FCA Rules Sample Clauses

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FCA Rules. In providing the services contemplated hereunder, the Custodian will comply with the FCA Rules. The Custodian is required to ensure that the provisions set forth in Appendix 1 Part 1 hereto are contained in any agreement with its customers. References to any FCA Rules or any other legislation under this Agreement are a reference to such rules or legislation as extended, applied, amended or re-enacted and includes any subordinate legislation and in particular any amendment or re-enactment arising from the implementation of the Markets in Financial Instruments Directive (“MiFID”).
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FCA Rules. The rules of the FCA require the Custodian to inform the Issuer that: (a) where Securities Collateral are held outside the United Kingdom there may be different settlement, legal and regulatory requirements in jurisdictions outside the United Kingdom from those applying in the United Kingdom, or such jurisdiction as is appropriate in the circumstances, together with different practices for the separate identification of Securities Collateral and the Custodian will from time to time inform the Issuer of matters relevant to each jurisdiction in which Securities Collateral are held; (b) in providing the services described in this Agreement, the Custodian may hold Securities Collateral with Sub-Custodians who are in the same group as the Custodian; (c) although Securities Collateral will ordinarily be registered in the name of a nominee, the Custodian may from time to time (to the extent that if the Securities Collateral are subject to the law or market practice of a jurisdiction outside the United Kingdom and it is in the Issuer's best interests to register in that way or it is not feasible to do otherwise because of the nature of the applicable law or market practice) register or record the relevant Securities Collateral in the name of a Sub-Custodian, the Issuer, or the Custodian itself. If Securities Collateral are registered in the Custodian's name, the Securities Collateral in question may not be segregated from assets of the Custodian and, if there is a failure of the Custodian (for example, the appointment of a liquidator, receiver or administrator, or trustee in bankruptcy or any equivalent procedure in any relevant jurisdiction), the Issuer's assets may not be as well protected from claims made on behalf of the general parties of the Custodian. However, arrangements with each Sub-Custodian are such that the Securities Collateral with them shall be held in a separate account containing assets belonging only to the customers of the Custodian and not the Custodian's proprietary assets. In any event, the Custodian will notify the Issuer of the registered name in which the Securities Collateral are held; (d) the Custodian accepts the same level of liability for any nominee company controlled by the Custodian or an affiliate as for itself; (e) the accounts referred to in paragraph 1 (Custody Accounts/Securities Collateral) above are a form of pooling; (f) if the Issuer instructs the Custodian to hold the Securities Collateral with or register or record the...
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FCA Rules. For the purposes of these Terms, applicable laws and regulations shall include the FCA Rules, the rules of any other relevant regulatory authority or exchange and any applicable laws, rules, procedures, guidance, codes, standards and regulations (including, without limitation, accounting rules and anti-money laundering or sanctions legislation) in force from time to time. Nothing in this Agreement will exclude or restrict any duty or liability owed by us or any Related Persons to you under FSMA, PSR 2017 or the FCA Rules.
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FCA Rules. All rules and regulatory requirements made by the FCA, Central Bank of Ireland or any equivalent local regulatory authority applicable to the Party
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FCA Rules. This Agreement shall constitute a client agreement for the purposes of the rules of the Financial Conduct Authority (“FCA Rules”). The Investment Manager shall treat the Advisor as a ‘Professional Client’ for the purposes of the FCA Rules.
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FCA Rules. The Financial Conduct Authority rules under the Financial Services ▇▇▇ ▇▇▇▇ (FRN 509909).
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Related to FCA Rules

  • HIPAA Rules “HIPAA Rules” shall mean the Privacy, Security, Breach Notification, and Enforcement Rules at 45 CFR Part 160 and Part 164.

  • HOUSE RULES RESIDENT shall comply with all house rules as stated on separate addendum, but which are deemed part of this rental agreement, and a violation of any of the house rules is considered a breach of this agreement.

  • Export Rules You agree that the Software will not be shipped, transferred or exported into any country or used in any manner prohibited by the United States Export Administration Act or any other export laws, restrictions or regulations (collectively the "Export Laws"). In addition, if the Software is identified as an export controlled item under the Export Laws, you represent and warrant that you are not a citizen of, or located within, an embargoed or otherwise restricted nation (including without limitation Iran, Syria, Sudan, Libya, Cuba and North Korea) and that you are not otherwise prohibited under the Export Laws from receiving the Software. All rights to use the Software are granted on condition that such rights are forfeited if you fail to comply with the terms of this agreement.

  • School Rules The School rules which apply are set out in the Parent Handbook, the School website and other documents published from time to time. The Parents are requested to read these documents carefully with the Pupil before they accept the offer of a place.

  • COMPANY RULES Company requires Students, while participating in the clinical program, on Company property or in a Company vehicle, to meet all standards of appearance and conduct required by Company of its own employees. Company reserves the right to refuse to allow any Student to participate in the clinical program for failure to comply with Company standard.