Bond certificates to be delivered to and immobilized at such Securities Depository during the continuation with such Securities Depository of participation in its book-entry system.

  • Securities Depository means The Depository Trust Company and any other clearing agency registered with the SEC under Section 17A of the Securities Exchange Act of 1934, as amended (the “1934 Act”), which acts as a system for the central handling of Securities where all Securities of any particular class or series of an issuer deposited within the system are treated as fungible and may be transferred or pledged by bookkeeping entry without physical delivery of the Securities.

  • Client Securities Rules means the Securities and Futures (Client Securities) Rules (Cap 571H of the Laws of Hong Kong).

  • Securities lending or "securities borrowing" means a transaction by which a counterparty transfers securities subject to a commitment that the borrower will return equivalent securities on a future date or when requested to do so by the transferor, that transaction being considered as securities lending for the counterparty transferring the securities and being considered as securities borrowing for the counterparty to which they are transferred;