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. MONITORING TO CHECK Teams of inspectors make routine visits to firms COMPLIANCE WITH THE RULES to check on their compliance with the rules. In some cases the visits may be made without warning.

Examples of AND KEY in a sentence

• TENANT MUST PROVIDE HIS/HER OWN LOCK AND KEY AND ASSUMES FULL RESPONSIBILITY FOR WHOMEVER HAS POSSESSION OF THE KEYS AND ACCESS TO THE SPACE.

• UPON SUBMITTAL OF THE BIDDING DOCUMENTS, CONTRACTOR SHALL FURNISH TO OWNER IN WRITING THE NAMES OF ALL OF ITS SUBCONTRACTORS (INCLUDING THOSE WHO ARE TO FURNISH MATERIALS OR EQUIPMENT FABRICATED TO A SPECIAL DESIGN) AND THE NAMES OF THE OWNER(S) AND KEY PERSONNEL OF EACH SUBCONTRACTOR.

• KEY PERSON ACKNOWLEDGES THAT, IN EXECUTING THIS AGREEMENT, KEY PERSON HAS HAD THE OPPORTUNITY TO SEEK THE ADVICE OF INDEPENDENT LEGAL COUNSEL, AND KEY PERSON HAS READ AND UNDERSTOOD ALL OF THE TERMS AND PROVISIONS OF THIS AGREEMENT.

• This SENIOR MANAGEMENT AND KEY EMPLOYEE SEVERANCE AGREEMENT (this "Agreement"), dated as of _______________ is made and entered into by and between Computer Sciences Corporation, a Nevada corporation (the "Company"), and _____________________ (the "Executive").

• NONCOMPETITION, NONDISCLOSURE AND INVENTIONS AGREEMENT (FOR OFFICERS AND KEY EMPLOYEES) The undersigned, __________________________ in consideration for and as a condition of my continued employment as an employee (the "EMPLOYEE") of SILKNET SOFTWARE, INC.

• WATCH TURNOVER KEY BOXES AND KEY EXCHANGE The wage tables below reflect the wage rates for the term of this Agreement.

• WATCH TURNOVER KEY BOXES AND KEY EXCHANGE‌ Effective July 1, 2019, the wage rates for each classification covered by this Agreement shall include a three and one-half percent (3.5%) increase.

• BORROWER AND KEY PRINCIPAL HAVE INITIALED THIS SECTION BELOW TO INDICATE THEIR AGREEMENT WITH THE JURY TRIAL WAIVER AND OTHER TERMS CONTAINED IN THIS SECTION.

• HIGHLY COMPENSATED AND KEY EMPLOYEES For purposes of paragraphs 1.52 and 1.55, Compensation shall be Code Section 415 Compensation as described in paragraph 1.16(c).

• SERVICE LEVELS AND KEY PERFORMANCE INDICATORS The objectives of the Service Levels and Key Performance Indicators are to ensure that the Services are of a consistently high quality and meet the requirements of the National College.