Examples of Conduct of Business Regulations in a sentence
Fund management companies registered under paragraph 5(1)(i) of the Second Schedule to the Securities and Futures (Licensing and Conduct of Business) Regulations (Rg. 10).
This statement is provided to you in accordance with regulation 47E(1) of the Securities and Futures (Licensing and Conduct of Business) Regulations (Rg 10).
Persons exempted under section 99(1)(h) of the Securities and Futures Act read with paragraph 7(1)(b) of the Second Schedule to the Securities and Futures (Licensing and Conduct of Business) Regulations.
All enquiries, investigations and adjudications under these Regulations shall be done by the Commission through the proceedings in accordance with the provisions of the Conduct of Business Regulations.
In this clause 28 “Client Money Rules” means the provisions of the Securities Investment Business (Conduct of Business) Regulations, 2003 of the Cayman Islands and associated statements of guidance, as amended and/or updated from time to time, relating to Client Money held by firms carrying out activities regulated under the Securities Investment Business Law (as amended) of the Cayman Islands.