Securities secrets definition

Securities secrets means all data and information that is at the disposal of the Company concerning specific Clients relating to their personal information, financial standing, business operations and investments, ownership and business relations, and their contracts and agreements with the Company, and to the balance and money movements on their accounts. For the purposes of legal provisions applicable to securities secrets, any person who receives services from the Company shall be considered a Client.
Sample 1Sample 2Sample 3
Securities secrets means all data and information that is at the disposal of an investment firm, an operator of multilateral trading facilities or a commodity dealer concerning specific clients relating to their personal information, financial standing, business operations and investments, ownership and business relations, and their contracts and agreements with any investment firm or commodity dealer, and to the balance and money movements on their accounts;
Sample 1Sample 2Sample 3
Securities secrets means all data and information that is at the disposal of the Company
Sample 1Sample 2

Examples of Securities secrets in a sentence

  • Securities secrets are all such data on the Client as are available to the Bank that relate to the Client’s person, particulars, financial position, business and investment activity, management or ownership relations, and/or to any of his contracts concluded with the Bank or to the balance of and turnover on his accounts held at the Bank.

  • Securities secrets shall mean all data and information that is at the Company's disposal concerning the Customer relating to the Customer's personal information, financial standing, business operations and investments, ownership and business relations, and his contracts with the Company and the balance and money movements on his accounts.

  • Confidentiality, the provision of data to third parties 4.18.1. Securities secrets are all such data on the Client as are available to the Bank that relate to the Client’s person, particulars, financial position, business and investment activity, management or ownership rela- tions, and/or to any of his contracts concluded with the Bank or to the balance of and turnover on his accounts held at the Bank.


More Definitions of Securities secrets

Securities secrets means all data and information that is at the disposal of an
Sample 1

Related to Securities secrets

  • Securities System shall have the meaning set forth in Paragraph 3(c) of this Agreement.

  • U.S. Securities System means a securities depository or book-entry system authorized by the U.S. Department of the Treasury or a “clearing corporation” as defined in Section 8-102 of the UCC.

  • Securities Seal means a seal for use for sealing certificates for shares or other securities issued by the Company which is a facsimile of the Seal of the Company with the addition on its face of the words “Securities Seal”;

  • Securities and Futures Ordinance means the Securities and Futures Ordinance (Cap. 571 of the Laws of Hong Kong);

  • Securities Depositories means DTC; and, in accordance with then current guidelines of the Securities and Exchange Commission, such other addresses and/or such other securities depositories as the District may designate in a Written Request of the District delivered to the Paying Agent.

  • Securities Regulators means collectively, the securities regulators or other securities regulatory authorities in the Selling Jurisdictions;

  • Securities Acts means the Securities Act of 1933 and the Securities Exchange Act of 1934.

  • Securities Documents means all reports, offering circulars, proxy statements, registration statements and all similar documents filed, or required to be filed, pursuant to the Securities Laws.

  • Portfolio Securities or "investments" of the Series shall mean, respectively, such assets, net assets, securities, portfolio securities or investments which are from time to time under the management of the Subadviser pursuant to this Agreement.

  • BofA Securities means BofA Securities, Inc.

  • central securities depository or ‘CSD’ means a central securities depository as defined in point (1) of Article 2(1) of Regulation (EU) No 909/2014.

  • U.S. Securities means Securities issued by an issuer that is organized under the laws of the United States or any State thereof or that are otherwise traded in the United States, and shall include American Depositary Receipts.

  • Hague Securities Convention means The Convention on the Law Applicable to Certain Rights in Respect of Securities Held with an Intermediary (Concluded 5 July 2006), which became effective in the United States of America on April 1, 2017.

  • Securities as used herein does not include (i) securities of issuers that are affiliated with the Buyer or are part of the Buyer's Family of Investment Companies, (ii) securities issued or guaranteed by the U.S. or any instrumentality thereof, (iii) bank deposit notes and certificates of deposit, (iv) loan participations, (v) repurchase agreements, (vi) securities owned but subject to a repurchase agreement and (vii) currency, interest rate and commodity swaps.

  • Securities Transfer Act means the Securities Transfer Act (British Columbia) from time to time in force and all amendments thereto and includes all regulations and amendments thereto made pursuant to that Act.

  • Foreign Securities System means an Eligible Securities Depository listed on Schedule B hereto.

  • Securities Trading Act means the Securities Trading Act of 2007 no.75 of the Relevant Jurisdiction.

  • Securities Depository Nominee means, as to any Securities Depository, such Securities Depository or the nominee of such Securities Depository in whose name there shall be registered on the registration books maintained by the Registrar the Bond certificates to be delivered to and immobilized at such Securities Depository during the continuation with such Securities Depository of participation in its book-entry system. Cede & Co. shall serve as the initial Securities Depository Nominee hereunder.

  • Securities Depository means The Depository Trust Company and any other clearing agency registered with the SEC under Section 17A of the Securities Exchange Act of 1934, as amended (the “1934 Act”), which acts as a system for the central handling of Securities where all Securities of any particular class or series of an issuer deposited within the system are treated as fungible and may be transferred or pledged by bookkeeping entry without physical delivery of the Securities.

  • Foreign Securities Depository means a foreign securities clearing system qualifying as an Eligible Securities Depository (as defined in Section (b)(1) of Rule 17f-7 under the 0000 Xxx) that is listed on Schedule B annexed hereto, as amended from time to time pursuant to Section 4.5 hereof.

  • Client Securities Rules means the Securities and Futures (Client Securities) Rules (Cap 571H of the Laws of Hong Kong).

  • Personal Securities Transactions means any transaction in a Security pursuant to which an Access Person would have a Beneficial Ownership interest with the exception of obligations of the U.S. Government, bankers’ acceptances, bank certificates of deposit, money market fund shares, commercial paper, high quality short-term debt instruments and registered open-end investment companies, none of which are funds advised or sub-advised by the Firm.

  • Uncertificated Securities Regulations means the Uncertificated Securities Regulations 2001;

  • Securities lending or "securities borrowing" means a transaction by which a counterparty transfers securities subject to a commitment that the borrower will return equivalent securities on a future date or when requested to do so by the transferor, that transaction being considered as securities lending for the counterparty transferring the securities and being considered as securities borrowing for the counterparty to which they are transferred;

  • Securities Exchange Act of 1934 means the United States Securities Exchange Act of 1934, as from time to time amended.