Securities Trading Agreement definition

Securities Trading Agreement means the securities trading agreement and power of attorney entered into between the Client and the Company by appointing the Company to trade in Securities on behalf of the Client;
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Securities Trading Agreement means these Terms and Conditions for Securities Trading, the Account Opening Forms Booklet and the Supplemental Documents (if any);
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Securities Trading Agreement the Securities Trading Agreement entered into by the Trustee with the Broker, in accordance with the Instruction of Execution of the Intermediation Agreement, as per the terms provided for in subsection (a) 6 of the Fourth Clause and subsection (b)9(iii) in the Seventh Clause of this Agreement.
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Examples of Securities Trading Agreement in a sentence

  • Unless other expressly provided in this Agreement, any terms and conditions specified in the Securities Trading Agreement shall apply mutatis mutandis to this Agreement.

  • I/We have carefully read and understood this Investor Account Opening Form along with the attached Securities Trading Agreement, and I/We agree to its terms and conditions appeared therein.

  • Where any conflict arises between the Securities Trading Agreement and the provisions of this Equity Options Client Agreement, the provisions of the later shall prevail.

  • The Client will seek independent professional advice on and will be responsible for handling any tax issues which may affect him under any applicable regulations arising from or in connection with any investment or transaction contemplated under the any terms under this Agreement and the Securities Trading Agreement.

  • Client acknowledges that nothing in the Securities Trading Agreement shall obligate ASL or any Group Party to grant or maintain any margin or credit facilities.

  • This Equity Options Client Agreement is supplemental to the Securities Trading Agreement entered into by T G Securities Limited (“T G”) and the Client whereby the Client is allowed to conduct Equity Options Trading on the Exchange (“Options Account”) and T G agrees to provide Exchange Traded Options Business to the Client.

  • Bolt the flange feet to the plywood with nine bolts, washers, and locknuts.

  • In providing services to Client under the Securities Trading Agreement, there may be occasions where ASL and/or other Group Parties have material or other conflicting interests, and ASL is required to disclose such material interest or conflict to Client and take all reasonable steps to ensure fair treatment of Client.

  • Application temperatures below 1ºC (33ºF) must be watched carefully since ice cryst als could be present in the surface pores of the steel resulting in poor adhesion and reduce corrosion protection.

  • The Subadviser shall have the power to vote, either in person or by proxy, all securities in which the Subadviser Assets may be invested from time to time, and shall not be required to seek or take instructions from, the Adviser, the Fund or the Trust or take any action with respect thereto.

Related to Securities Trading Agreement

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

  • Securities Transaction means a purchase of or sale of Securities.

  • Private Securities Transaction means any securities transaction relating to new offerings of securities which are not registered with the Securities and Exchange Commission, provided however that transactions subject to the notification requirements of Rule 3050 of the Financial Industry Regulatory Authority’s (FINRA) Conduct Rules, transactions among immediate family members (as defined in the interpretation of the FINRA Board of Governors on free-riding and withholding) for which no associated person receives any selling compensation, and personal securities transactions in investment company and variable annuity securities shall be excluded.

  • Personal Securities Transactions means any transaction in a Security pursuant to which an Access Person would have a Beneficial Ownership interest with the exception of obligations of the U.S. Government, bankers’ acceptances, bank certificates of deposit, money market fund shares, commercial paper, high quality short-term debt instruments and registered open-end investment companies, none of which are funds advised or sub-advised by the Firm.

  • Personal Securities Transaction means any transaction in a Covered Security in which an Access Person has a direct or indirect Pecuniary Interest.

  • 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 Lending Agreement means an agreement under which a local agency agrees to transfer securities to a borrower who, in turn, agrees to provide collateral to the local agency. During the term of the agreement, both the securities and the collateral are held by a third party. At the conclusion of the agreement, the securities are transferred back to the local agency in return for the collateral.

  • Securities Documents means all reports, offering circulars, proxy statements, registration statements and all similar documents filed, or required to be filed, pursuant to the Securities Laws.

  • Placement Agency Agreement means the Placement Agency Agreement by and between the Company and the Placement Agent dated the date hereof.

  • Securities Financing Transactions Regulation means Regulation (EU) 2015/2365 of the European Parliament and of the Council of 25 November 2015 on transparency of securities financing transactions and of reuse and amending Regulation (EU) No 648/2012;

  • Equity-linked Securities means any debt or equity securities that are convertible, exercisable or exchangeable for Class A Shares issued in a financing transaction in connection with a Business Combination, including but not limited to a private placement of equity or debt.

  • Commodity Futures Trading Commission means the independent regulatory agency established by congress to administer the Commodity Exchange Act.

  • Securities System means the Federal Reserve Book-Entry System, a clearing agency which acts as a Securities Depository, or another book entry system for the central handling of securities (including an Eligible Securities Depository).

  • Dealer Manager Agreement shall have the meaning set forth in the preamble.

  • CCMA means the Commission for Conciliation, Mediation and Arbitration established in terms of section 112 of the Labour Relations Act, 1995;

  • Local Marketing Agreement means, a local marketing agreement, time brokerage agreement or similar arrangement pursuant to which a Person, subject to customary licensee preemption rights and other limitations, obtains the right to exhibit programming and sell advertising time constituting 15% or more of the air time per week of a television broadcast station licensed to another Person.

  • Subscriber Management System means a system or device which stores the subscriber records and details with respect to name, address and other information regarding the hardware being utilized by the subscriber, channels or bouquets of channels subscribed by the subscriber, price of such channels or bouquets of channels as defined in the system, the activation or deactivation dates and time for any channel or bouquets of channels, a log of all actions performed on a subscriber’s record, invoices raised on each subscriber and the amounts paid or discount allowed to the subscriber for each billing period;

  • Listing Agreement means an agreement that is to be entered into between a recognised stock exchange and the Company pursuant to Securities and Exchange Board (Listing Obligations and Disclosure Requirements), 2015

  • Private Investment means a securities offering that is exempt from registration under certain provisions of the U.S. securities laws and/or similar laws of non-U.S. jurisdictions. It includes investments in hedge funds, private equity funds, limited partnerships, real estate, peer to peer lending clubs and private businesses.

  • Insider Trading Regulations means the Securities and Exchange Board of India (Prohibition of Insider Trading) Regulations, 2015, as amended from time to time.

  • Cardholder Agreement means the agreement between Bank and a Cardholder governing the terms and use of a Card.

  • Hague Securities Convention means the Hague Convention on the Law Applicable to Certain Rights in Respect of Securities held with an Intermediary (concluded July 5, 2006).

  • securities contract — ‘‘(A) means—

  • Securities Exchange Act means the Securities Exchange Act of 1934, as amended.

  • U.S. Securities System means a securities depository or book-entry system authorized by the U.S. Department of the Treasury or a “clearing corporation” as defined in Section 8-102 of the UCC.

  • securities dealer means a person or entity that is authorized under provincial legislation to engage in the business of dealing in securities or any other financial instruments or to provide portfolio management or investment advising services.