Dealing Rules definition

Dealing Rules means the Rules and the Market Operating Rules that govern the submission of orders and the execution and reporting of Market Transactions on a Trading Platform.
Sample 1Sample 2Sample 3
Dealing Rules means Chapter 7 of the Corporations Act, as appropriate, and the Market Operating Rules governing the processes of dealing in and of reporting dealings in Securities.
Sample 1Sample 2
Dealing Rules means the Rules governing the submission of orders and the execution and reporting of Market Transactions on a Trading Platform and includes:
Sample 1Sample 2

Examples of Dealing Rules in a sentence

  • Personal securities transactions in the securities of Schroders plc are subject to blackout periods and other restrictions which are outlined in the UK Staff Dealing Rules which can be found on Group Compliance's intranet website.

  • Personal securities transactions in the securities of Schroders plc are subject to blackout periods and other restrictions which are outlined in the UK Staff Dealing Rules which can be found on Group Compliance’s intranet website.

  • If you have any doubt whether a transaction comes within the scope of the PA Dealing Rules, you must seek advice from the Compliance Department.

  • You must send a letter to the chosen ISA Manager stating that you are in the employ of Barings and as such are bound by the Personal Account Dealing Rules.

  • In addition to complying with the PA Dealing Rules as set out in this Code, all employees must also comply with Pictet Directive 8, which can be accessed via the Pictet internet.

  • At a minimum, such personnel must follow the procedures set forth in the "Schroder Investment Management London Group Personal Investment Dealing Rules" as described below and report their transactions in Covered Securities quarterly to the New York Ethics Supervisor.

  • You must also send a letter to your chosen Investment Manager stating that you are in the employ of Barings and as such are bound by Barings’ Personal Account Dealing Rules and that approval of this account will only be given if you are not aware of the Investment Transactions made on your behalf until after the transaction has been implemented.

  • Individuals covered by this Code may also be covered by other regulations, codes or related policies such as the UK Personal Account Dealing Rules or the Henderson Global Funds Code of Ethics for Principal Executive and Senior Financial Officers.

  • Each affected Employee must observe local Personal Account Dealing Rules, as well as abide by the additional principles and rules set forth in this Code, and any other applicable legal vehicle or division specific policies and obligations.

  • All members of staff are subject to their local AWM Personal Account Dealing Rules.


More Definitions of Dealing Rules

Dealing Rules means the Business Rules governing the processes of dealing in and of reporting dealings in Securities and includes Rules 2.4 to 2.18.
Sample 1Sample 2
Dealing Rules means the Market Rules of the ASX Ltd ABN 95 008 642 691, the Clearing Rules of the Australian Clearing House Pty Ltd ABN 29 003 435 014 and the Settlement Rules of the ASX Settlement and Transfer Corporation Pty Ltd ABN 49 008 504 532, as amended from time to time.
Sample 1

Related to Dealing Rules

  • Listing Rules the Rules Governing the Listing of Securities on the Stock Exchange

  • Clearing Rules means, as the case may be, (a) the general rules, operational procedures and other applicable rules, procedures and regulations of CCASS from time to time in force; and/or (b) the rules, procedures and regulations of the relevant Foreign Clearing System, from time to time in force;

  • Applicable Legislation means any statute of Canada or a province thereof, and the regulations under any such named or other statute, relating to warrant indentures or to the rights, duties and obligations of warrant agents under warrant indentures, to the extent that such provisions are at the time in force and applicable to this Indenture;

  • Anti-Corruption Guidelines means the “Guidelines on Preventing and Combating Fraud and Corruption in Projects Financed by IBRD Loans and XXX Credits and Grants”, dated October 15, 2006.

  • EU Bail-In Legislation Schedule means the EU Bail-In Legislation Schedule published by the Loan Market Association (or any successor person), as in effect from time to time.

  • GEM Listing Rules the Rules Governing the Listing of Securities on GEM

  • Bail-In Legislation means, with respect to any EEA Member Country implementing Article 55 of Directive 2014/59/EU of the European Parliament and of the Council of the European Union, the implementing law for such EEA Member Country from time to time which is described in the EU Bail-In Legislation Schedule.

  • UK Data Protection Legislation means all applicable data protection and privacy legislation in force from time to time in the UK including the UK GDPR; the Data Protection Act 2018; the Privacy and Electronic Communications Directive 2002/58/EC (as updated by Directive 2009/136/EC) and the Privacy and Electronic Communications Regulations 2003 (SI 2003/2426) as amended.