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 SEF and Regulatory Services Provider(s), under which 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 Chief Compliance Officer has the authority to delegate the authority to conduct any investigation authorized under this Rule 702 to the RSP as per the terms of the Regulatory Services Agreement.

• In accordance with a Regulatory Services Agreement, the Regulatory Services Provider may perform certain surveillance, investigative and/or regulatory functions under the MarketAxess SEF Rules and the MarketAxess SEF may provide information to the Regulatory Services Provider in connection with the performance by the Regulatory Services Provider of those functions.

• The Chief Compliance Officer has the authority to delegate the formation and staffing of Disciplinary Panels under this Rule 710 to the RSP as per the terms of the Regulatory Services Agreement.

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 or “RSA” means the agreement(s) between the SEF and the NFA, as the Regulatory Services Provider, whereby market surveillance and trade practice surveillance functions are delegated to the Regulatory Services Provider.

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, if any, between GTX 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 GTX.

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