SF(LCB)R definition

SF(LCB)R means the Securities and Futures (Licensing and Conduct of Business) Regulations;
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SF(LCB)R means Securities and Futures (Licensing and Conduct of Business)
Sample 1Sample 2

Examples of SF(LCB)R in a sentence

  • Each Clearing Member acknowledges that any contractual rights or receivables it may have from time to time to any Surplus Collateral from the Clearing House in relation to its Customer Margin Account shall be held on trust by it for the relevant Customer to the extent required by Regulations 16 and 26 of the SF(LCB)R.

  • The company should include immovable assets in the reporting of its managed assets, notwithstanding the exemption set out in paragraph 5(1)(h) of the Second Schedule to the SF(LCB)R.

  • Each Clearing Member acknowledges that any rights it may have from time to time to any amount owed to it from the Clearing House in relation to a Customer Position Account shall be held on trust by it for the relevant Customer to the extent required pursuant to Regulations 16 and 26 of the SF(LCB)R.

  • The SF(LCB)R FAQs provide more information on the representative notification regime, such as the requirements imposed on different types of representatives, circumstances under which an individual will cease to be a representative and how the Public Register may be accessed.

  • An FMC that acts as investment adviser, sub-adviser, or that provides research to another investment manager should satisfy itself that the assets that it advises on are subject to independent custody as required under Regulation 13B(1)(c) of the SF(LCB)R.

  • The term "SF(LCB)R" means the Securities and Futures (Licensing and Conduct of Business) Regulations.

  • An FMC that acts as investment adviser or sub-adviser, or provides research to another investment manager, may operate under the VC Manager Regime if the advice and research that it provides relate to a fund that meets the eligibility criteria of a venture capital fund under Regulation 14(8) of the SF(LCB)R.

  • An SFO may rely on the exemption provided for a corporation which manages funds for its related corporations, under paragraph 5(1)(b) of the Second Schedule to the SF(LCB)R.

  • Regulation 54(3) of the SF(LCB)R states that to the extent the requirements in the Banking Act conflict with Regulation 47, the Banking Act will prevail.

  • G.6 [NOT USED.] G.6A MATCHING ORDERS G.6A.1 Without prejudice to the obligations of a Member under Applicable Law, including, without limitation, Regulation 47D of the SF(LCB)R, a Cross Trade is defined either as a single Responsible Individual simultaneously executing matching buy and sell orders for different beneficial account owners, or by separate Responsible Individuals registered with the same Member trading together for different beneficial account owners.

Related to SF(LCB)R

  • ECO ECO Resources, Inc., a Texas corporation. ---

  • LSD means lysergic acid diethylamide.

  • snippet means with respect to any Material Contract, a consent and agreement in favor of the Term Loan Collateral Agent (for the benefit of the Secured Parties) in substantially the form attached hereto as Exhibit F or otherwise in form and substance reasonably satisfactory to the Term Loan Collateral Agent and the Administrative Agent.","hash":"b253905eac2329f4ce5deee359573d97","id":7},{"snippetLinks":[{"key":"the-consent","type":"clause","offset":[6,17]},{"key":"dated-as-of","type":"definition","offset": [32,43]},{"key":"march","type":"clause","offset":[44,49]},{"key":"the-bank","type":"clause","offset":[72,80]},{"key":"sumitomo","type":"definition","offset":[87,95]},{"key":"heavy","type":"clause","offset":[96,101]},{"key":"industries","type":"clause","offset":[102,112]},{"key":"ltd","type":"clause","offset":[114,117]},{"key":"solely-for-purposes-of- section","type":"clause","offset":[120,150]},{"key":"borrower-and","type":"clause","offset":[173,185]},{"key":"certain","type":"clause","offset":[186,193]},{"key":"subsidiaries","type":"clause","offset":[208,220]}],"samples":[{"uri":"/contracts/8I1kKDYnIWF#consent-and-agreement","label":"Loan and Security Agreement (Axcelis Technologies Inc)","score":21},{"uri":"/contracts/ef30eXHgcuS#consent-and-agreement","label":"Loan and Security Agreement (Axcelis Technologies Inc)","score":21},{"uri":"/contracts/dwF8yXcI2kh#consent-and-agreement","label":"Loan and Security Agreement (Axcelis Technologies Inc)","score":21}],"size":6,"snippet":"means the Consent and Agreement dated as of March 30, 2009 by and among the Bank, SEN, Sumitomo Heavy Industries, Ltd. (solely for purposes of Section 2(b) thereunder), the Borrower and certain of Borrower’s Subsidiaries named therein.","hash":"e15b2264efd3078b83ce802817c2631f","id":8},{"snippetLinks":[{"key":"a-consent","type":"clause","offset":[6,15]},

  • Drywell means an unlined or partially lined underground pit (regardless of geometry) into which drainage from roofs, basement floors, water softeners or other non-wastewater sources is discharged and from which the liquid seeps into the surrounding soil.

  • We/Us/Our means TATA AIG General Insurance Company Limited.

  • Mercury means elemental mercury (Hg(0), CAS No. 7439-97-6);

  • Clone means a non-flowering plant cut from a mother plant that is capable of developing into a new plant and has shown no signs of flowering.

  • snippetLinks [{"key":"specifically","type":"clause","offset":[20,32]},{"key":"provided-herein","type":"clause","offset":[33,48]},{"key":"at-the-closing","type":"clause","offset":[50,64]},{"key":"the-parties-shall","type":"clause","offset":[65,82]},

  • SWDocID [[6027980]]" "" [[6027980]] elect or decline, in its sole discretion, to provide a New Commitment. Such New Commitments shall become effective as of such Increased Amount Date, and in the case of Incremental Term Loans, shall be made on such Increased Amount Date; provided that (i) the conditions set forth in paragraphs of (b) and (c) of Section 4.02 shall be satisfied or waived by the Required Lenders on such Increased Amount Date before or after giving effect to such New Commitments and Loans; (ii) such increase in the Revolving Facility Commitments and/or the Incremental Term Loans shall be evidenced by one or more joinder agreements executed and delivered to Administrative Agent by each New Lender, as applicable, and each shall be recorded in the register, each of which shall be reasonably satisfactory to the Administrative Agent and subject to the requirements set forth in Section 2.17(f); and (iii) the Borrower shall make any payments required pursuant to Section 2.16 in connection with the provisions of the New Commitments; provided that, with respect to any Incremental Term Loans incurred for the primary purpose of financing a Limited Conditionality Acquisition (“Acquisition-Related Incremental Term Loans”), clause (i) of this sentence shall be deemed to have been satisfied so long as (A) as of the date of execution of the related Limited Conditionality Acquisition Agreement by the parties thereto, no Default shall have occurred and be continuing or would result from entry into such Limited Conditionality Acquisition Agreement, (B) as of the date of the borrowing of such Acquisition-Related Incremental Term Loans, no Event of Default under Section 7.01(a), 7.01(b), 7.01(h) or 7.01(i) is in existence immediately before or after giving effect (including on a Pro Forma Basis) to such borrowing and to any concurrent transactions and any substantially concurrent use of proceeds thereof, (C) the representations and warranties of the Loan Parties set forth in this Agreement and the other Loan Documents shall be true and correct in all material respects as of the date of execution of the applicable Limited Conditionality Acquisition Agreement by the parties thereto, except to the extent any such representations or warranties are expressly limited to an earlier date, in which case such representations and warranties shall be true and correct in all material respects as of such specified earlier date (provided that no materiality qualifier set forth in this subclause (C) shall be applicable to any representations and warranties that already are qualified or modified by materiality in the text thereof) and (D) as of the date of the borrowing of such Acquisition-Related Incremental Term Loans, customary “Sungard” representations and warranties (with such representations and warranties to be reasonably determined by the Lenders providing such Acquisition-Related Incremental Term Loans) shall be true and correct in all material respects immediately before and after giving effect to the incurrence of such Acquisition-Related Incremental Term Loans, except to the extent any such representations or warranties are expressly limited to an earlier date, in which case such representations and warranties shall be true and correct in all material respects as of such specified earlier date (provided that no materiality qualifier set forth in this subclause (D) shall be applicable to any representations and warranties that already are qualified or modified by materiality in the text thereof).

  • Catechumen means a member of the catechumenate of a Catholic Church. This will normally be evidenced by a certificate of reception into the order of catechumens.

  • Prime Vendor – means any person (natural or juristic) who forwards an acceptable proposal in response to this RFB with the intention of being the main contractor should the proposal be awarded to him/her.

  • Basecoat means a coat of colored material, usually opaque, that is applied before graining inks, glazing coats, or other opaque finishing materials and is usually topcoated for protection.

  • Cyberbullying means any form of communication by electronic act that is sent with the purpose to:

  • CSDCC means the China Securities Depository and Clearing Co., Ltd. “CSRC” means the China Securities Regulatory Commission.

  • EG means the Enforcement Guide;

  • cannabis resin means the separated resin, whether crude or purified, obtained from any plant of the genus Cannabis;

  • CTI means CTI Logistics Limited (ABN 69 008 778 925) and/or any Affiliate of CTI Logistics Limited as the case may be, which performs all or any of the Services.

  • PSEA means the employers' association that is established for post-secondary institutions under the Public Sector Employers' Act and that is the employer bargaining agent for all institutions.

  • Catalyst means a substance whose presence enhances the reaction between chemical compounds.

  • CTC means Canadian Tire Corporation, Limited together with its Subsidiaries (excluding the REIT and the REIT’s Subsidiaries), or, as the context requires, any of them.

  • Mistletoe Thinning means the removal of designated conifer trees bearing visible mistletoe plants on branches as well as visible plants or infections on the stem.

  • THC means tetrahydrocannabinol.

  • Summer means the season commencing on May 1 and ending on October 31 for any given calendar year.

  • NPS means nominal pipe size.

  • AASHTO means the American Association of State Highway and Transportation Officials.

  • PSI means pounds per square inch.