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

  • Regulatory Services Agreement with the Regulatory ServicesProvider 2423 RULE 215.

  • Pursuant to the Administrative and Regulatory Services Agreement between RS and IIROC, effective June 1, 2008, RS has retained IIROC to provide services for RS to carry out its regulatory 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 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 means the agreement(s) between the Company and the Regulatory Services Provider(s) whereby certain functions mandated
Regulatory Services Agreement means the agreement between SDX Trading 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 SDX Trading.
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.