FCA CASS Rules definition

FCA CASS Rules means the rules of the FCA relating to the protection of client money or assets as defined in the FCA Rules.
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FCA CASS Rules means the FCA Rules set out in Chapter 6 of the FCA's Client Assets Sourcebook (“CASS”).
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FCA CASS Rules means the rules of the FCA relating to the protection of client money or assets as defined in the FCA Rules. "FCA Rules" means the guidance, rules and regulations of the FCA made pursuant to its powers under the Financial Services and Markets Act. "FCA" means the Financial Conduct Authority or any body that may replace it, being the regulator of the financial services industry in the UK that authorises and regulates CGL. "Limit Order" means an order to buy or sell a financial instrument at a specified price limit or better and for a specified amount. "Multi-Lateral Trading Facility" has the meaning set out in the FCA Rules. "Outside Custodian" means a custodian appointed by you to provide safe custody services in relation to your investments. "Order Execution Policy" means our policy which sets out how we will deal with your orders, as amended from time to time. "Regulated Market" has the meaning set out in the FCA Rules. "Retail Client" means as defined in the FCA Rules. "Sub-Custodian" means a bank or financial institution providing custody services in respect of a particular market or jurisdiction, on behalf of CGL.
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Examples of FCA CASS Rules in a sentence

  • The Delivery Versus Payment exemption essentially allows us to disapply the FCA CASS Rules relating to your money or assets for a short period of time when settling your transaction within a Commercial Settlement System, subject always to Applicable Law.

  • We will only transfer your money and/or assets to another person who either will hold them under the FCA CASS Rules or to whom we have exercised all due skill, care and diligence in assessing whether that person will apply adequate measures to protect your money and/or assets.

  • We will only transfer your money and/or assets to: (a) another person who will hold them in accordance with the FCA CASS Rules; or (b) another person that we have exercised all due skill, care and diligence in assessing whether that person will apply adequate measure to protect it.

  • We will normally settle transactions on a Delivery Versus Payment basis and in entering into this Agreement; you agree that we may at our discretion use the Delivery Versus Payment exemption as permitted by the FCA CASS Rules.

  • This means that money is held as part of a common pool of money, so in the event of our insolvency or other such event, your money will be protected in accordance with the FCA CASS Rules.

  • Where the balance is under £25 and we have taken the steps required by the FCA CASS Rules to contact you, we may stop treating the balance as client money and donate it to a registered charity of our choice but we will not make good any claim by you against the balance.

  • If we do this, we will endeavour to ensure your money is held as Client Money under the FCA CASS Rules where relevant.

  • There is no cancellation fee for productions canceling more than seven (7) days prior to the scheduled event unless we notify you that we have another request for the Studio overlapping any portion of your requested rental - in which case your rental becomes firm and not eligible for further cancellation, and you will be required to secure your rental with a non- refundable payment, which may be required to be payment in full.

  • If we do this, we will endeavour to ensure your money is held as client money under the FCA CASS Rules or an equivalent regulatory regime.

  • We will exercise due skill, care and diligence in the selection, appointment and periodic review of any Sub-Custodian as required under the FCA CASS Rules.

Related to FCA CASS Rules

  • CCASS Rules means the General Rules of CCASS and the CCASS Operational Procedures in effect from time to time;

  • FCA Rules means the Rules included within the FCA Handbook issued by the FCA.

  • Business Rules means the rules for day to day use of Interconnector Capacity in Schedule 4;

  • CySEC Rules means the Rules, Directives, Regulations, Guidance notes, opinions or recommendations of CySEC.

  • PPB Rules means the rules of the Procurement Policy Board as set forth in Title 9 of the Rules of the City of New York (“RCNY”), § 1-01 et seq.