Sentences with phrase «regulated entity»

adoption agency A legally regulated entity that provides one or more of the following: assessment of prospective adoptive parents, counseling services to birth parents, preparation and placement of children with adoptive families, and postadoption services.

As a regulated entity with payments and prepaid cards we are in the best position to combine a high level of service that our users love with regulatory requirements.

Monex Group are a regulated organisation within Japan, this has provided some optimism within the market in trading on Tuesday, as this is a mainstream regulated entity, potentially adopting cryptocurrencies, further legitimizing the industry.

We think this is particularly meaningful for regulated financial institutions - for whom this is the first opportunity to trade bitcoin via a similarly regulated entity.

Advising a senior executive in an FCA regulated entity accused of serious regulatory breaches

Interested in setting up a BSB - regulated entity?

As reported in a September 8, 2008 post (here) on the Blog of the Legal Times, the statute provides that «the members of the board of directors of a regulated entity shall not be liable to the shareholders or creditors of the regulated entity for acquiescing or consenting in good faith to the appoinment of the Agency as conservator or receiver for that regulated entity.»

The regulated entity must then prepare and file with the FCA a «Statement of Responsibilities» for each senior manager, setting out in detail the senior management functions that he / she will perform.

It is clearly very valuable for a regulated entity to be able to waive privilege vis - à - vis the regulator for a particular purpose (e.g., in connection with a specific investigation) but without waiving it more generally.

Although it may be possible for a regulated entity to contend that waiver of privilege was impliedly, if not expressly, limited (having regard to all the circumstances of the waiver), the safest course will always be to make clear at the time of disclosure that waiver is for a limited purpose only and confidentiality is otherwise being maintained.

Where the SLP is the top regulated entity of a regulated group, the SLP may have direct and indirect 100 % holdings in UK and overseas subsidiary companies.

Regulated entity: For the purpose of EIA's data collection efforts, entities that either provide electricity within a designated franchised service area and / or file forms listed in the Code of Federal Regulations, Title 18, part 141 are considered regulated entities.

To date, every regulated entity has chosen this path, which marked the beginnings of The Climate Trust (TCT).

Online binary options broker IQ Option, a brand operating under its CySEC regulated entity IQ Option Europe limited, has announced a sponsorship deal with Aston Martin Racing, according to the car manufacturer's website.

Banc de Binary isn't the first European regulated entity to have been in the CTFC's firing line, with 2012 seeing 25 Forex brokerages getting in trouble for soliciting US customers.

(4) To the extent feasible, specify performance objectives, rather than the behavior or manner of compliance a regulated entity must adopt; and

As a regulated entity, EightCap meets the highest standard of corporate governance, financial reporting and disclosure.

As a regulated entity under CySEC, TeleTrade operates under strict regulatory guidelines.

As a regulated entity under the UK's FCA and CySEC, Plus500 is able to work with traders from Europe and the UK and to take advantage of the benefits of being protected under the Financial Services Compensation Scheme (FSCS) and Investors Compensation Scheme.

If necessary, however, the agency may take enforcement action against a noncompliant, regulated entity.

We may follow this up with a meeting with the regulated entity to tell it what fixes are necessary, or we may identify a problem with the clarity of the rule and address that with changes to the rule.

For example, they may respond to a request from a regulated entity who seeks guidance on how to act under a specific set of facts that the entity provides.

«Whatever the rights and wrongs of maintaining secrecy about financial donations in Northern Ireland, it can not possibly be right to keep secret the details of a regulated entity being found to have broken electoral law and being fined a substantial amount.

The Commission stated only that it imposed the penalty due to «failures by a regulated entity» but could not «disclose further information» because of legal restrictions.

Bryant has asked Brokenshire to confirm who the «regulated entity» is, and whether the fine relates to the unprecedented # 435,000 donation given to Mrs May's Westminster allies, the Democratic Unionist Party (DUP), in order to campaign for Brexit.

We think this is particularly meaningful for regulated financial institutions - for whom this is the first opportunity to trade bitcoin via a similarly regulated entity.

The central bank also said that the regulated entities which already provide such services will have to end the relationship within a specified time».

Both were written by regulators and regulating entities competing directly with the fixed indexed annuity marketplace and «various media reports» no doubt written by entities whose advertising is supported by annuity competitors.

On Friday, the State Bank of Pakistan prohibited regulated entities from facilitating cryptocurrency - related transactions.

«Regulated entities which already provide such services shall exit the relationship within a specified time.»

Expectations are for banks» proprietary trading to generally decline further or to be shifted to less regulated entities in response to regulatory reforms targeting these activities (Duffie (2012)-RRB-.

At the identical time, the central financial institution has formally banned regulated entities resembling banks from coping with or offering companies to people or companies coping with digital currencies.

«Notwithstanding DOL's current efforts to extend the BIC Exemption's applicability date, its own guidance recognizes that regulated entities such as Thrivent «may incur undue expense to comply with conditions or requirements that [DOL] ultimately determines to revise or repeal,»» the Nelson opinion reads.

The central bank has given three months to regulated entities like banks to unwind their positions with the entities related to cryptocurrencies, RBI Deputy Governor BP Kanungo said -LSB-...]

India virtually banned cryptocurrencies like bitcoin with the Reserve Bank of India barring regulated entities from providing services to any individual or business dealing in digital currencies.

Please click on the links above for more information about the requirements of the law for the four regulated entities.

«The prohibition would force swaps into less regulated entities, increasing systemic risk by pushing transactions into the very «shadow market» which played such a large role in the recent crisis,» Bloomberg said.

«Under Administrator Pruitt, commonsense public health and environmental protections are being slated for elimination with no regard for scientific evidence and little justification beyond the wishes of regulated entities,» Tonko said in his opening remarks.

Our operating administrations have circulated this information to their regulated entities through several means, which may include their Internet Web sites, rulemaking documents, inspection handouts, guidance materials, pamphlets, and information materials disseminated to trade associations.

We may also conduct inspections, review records or reports, and take other steps to ensure regulated entities understand and are complying with our rules.

An agency may take a variety of actions after it issues final rules to help regulated entities and others comply with the rules.

Our objective is to help our regulated entities achieve compliance with our rules.

(1) Description of Regulated Entities and Impacts: The «universe» of the entities to be considered generally includes only those small entities that are reasonably expected to be directly regulated by this action.

The regulators haven't done well in setting up rating agencies of their own, so let the rating agencies continue on, but let the regulators be smarter in how they set the capital levels (higher for structured products than for corporates and munis, because of loss severity leverage), and what they allow regulated entities to invest in.

The prior BB article is a little deceptive, because regulated entities use them under regulation.

Quantitative disclosures for Standard Life Aberdeen regulated entities are included in the relevant publication in accordance with regulatory guidance:

The included websites are not owned or operated by CySEC - regulated entities and investors should be cautious when engaging with any of them.

Regulators must bar regulated entities from buying financial instruments that can not easily be valued.

Regulated entities I understand.

Regulated entities must be safe institutions even if it hurts their ROEs.