client (2) For the purposes of subregulation (1), "client" refers to — (a) where the transaction took place in the ordinary course of business at a stock market of a stock exchange and the dealer entered into the transaction otherwise than as principal, the person for whom the dealer entered into the transaction; (b) where the transaction did not take place in the ordinary course of business at a stock market of a stock exchange and the dealer entered into the transaction otherwise than as principal, the person with whom the dealer entered into the transaction; and (c) where the transaction did not take place in the ordinary course of business at a stock market of a stock exchange and the dealer entered into the transaction as principal, the person with whom the dealer entered into the transaction. PU(A) 37/1997 - SECURITIES INDUSTRY (DEALER’S CONTRACT NOTE) REGULATIONS 1997 3. Issue of contract note.
client "client" includes, - (a) in relation to contentious business, any person who as a principal or on behalf of another person retains or employs, an advocate and solicitor, and any person who is or may be liable to pay a solicitor's costs; (b) in relation to non-contentious business, any person, who as a principal or on behalf of another, or as a trustee, executor or administrator, or in any other capacity, has power, express or implied, to retain or employ, and retains or employs, an advocate and solicitor, and any person for the time being liable to pay an advocate and solicitor for his service and costs; ACT 166 - LEGAL PROFESSION ACT 1976 3. Interpretation.
client "client", in relation to a futures broker, means a person on behalf of whom the broker trades or from whom the broker accepts instructions to trade, in futures contracts, but does not include the broker; ACT 499 - FUTURES INDUSTRY ACT 1993 52. Interpretation.
client "client" means- (a) in relation to a futures broker, a person- (i) on whose behalf the futures broker trades; or (ii) from whom the futures broker accepts instructions to trade, in futures contracts; or (b) in relation to a futures fund manager, a person- (i) on whose behalf the futures fund manager invests money; or (ii) from whom the futures fund manager accepts instructions to invest money, in relation to trading in futures contracts; ACT 499 - FUTURES INDUSTRY ACT 1993 2. Interpretation.
client "client" means a person who enters into an agreement with an unlicensed person in the circumstances referred to in section 35B, 35c or 35D, as the case requires, but does not include an excluded client; ACT 499 - FUTURES INDUSTRY ACT 1993 35A. Interpretation.
client "client" includes a customer; ACT 613 - ANTI-MONEY LAUNDERING AND ANTI-TERRORISM FINANCING ACT 2001 3. Interpretation.
client "client" means any person on whose account a solicitor holds or receives client’s money; PU(A) 301/1990 - SOLICITORS’ ACCOUNT RULES, 1990 2. Definition.
client "client" means an individual or a sole proprietor who is eligible to refer a dispute to the approved body corporate; PU(A) 437/2010 - CAPITAL MARKETS AND SERVICES (DISPUTE RESOLUTION) REGULATIONS 2010 2. Interpretation
client "client" includes a customer; ACT 618 - DEVELOPMENT FINANCIAL INSTITUTIONS ACT 2002 3. Interpretation.
client "client", in relation to a holder of a Capital Markets Services Licence, means- (a) a person on whose behalf the holder carries on or will carry on any regulated activity; or (b) any other person with whom the holder, as principal, enters or will enter into transactions- (i) for purposes of dealing in securities; or (ii) for purposes of trading in futures contracts, but does not include such person or class of persons as may be prescribed; "close out", in relation to a futures contract, means to discharge the obligations of a person in the long position or short position under a futures contract and shall include the discharge of these obligations as a result of the matching up of the futures contract with a futures contract of the same kind under which the person has assumed an offsetting short position or offsetting long position, as the case may be; ACT 671 - CAPITAL MARKETS AND SERVICES ACT 2007 2. Interpretation.
client "client" means a person who engages a registered firm and is responsible for the payment of the registered firm's fees in respect of the services rendered by the registered firm; PU(A) 64/1986 - VALUERS, APPRAISERS AND ESTATE AGENTS RULES 1986 2. Interpretation
client "client" means- (a) in relation to a futures broker, a person- (i) on whose behalf the futures broker trades; or (ii) from whom the futures broker accepts instructions to trade, in futures contracts; or (b) in relation to a futures fund manager, a person- (i) on whose behalf the futures fund manager invests money; or (ii) from whom the futures fund manager accepts instructions to invest money, in relation to trading in futures contracts; ACT 499 - FUTURES INDUSTRY ACT 1993 [Repealed By Capital Market & Services Act 2007] [Act 671] 2. Interpretation.
client "client" means a person who enters into an agreement with an unlicensed person in the circumstances referred to in section 35B, 35c or 35D, as the case requires, but does not include an excluded client; ACT 499 - FUTURES INDUSTRY ACT 1993 [Repealed By Capital Market & Services Act 2007] [Act 671] 35A. Interpretation.
client "client", in relation to a futures broker, means a person on behalf of whom the broker trades or from whom the broker accepts instructions to trade, in futures contracts, but does not include the broker; ACT 499 - FUTURES INDUSTRY ACT 1993 [Repealed By Capital Market & Services Act 2007] [Act 671] 52. Interpretation.
client "client", in relation to a holder of a Capital Markets Services (a) a person on whose behalf the holder carries on or will carry on any regulated activity; or (b) any other person with whom the holder, as principal, enters or will enter into transactions- (i) for purposes of dealing in securities; or (ii) for purposes of dealing in derivatives, but does not include such person or class of persons as may be prescribed; [Gen. Am. by Act A1406:s.2; Schedule] ACT 671 - CAPITAL MARKETS AND SERVICES ACT 2007 2. Interpretation.
See Also: Translator EN-BM