Regulated Persons definition

Regulated Persons means certain broker-dealers and registered investment advisers that are subject to prohibitions against participating in pay-to-play practices and are subject to the SEC’s oversight and, in the case of broker-dealers, the oversight of a registered national securities association, such as FINRA.
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Regulated Persons means persons who are or were formerly (i) Dealer Members, (ii) members, users or subscribers of or to Marketplaces for which the Corporation is the regulation services provider, (iii) the respective representatives as designated in the Rules of any of the foregoing, and (iv) other persons subject to the jurisdiction of the Corporation.
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Regulated Persons means persons who are or were formerly (i) Dealer Members, including for greater certainty, members of the Corporation’s predecessors, (ii) members, users or subscribers of or to, or other entities that are allowed to trade directly on, Marketplaces for which the Corporation is the regulation services provider, (iii) the respective Approved Persons and other representatives of those persons set out in subsection (i) and (ii) , and (iv) other persons subject to the jurisdiction of the Corporation.
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Examples of Regulated Persons in a sentence

  • Each of the Regulated Persons is in compliance with the terms and conditions of all Permits (including, without limitation, Permits with respect to engaging in gaming operations) necessary or advisable to own, lease, use and operate the properties and assets and to conduct and carry on the businesses described in the Offering Circular, other than where such failure to be in compliance would not, singly or in the aggregate, have a Material Adverse Effect.

  • A list of the names and business addresses of all Regulated Persons to whom WEDGE provides or agrees to provide payment, directly or indirectly, to Solicit a Government Entity on its behalf, but not prior to June 13, 2012.

  • In particular, there are no such proceedings, initiated or otherwise pending, against any of the Regulated Persons.

  • Each of the Regulated Persons is in compliance with the terms and conditions of all Permits (including, without limitation, Permits with respect to engaging in gaming or racing operations) necessary or advisable to own, lease, use and operate the properties and assets and to conduct and carry on the businesses described in the Offering Circular, other than where such failure to be in compliance would not, singly or in the aggregate, have a Material Adverse Effect.

  • In particular, there are no proceedings, initiated or otherwise pending, against any of the Regulated Persons.

  • A record of the names of current Employees and persons who, within the past five years were Employees, as well as a list of the names and business addresses of all Regulated Persons to whom the Firm or a Covered Associate pays, or agrees to pay (directly or indirectly), to solicit a Government Entity on its behalf.

  • To the knowledge of the Issuers, (i) no Governmental Authority is investigating any Regulated Person, and (ii) there is no basis for any Governmental Authority to deny the renewal of the current Permits held by any of the Regulated Persons.

  • Access Persons are prohibited from making or agreeing to make Payments, directly or indirectly, to third parties to solicit advisory business from a Government Entity on behalf of the Firm unless such third parties are Regulated Persons, which generally is defined as SEC registered investment advisers, broker-dealers or municipal advisors who themselves are subject to similar restrictions as the Firm regarding Contributions to Officials of Government Entities.

  • To our knowledge, none of the Regulated Persons has received notice that the Commission is considering limiting, conditioning, suspending, modifying, revoking or not renewing any such Permit.

  • To the knowledge of the Issuers and the Subsidiary Guarantors, (i) no Governmental Authority is investigating any Regulated Person, other than ongoing general oversight investigations conducted in the ordinary course of business, and (ii) there is no basis for any of the Gaming Authorities to deny the renewal of the current Permits held by any of the Regulated Persons.


More Definitions of Regulated Persons

Regulated Persons means a licensee, an investment fund, an investment fund administrator;
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Regulated Persons means, generally, (1) brokers or dealers, or persons associated with a broker or dealer (which includes buy-side or sell-side analysts);
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Regulated Persons has the meaning specified in Section (20)(b) of Schedule C.
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Regulated Persons means a licensee, an investment fund, an investment fund administrator or other person as prescribed;
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Regulated Persons means a person, including generators, carriers, and receivers of subject waste required to report under and comply with the requirements of the Hazardous Waste Regulation.
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Regulated Persons means Mindset, the Mindset Subsidiary and each contractor or other person (including any distributor contract manufacturing organization or contract research organization) which, to the Knowledge of Mindset, is acting on behalf of Mindset or the Mindset Subsidiary in relation to a Company Product or Research Program.
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Related to Regulated Persons

  • regulated person means a person whose collection activities are confined and are directly related to the operation of a business other than that of a collection agency including any of the following:

  • Regulated party means a producer or importer of any amount

  • Designated Persons means a person or entity (a) listed in the annex to, or otherwise subject to the provisions of, any Executive Order; (b) named as a “Specially Designated National and Blocked Person” (“SDN”) on the most current list published by OFAC at its official website or any replacement website or other replacement official publication of such list (the “SDN List”) or is otherwise the subject of any Sanctions Laws and Regulations; (c) in which an entity or person on the SDN List has 50% or greater ownership interest or that is otherwise controlled by an SDN.

  • Regulated Entities means to include the following:

  • Affiliated Persons or "AFFILIATES" means

  • Designated Person means a person or entity:

  • Unrelated Person means any Person other than (i) a Subsidiary of Borrower or (ii) an employee stock ownership plan or other employee benefit plan covering the employees of Borrower and its Subsidiaries.

  • Associated Persons means the directors, employees (whether full-time, part-time or casual), Related Bodies Corporate, agents, contractors, advisors and owners of Tabcorp and the Venue Operator, respectively, (as is applicable).

  • interested persons and "Assignment" shall have their respective meanings as set forth in the 1940 Act, subject, however, to such exemptions as may be granted by the Commission under the 1940 Act or any interpretations of the Commission staff.

  • Permitted Persons means (A) the Company; (B) any Related Party; or (C) any group (as defined in Rule 13b-3 under the Exchange Act) comprised of any or all of the foregoing.

  • Agent-Related Persons means the Agent, together with its Affiliates, and the officers, directors, employees, agents and attorneys-in-fact of the Agent and such Affiliates.

  • Related Persons means, with respect to any Person, each Affiliate of such Person and each director, officer, employee, agent, trustee, representative, attorney, accountant and each insurance, environmental, legal, financial and other advisor (including those retained in connection with the satisfaction or attempted satisfaction of any condition set forth in Article II) and other consultants and agents of or to such Person or any of its Affiliates.

  • Regulated Entity means any entity referred to in Section I of Article L.613-34 of the French Code monétaire et financier as modified by the 20 August 2015 Decree Law, which includes certain credit institutions, investment firms, and certain of their parent or holding companies established in France.

  • Prohibited Persons As defined in Section 39.1.

  • Related Person means, with respect to any Person, (a) any Affiliate of such Person, (b) the respective directors, officers, partners, employees, advisors, agents, trustees and other representatives of such Person or any of its Affiliates and (c) the successors and permitted assigns of such Person or any of its Affiliates.

  • Supervised Persons for purposes of this Code means:

  • Rule 506(d) Related Party means a person or entity that is a beneficial owner of such Buyer’s securities for purposes of Rule 506(d).

  • Regulated Funds means the Existing Regulated Fund, the Future Regulated Funds and the BDC Downstream Funds.

  • regulated product means a consumer product for which a VOC standard is specified in section 94509(a), and

  • Local Authority Associated Persons means any person associated with any local authority within the meaning given in section 69 of the Local Government and Housing Act 1989;

  • Obligated Person means any person, including the Issuer, who is either generally or through an enterprise, fund, or account of such person committed by contract or other arrangement to support payment of all, or part of the obligations on the Bonds (other than providers of municipal bond insurance, letters of credit, or other liquidity facilities), as shown on Exhibit A.

  • Exculpated Parties shall have the meaning set forth in Section 13.1 hereof.

  • Related Parties means, with respect to any specified Person, such Person’s Affiliates and the respective directors, officers, employees, agents and advisors of such Person and such Person’s Affiliates.

  • Excepted Persons The meaning specified in Section 12.13(a).

  • regulated profession means a regulated profession as defined in Article 3(1)(a) of Directive 2005/36/EC.

  • Purchaser Related Parties has the meaning specified in Section 6.1.