Applicable Regulator definition

Applicable Regulator means any regulatory authority regulating RBCIS in any jurisdiction;

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Applicable Regulator means each of the FCA, PRA, ESMA or other relevant regulatory authority regulating RBC Investor Services Trust (UK Branch) in any jurisdiction (whether in the UK, EU, EEA or Third Country or transnational);

Applicable Regulator means any regulator or supervisory body that, under Applicable Laws, has regulatory or supervisory oversight over Trident Trust; or, where the context so requires, has regulatory or supervisory oversight over Trident Trust in a Relevant Jurisdiction. (For further information, see Clause 2.4 and Annex 1)

Examples of Applicable Regulator in a sentence

• We may cancel your instructions where required in accordance with Applicable Regulations or otherwise where required by an Applicable Regulator.

• We may from time to time be required to report details of your Transactions and details about you to an Applicable Regulator pursuant to Applicable Regulation (including, without limitation, pursuant to Article 26 MiFIR) (a "Transaction Reporting Requirement").

• Where the Customer acts on behalf of an underlying client, the Customer agrees that such “Counterparty Data” shall include such information as RBCIS may require on the Customer’s clients’ positions as well as, if applicable, the positions of the clients of those clients and so on until the end client is reached, to enable RBCIS to complete and submit reports to the relevant Trading Venue, Approved Reporting Mechanism or Applicable Regulator.

• A copy of any recorded telephone conversation and a copy of any electronic communication record will be available on request for a period of five years and, where requested by a relevant Applicable Regulator, for a period of up to seven years.

• The Company shall, subject to the prior consent of the Applicable Regulator, redeem this Surplus Note, in full or in part, prior to the Maturity Date, in accordance with the provisions below.

More Definitions of Applicable Regulator

Applicable Regulator means each of the FCA, PRA, ESMA or any other relevant regulatory authority regulating us in any jurisdiction (whether in the UK, EU, EEA or Third Country or transnational), including any successor or replacement authorities;

Applicable Regulator means each of the CSSF, ESMA or other relevant regulatory authority regulating RBCIS in any jurisdiction (whether in Luxembourg, EU, EEA or Third Country or transnational);

Applicable Regulator means each of the BaFin, ESMA or any other relevant regulatory authority regulating RBC EG in any jurisdiction (whether in Germany, EU, EEA or Third Country or transnational), including any successor or replacement authorities;

Applicable Regulator means the appropriate representative of the relevant Securities Regulatory Authority in each Jurisdiction as set out in Appendix C;

Applicable Regulator means, in respect of the registration by the Company of any of the Registrable Securities, any Governmental Authority or self-regulatory body or other body having jurisdiction, including any domestic or foreign stock exchange, over the registration, listing, marketing or sale of such securities.

Applicable Regulator means each Regulator in the jurisdiction in which a Member Firm is registered.

Applicable Regulator means the Minnesota Commerce Department, the SEC or any other Governmental Authority having jurisdiction over either Ceding Company.