FSA Rules definition

FSA Rules meanss the rules, guidance, principles and codes comprised in the Handbook of Rules and Guidance issued by the FSA. The parties understand and agree that such categorisation is not intended to, and does not, affect the relationship between and among the parties under the 1940 Act or the Advisers Act.
FSA Rules means the Rules included within the FSA Handbook issued by the FSA.

Examples of FSA Rules in a sentence

  • Clearing Members that are authorised and regulated by the FSA will be deemed to satisfy this requirement if they comply with all applicable FSA Rules relating to record-keeping in relation to their activities connected with the Clearing House.

  • Financial services institutions that violate the provisions as defined in the FSA Rules will be penalized in the form of written warnings, fines or obligation to pay a certain amount of money, restricted business activities, freezing of business activity, or/and revocation of permits or business activities.

  • Notifications under Rule 204(a)(xiii) (other than notifications of any matter, circumstance, change or occurrence which would cause a statement previously furnished pursuant to this Rule 204, any information supplied in connection with the Clearing Member's application for membership or otherwise to be inaccurate, incomplete or superseded) shall only be required if a notification is also required to the FSA under the Principles for Business in the FSA Rules.

  • We will treat all money received from you or held by us on your behalf in accordance with the FSA’s Client Money Provisions and as a consequence, such money will be held separately from money belonging to us and in the event of our insolvency, winding up or other Distribution Event (as defined in the FSA Rules), such money will be subject to the FSA’s Client Money Distribution Rules.

  • We will take all reasonable steps to provide you with best execution in accordance with the FSA Rules and our Order Execution Policy when we execute Transactions on your behalf.


More Definitions of FSA Rules

FSA Rules meanss the rules, guidance, principles and codes comprised in the Handbook of Rules and Guidance issued by the FSA.
FSA Rules means the rules of the FSA;
FSA Rules means the designated rules made, from time to time, by the FSA under and in accordance with the FSMA, including under the FSA Handbook of Rules and Guidance.
FSA Rules means the rules and guidance made by the FSA from time to time under the FSMA which are currently set out in the FSA Handbook;