AND KEY definition

AND KEY. INDIVIDUALS Monitoring is an important task for SFA. Once a firm has been authorised, and becomes a member, it is not the end of the regulatory story. All members are required to provide a wide range of financial and other information to SFA on a regular basis and sometimes upon special request. Teams of inspectors make routine visits to firms to check on their MONITORING TO CHECK compliance with the rules. In some cases the visits may be made without COMPLIANCE WITH THE RULES warning. If the monitoring process uncovers non-compliance with rules, steps are quickly taken by SFA to ensure that the investors' interests are protected. In most instances the "infringement" is only of a minor administrative nature offering no immediate danger to the investor. Firms usually put things right as soon as it is brought to their attention. DETAILED INVESTIGATION WHEN Investigation -- Where a more serious breach of rules is suspected either NON-COMLIANCE IS SUSPECTED as a result of routine monitoring, or from reports received from other sources, a more focussed investigation is undertaken to gather the relevant facts. Monitoring and investigation may sometimes involve liaison with other UK and overseas regulatory authorities. PROSECUTION CAN RESULT IN Prosecution -- If the investigators feel that a member has committed a DISCIPLINE OF MEMBER FIRMS serious breach of the rules, or if other good reason exists, the case is considered at a more formal level. If the judgement is against the firm the nature of the breach will determine the penalty. It could be a warning, a direction, a fine, a temporary order to stop trading or expulsion from membership i.e. de-authorisation. SFA cannot undertake criminal prosecution through the courts. Should such a prosecution be necessary the results of SFA's investigations are passed to a relevant body e.g. the Department of Trade and Industry or the Police. Complaints and Arbitration Member firms are expected to service their customers' needs with skill and consideration. Occasionally things go wrong and a customer may have a complaint. Where the firm and its customer are unable to reach agreement between themselves the customer can refer the matter to SFA's Complaints Bureau. The Bureau will consider the complaint and attempt to resolve the INVESTORS CAN COMPLAIN TO SFA dispute between both parties Arbitration procedures are also available if ABOUT ITS MEMBERS the firm's customer is not satisfied with the findings of the Bureau. The work...
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AND KEY. INDIVIDUALS Monitoring is an important task for SFA. Once a firm has been authorised, and becomes a member, it is not the end of the regulatory story. All members are required to provide a wide range of financial and other information to SFA on a regular basis and sometimes upon special request. Teams of inspectors make routine visits to firms to check on their compliance with the rules. In some cases the visits may be made without warning.
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Examples of AND KEY in a sentence

  • BADGE AND KEY FEESThe following constitute the badge and key fees under this agreement.

  • CRITICAL ACCOUNTING JUDGEMENTS AND KEY SOURCES OF ESTIMATION UNCERTAINTY:The preparation of the Company’s financial statements requires management to make judgement, estimates and assumptions that affect the reported amount of revenue, expenses, assets and liabilities and the accompanying disclosures.

  • IF APPLICABLE, dates of shortlisting and dates for interviews are shown in the section SUBMISSION SCHEDULE AND KEY DATES at the end of this RFLOI.

  • PRINCIPAL ACCOUNTING POLICIES AND KEY SOURCES OF ESTIMATION UNCERTAINTY (Continued)2B.

  • SUMMARY AND KEY ISSUES A list of payments is presented to the Council each month for confirmation and endorsement in accordance with the Local Government (Financial Management) Regulations 1996.

  • FORM TECH-6 TEAM COMPOSITION, ASSIGNMENT, AND KEY EXPERTS’ INPUTS N° 1 For Key Experts, the input should be indicated individually for the same positions as required under the Data Sheet ITC21.1.2 Months are counted from the start of the assignment/mobilization.

  • Be sure FIRM, TEAM LEADER, AND KEY TEAM MEMBERS satisfyminimum OAG experience requirements for this job level.

  • ARTICLE 2GENERAL PLAN INFORMATION AND KEY DEFINITIONS This Article 2 contains information regarding the day-to-day administration of the Plan as well as the definition of key terms used throughout this Summary Plan Description.

  • A financial liability (or a part of a financial liability) is derecognized from the company’s balance sheet when the obligation specified in the contract is discharged or cancelled or expires.C. CRITICAL ACCOUNTING JUDGEMENTS AND KEY SOURCES OF ESTIMATION UNCERTAINTY:The preparation of the Company’s financial statements requires management to make judgement, estimates and assumptions that affect the reported amount of revenue, expenses, assets and liabilities and the accompanying disclosures.

  • SUMMARY AND KEY ISSUES The following report includes a concise list of material variances and a Reconciliation of Net Current Assets at the end of the reporting month.

Related to AND KEY

  • AND TO The registrar and transfer agent for the securities of Response Biomedical Corp. The undersigned (A) acknowledges that the sale of the securities of Response Biomedical Corp. (the “Company”) [represented by certificate number/described in the direct registration system advice with holder account number] ___________________, to which this declaration relates was made in reliance on Rule 904 of Regulation S under the United States Securities Act of 1933, as the same has been, and hereafter from time to time, may be amended (the “U.S. Securities Act”) and (B) certifies that (1) the undersigned is not an “affiliate” of the Company as that term is defined in Rule 405 under the U.S. Securities Act, a “distributor” or an affiliate of “distributor”, (2) the offer of such securities was not made to a person in the United States and either (a) at the time the buy order was originated, the buyer was outside the United States, or the seller and any person acting on its behalf reasonably believed that the buyer was outside the United States or (b) the transaction was executed on or through the facilities of a “designated offshore securities market” (as defined in Rule 902 of Regulation S under the U.S. Securities Act) and neither the seller nor any person acting on its behalf knows that the transaction has been prearranged with a buyer in the United States, (3) neither the seller nor any affiliate of the seller nor any person acting on their behalf has engaged or will engage in any “directed selling efforts” in the United States in connection with the offer and sale of such securities, (4) the sale is bona fide and not for the purpose of “washing-off” the resale restrictions imposed because the securities are “restricted securities” as that term is described in Rule 144(a)(3) under the U.S. Securities Act, (5) the seller does not intend to replace such securities sold in reliance on Rule 904 of the U.S. Securities Act with fungible unrestricted securities, and (6) the contemplated sale is not a transaction, or part of a series of transactions, which, although in technical compliance with Regulation S under the U.S. Securities Act, is part of a plan or scheme to evade the registration provisions of the U.S. Securities Act. Unless otherwise specified, terms set forth above in quotation marks have the meanings given to them by Regulation S under the U.S. Securities Act. DATED at __________ this ___ day of __________, 20__. By: Name: Title: AFFIRMATION BY SELLER’S BROKER-DEALER (REQUIRED FOR SALES IN ACCORDANCE WITH SECTION (B)(2)(B) ABOVE) We have read the foregoing representations of our customer, _________________________ (the “Seller”) dated _______________________, with regard to our sale, for such Seller’s account, of the securities of the Company described therein, and on behalf of ourselves we certify and affirm that (A) we have no knowledge that the transaction had been prearranged with a buyer in the United States, (B) the transaction was executed on or through the facilities of a “designated offshore securities market” (as defined in Rule 902 of Regulation S under the U.S. Securities Act); (C) neither we, nor any person acting on our behalf, engaged in any directed selling efforts in connection with the offer and sale of such securities, and (D) no selling concession, fee or other remuneration is being paid to us in connection with this offer and sale other than the usual and customary broker’s commission that would be received by a person executing such transaction as agent. Terms used herein have the meanings given to them by Regulation S under the U.S. Securities Act. Name of Firm By: Date: Authorized officer

  • right to information means the right to information accessible under this Act which is held by or under the control of any public authority and includes the right to—

  • Environmental Information Regulations or EIRs means the Environmental Information Regulations 2004 together with any guidance and/or codes of practice issued by the Information Commissioner or relevant Government department in relation to such regulations;

  • Non-Public Personal Information about a Shareholder shall mean (i) personally identifiable financial information; (ii) any list, description, or other grouping of consumers that is derived from using any personally identifiable information that is not publicly available; and (iii) any other information that the Transfer Agent is prohibited from using or disclosing pursuant to Regulation S-P under Section 504 of the Gramm Xxxxx Xxxxxx Act.

  • Nonpublic Personal Information means nonpublic personal financial information and nonpublic personal health information.

  • and Lessor s agents shall have the right to enter the Premises at any time, in the case of an emergency, and otherwise at reasonable times for the purpose of showing the same to prospective purchasers, lenders, or lessees, and making such alterations, repairs, improvements or additions to the Premises or to the Building, as Lessor may reasonably deem necessary. Lessor may at any time place on or about the Premises or Building any ordinary "For Sale" signs and Lessor may at any time during the last one hundred eighty (180) days of the term hereof place on or about the Premises any ordinary "For Lease" signs. All such activities of Lessor shall be without abatement of rent or liability to Lessee.

  • and Gentlemen We are acting as special counsel with respect to New York tax matters for the unit investment trust or trusts included in the series identified as FT 3368 (each, a "Trust"), which will be established under a certain Standard Terms and Conditions of Trust dated December 9, 2003, and a related Trust Agreement dated as of today (collectively, the "Indenture") among First Trust Portfolios L.P., as Depositor (the "Depositor"), First Trust Advisors L.P., as Evaluator, First Trust Advisors L.P., as Portfolio Supervisor, FTP Services LLC, as FTPS Unit Servicing Agent, and The Bank of New York Mellon as Trustee (the "Trustee"). Pursuant to the terms of the Indenture, units of fractional undivided interest in the Trust (the "Units") will be issued in the aggregate number set forth in the Indenture. We have examined and are familiar with originals or certified copies, or copies otherwise identified to our satisfaction, of such documents as we have deemed necessary or appropriate for the purpose of this opinion. In giving this opinion, we have relied upon the two opinions, each dated today and addressed to the Trustee, of Chapman and Cutler XXX, xounsex xxx the Depositor, with respect to the factual assumptions and the matters of law set forth therein. We have assumed that the assets of the Trust will consist exclusively of debt securities, equity securities in entities classified as corporations for federal income tax purposes, or a combination thereof. Based upon the foregoing, we are of the opinion that the Trust will not constitute an association taxable as a corporation under the relevant tax laws of the State and City of New York, and accordingly will not be subject to the New York State franchise tax (New York State Consolidated Laws Chapter 60, Article 9-A) or the New York City general corporation tax (New York Administrative Code Title 11, Chapter 6, Subchapter 2). We consent to the filing of this opinion as an exhibit to the Registration Statement (No. 333-178965) filed with the Securities and Exchange Commission with respect to the registration of the sale of the Units and to the references to our name in such Registration Statement and the preliminary prospectus included therein. Very truly yours, CARTER LEDYARD & MXXXXXX XXX

  • And whereas The Lessee wishes to lease the Leased Premises from the Lessor in unprotected lease and to sign the Management Agreement, inter alia, as stated hereunder, and the Appendixes of this Agreement in accordance with the provisions set forth in this Agreement;

  • Company By-laws means the Amended and Restated By-laws of the Company.

  • laws relating to native title means laws applicable from time to time in Western Australia in respect of native title and includes the NTA;

  • and/or is used herein to mean both “and” as well as “or.” The use of “and/or” in certain contexts in no respects qualifies or modifies the use of the terms “and” or “or” in others. The term “or” shall not be interpreted to be exclusive and the term “and” shall not be interpreted to require the conjunctive (in each case, unless the context otherwise requires);

  • bodies governed by public law means bodies that have all of the following characteristics:

  • Zoning By-law means the Zoning By-Law of the Municipality or any successor thereof passed pursuant to Section 34 of the Planning Act, S.O. 1998.

  • Environmental Information Regulations means the Environmental Information Regulations 2004 and any guidance and/or codes of practice issued by the Information Commissioner or relevant government department in relation to such regulations.

  • the Academy means the school referred to in Article 4 and established by the Academy Trust;

  • General Provisions means those portions of the Subscription Agreement headed “General Provisions” and contained on pages 7 to 12;

  • Amended By-Laws means the By-laws of the Trust, as amended through the date hereof, establishing the powers, preferences and rights of the APS.

  • body governed by public law means any body:

  • Refuse to cooperate means to obstruct the collection or testing process; to submit an altered, adulterated or substitute sample; to fail to show up for a scheduled test; to refuse to complete the requested drug testing forms; or to fail to promptly provide specimen(s) for testing when directed to do so, without a valid medical basis for the failure. Employees who leave the scene of an accident without justifiable explanation prior to submission to drug and alcohol testing will also be considered to have refused to cooperate and will automatically be subject to discharge.

  • the 1961 Act means the Land Compensation Act 1961(d); “the 1965 Act” means the Compulsory Purchase Act 1965(e); “the 1980 Act” means the Highways Act 1980(f);

  • company limited by shares means a company having the liability of its members limited by the memorandum to the amount, if any, unpaid on the shares respectively held by them;

  • Disclosure to information norm means the Policy shall be void and all premium paid hereon shall be forfeited to the Company, in the event of misrepresentation, mis-description or non-disclosure of any material fact.

  • the Statutes means the Companies Act and every other act (as may from time to time be amended) for the time being in force in Bermuda applying to or affecting the Company, the Memorandum of Association and/or these presents;

  • Public Art means art that shall be accessible to the public, and includes all forms of original creations of visual art, conceived in any medium, material, or combination thereof, including paintings, drawings, stained glass, and murals in any media; statues, bas relief, mobile, kinetic, electronic, neon, or other sculptures; environmental artworks; fountains, arches or other structures intended for ornament; integrated and functional architectural elements of a structure; video and other media-based works; inscriptions, fiber works, carvings, mosaics, photographs, drawings, collages, textile works and prints; crafts, both decorative and utilitarian in clay, fiber, wood, metal, glass, stone, plastic and other materials; artist-designed public spaces and functional elements which are either a part of a larger project or a separate entity in and of itself.

  • the Academies means all the schools and educational institutions referred to in Article 4a and operated by the Academy Trust (and “Academy” shall mean any one of those schools or educational institutions);

  • Public area means any portion of a state or municipal building that is open to and accessible by the public or which is otherwise designated as a public area by the governing body or the chief administrative officer, if no governing body exists, of such building.