Regulatory Services Agreement definition

Regulatory Services Agreement means the agreement between BSEF and the Regulatory Services Provider whereby the Regulatory Services Provider provides market surveillance and trade practice surveillance functions as well as other compliance related services to the SEF operated by BSEF.

Regulatory Services Agreement means the agreement(s) between the MarketAxess SEF and the Regulatory Services Provider whereby market surveillance and trade practice surveillance functions are delegated to the Regulatory Services Provider.

Regulatory Services Agreement means the agreement(s) between the Company and the Regulatory Service Provider(s) whereby certain functions mandated under the CEA, such as market monitoring and trade practice surveillance, are delegated to the Regulatory Services Provider(s).

Examples of Regulatory Services Agreement in a sentence

• The SEF may enter into a Regulatory Services Agreement with a Regulatory Services Provider to perform certain surveillance, investigative, and regulatory functions under the SEF Rules and the SEF may provide information to the Regulatory Services Provider in connection with the performance of those functions.

• For those non-common members who are allocated to EDGX pursuant to the Rule 17d-2 Plan, the Exchange and FINRA have entered into a Regulatory Services Agreement (“RSA”) pursuant to which FINRA will assist the Exchange with conducting surveillance, investigation, examination, and enforcement activity in connection with the CAT Compliance Rules on the Exchange’s behalf.

• The SEF Rules that refer to the SEF, SEF staff, the Market Regulation Department and other SEF departments should be understood as also referring to the Regulatory Services Provider, the Regulatory Services Provider staff and the Regulatory Services Provider departments acting on behalf of SEF pursuant to the Regulatory Services Agreement.

• Notwithstanding the fact that the SEF has entered into the Regulatory Services Agreement with its Regulatory Services Provider to perform some of the SEF’s functions, the SEF shall retain ultimate legal responsibility for, and control of, such functions.

More Definitions of Regulatory Services Agreement

Regulatory Services Agreement means the agreement between Tera and the Regulatory Services Provider whereby the Regulatory Service Provider provides market surveillance and trade practice surveillance functions as well as other compliance-related services to Tera.

Regulatory Services Agreement means the Regulatory Services Agreement dated as of the Execution Date between the Parties relating to the provision by Pfizer of specified regulatory services in the US Territory on a contract basis for Eyetech.

Regulatory Services Agreement means the agreement(s) between the Company and the Regulatory Services Provider(s) whereby certain functions mandated

Regulatory Services Agreement means the agreement(s) between INFX SEF and the Regulatory Services Provider whereby market surveillance and trade practice surveillance functions are conducted on behalf of INFX SEF.

Regulatory Services Agreement has the meaning specified in Section 5.3.

Regulatory Services Agreement. ’ means the Regulatory Services Agreement to be entered into between BSE or an Affiliate of BSE and BOX, or its duly adopted and executed replacement between a Regulatory Services Provider and BOX, as in effect from time to time.

Regulatory Services Agreement means an agreement between Tera and a Regulatory Services Provider whereby the Regulatory Service Provider may provide market surveillance, trade practice surveillance, and other compliance-related services to Tera.