Sentences with phrase «operating under an exemption»

The rule requires that distributors of financial products into retirement accounts proceed on the basis of a fiduciary relationship and is aimed at removing potential conflicts of interest in which distributors steer clients into products because of higher commission revenue — unless distributors operate under an exemption.

This requirement places equity crowdfunding portals operating under this exemption under the same capital and bond requirements as exempt market dealers and recently approved restricted dealers in Ontario.

Alternatively, boards, such as the University of Maryland Board that recently hired away current UMass President Bob Caret can operate under an exemption from a comparable open meeting law to allow such searches to seek and appoint top candidates who would otherwise not be willing to run the risks of making their candidacies public.

On the other hand you are operating under an exemption to an existing criminal code law so maybe you should just do what the good folks at the regulators tell you to do.

Insite had been operating under an exemption from being prosecuted under federal drug laws and was granted two extensions.

Not exact matches

This is why many in the industry are saying that the concessions provided by the DOL that provide greater latitude to operate under the BICE exemption won't really matter in the long run if individual retirement plans move to fees.

Also to note: selected platforms, operating under various exemptions, are fundraising today.

-- Notwithstanding any other provision of law, a school participating in any program under this title that is operated by, supervised by, controlled by, or connected to, a religious organization may exercise its right in matters of employment consistent with title VII of the Civil Rights Act of 1964 (42 U.S.C. 2000e — 1 et seq.), including the exemptions in such title.

Certain organizations that have been regulated against and even successfully prosecuted under the CROA and FCSOA are now operating as charities, having successfully applied for the Internal Revenue Services» § 501 (c)(3) exemptions.

the Government says that drafting improvements have been made to make sure that where schemes fall within an exemption under other regulations, they are not inadvertently brought back into the master trust regime by the «cluster scheme» provisions, ie the rules designed to avoid the master trust authorisation requirements being circumvented by providers operating lots of small schemes in parallel.