Authorised Firm means a person authorised by the QFC Regulatory Authority to engage in Regulated Activities as set forth in Article 23 of QFC Financial Services Regulations.
Authorised Firm means a Firm which is authorised to practise as a Statutory Audit Firm, a Non Audit Firm or authorised under Investment Business Regulations.
Authorised Firm means a firm authorised by the FCA to conduct the regulated activities required by this Agreement in accordance with Part IV of FSMA;
Examples of Authorised Firm in a sentence
In doing so the Authorised Firm will not be considered to be Providing Credit to its Client.
An Authorised Firm must have adequate systems and controls to ensure, as far as is reasonably practical, that it complies with legislation applicable in the DIFC.
It is understood that the Conduct of Employment Agencies and Employment Businesses Regulations 2003 may not apply to all agency staff and that it is reasonable to expect a transfer fee in certain circumstances.
The onus will be on the DFSA to show that the Authorised Firm has been at fault in some way, taking into account the standard of conduct required under the Principle in question.
Principle 3 - Management, systems and controls 4.2.3 An Authorised Firm must ensure that its affairs are managed effectively and responsibly by its senior management.
More Definitions of Authorised Firm
Authorised Firm means any entity authorised by the Institute to use a plural of a Chartered title to describe itself; and
Authorised Firm means a firm, partnership or company which is authorised under the FSMA to carry on investment business and has appointed the Intermediary as its Appointed Representative, and which is either:(a) the party subject to the terms of Business from time to time; or(b) each party subsequent to that referred to at (a), where the Intermediary has notified the Provider in accordance with Clause 12.3 and the Provider has chosen not to exercise its right to terminate this Agreement under Clause 16.4;“Commencement Date”means the date of this Agreement; “Controller to Controller Standard Contractual Clauses”means the standard contractual clauses as approved by the European Commission Decision of 27 December 2004 amending Decision 2001/497/EC as regards the introduction of an alternative set of standard contractual clauses for the transfer of personal data to third countries (notified under document number C(2004) 5271), and any amendments thereto. “Customer”means an individual, organisation or company, (including an employee of, or individual associated with, such organisation or company) who has appointed the Intermediary as its agent;“Customer Personal Data”means Personal Data relating to a Customer which is Processed by, or on behalf of, either Party; “Data”means all information and data transmitted by one Party to the other Party (whether transmitted directly or via an Approved TPSP) or to or from an Approved TPSP, including statistics, policy information and valuations, Personal Data (including Customer Personal Data), information about products and services, commercial information, and whether as images, text or otherwise; “Data Protection Laws”means all applicable statutes, laws, secondary legislation, rules, regulations and guidance from a Supervisory Authority (or its UK equivalent) relating to privacy, confidentiality, security, direct marketing or the protection of Personal Data or corporate data (including any national laws implementing any such legislation (including Directives 2002/58/EC and 97/66/EC)), including but not limited to the UK GDPR, the UK Data Protection Act 2018, the Privacy and Electronic Communications (EC Directive) Regulations 2003 (SI2003/2426), the Regulation of Investigatory Powers Act 2000, the Investigatory Powers Act 2016, the Telecommunications (Lawful Business Practice) (Interception of Communications) Regulations 2000 (SI 2000/2699) and the EU General Data Protection Regulation. “Defect”means any and all material errors, omissio...
Authorised Firm means a person who has been given permission by the FCA under Part IV of FSMA to carry out one or more regulated activities under section 22 of FSMA; ‘Authorised Insurer’ means a person with permission under FSMA to effect and carry out contracts of insurance or a person admitted to the Society of Lloyd’s as an underwriting member; ‘Bordereau Account’ means a bordereau account operated by Close in the name of the Broker whereby the net value of all Borrower transactions introduced by the Broker is recorded;
Authorised Firm means an international insurance firm authorised in terms of regulation 3 (4) to carry on international insurance business;
Authorised Firm means a firm, partnership or company which is authorised under the FSMA to carry on investment business and has appointed the Intermediary as its Appointed Representative, and which is either:
Authorised Firm means a firm regulated by the Institute in its capacity as –
Authorised Firm means a Person, other than an Authorised Market Institution, who holds a Licence.