INTRODUCING BROKER Sample Clauses
The 'Introducing Broker' clause defines the role and responsibilities of an introducing broker within an agreement. Typically, this clause outlines that the introducing broker is responsible for referring clients to a principal broker or financial institution, without directly handling client funds or executing transactions. For example, the introducing broker may provide marketing or client onboarding services, but all trading activities and account management remain with the principal broker. The core function of this clause is to clarify the scope of the introducing broker’s involvement, ensuring all parties understand the limits of their authority and reducing the risk of misunderstandings regarding client interactions and regulatory obligations.
INTRODUCING BROKER. 17. 1 THE COMPANY AND INTRODUCING BROKER ARE WHOLLY SEPARATE AND INDEPENDENT FROM ONE ANOTHER. THE CUSTOMER AGREEMENT WITH THE COMPANY AND THE INTRODUCINT BROKER DOES NOT ESTABLISH A JOINT VENTURE OR PARTNERSHIP AND THE INTRODUCING BROKER IS NOT AN AGENT OR AN EMPLOYEE OF THE COMPANY.
INTRODUCING BROKER. You understand and agree that if your Account with us is introduced by an Introducing Broker, the Introducing Broker:
(a) may not have the right to enter into any trades on your behalf (unless they are an Authorised Person); and
(b) may be authorised by us to view trades on your Account.
INTRODUCING BROKER. You understand and agree that if your Account with us is introduced by an Introducing Broker, that Introducing Broker shall have the right to access your Account, but the Introducing Broker shall not have the right to enter into any trades on your Account unless authorised by you under a power of attorney between you and the Introducing Broker granting such Introducing Broker the right to trade on your Account.
INTRODUCING BROKER. ▇▇▇▇▇▇▇ & Company (UK) Ltd. (the “Introducing Broker”), a broker-dealer licensed with the Financial Industry Regulatory Authority, has been engaged as a broker to introduce potential investors to the offering of the Notes pursuant to the terms of an introducing broker agreement entered into between the Company and the Introducing Broker. At each Closing, the Introducing Broker will be paid a total commission of 10% of funds raised from investors in the Notes. The Introducing Broker shall be entitled to share the cash fees with other broker-dealers that may introduce Buyers to the offering of the Notes.
INTRODUCING BROKER. Customer acknowledges that JMI Brokers LTD is not responsible for the conduct, representations and statements of the introducing broker or its associated persons in the handling of Customer’s account. Customer agrees to waive any claims Customer may have against JMI Brokers LTD and to indemnify and hold JMI Brokers LTD harmless for any actions or omissions of the introducing broker or its associated persons.
INTRODUCING BROKER. If the Client is referred to Rakuten Securities Australia by an introducing broker, referring party or third party advisor (each, an “IB”), Rakuten Securities Australia and the Client’s IB are wholly separate and independent from one another and there exists no joint venture or partnership relationship between the parties. Additionally, neither the IB nor any other employee or agent of the IB is an agent or employee of Rakuten Securities Australia.
INTRODUCING BROKER. If your account is introduced to us, you acknowledge and agree that:
47.1. the Company is a separate and independent Entity from the Introducing Broker and the Company shall not be responsible or accountable or liable for the conduct and/or representations of the Introducing Broker.
47.2. The Company is not bound by any separate Agreements entered into between the Client and the Introducing Broker.
47.3. It is hereby agreed and understood that although the Company cooperates with the Introducing Broker, it is not possible for the Company to control the information, services, marketing material or representations made by the Introducing Brokers and for this reason the Company is not bound by any representations, services, commitments, promises, assurances or guarantees made by the Introducing Broker to the Client, even if these appear to have been made on behalf of the Company and/or authorized by the Company or by any marketing or promotional material distributed by the Introducing Broker concerning the Company.
47.4. The Company does not guarantee the correctness, accuracy, suitability, completeness or practicality of any information or representations or services or
47.5. Relying or using any information or representations or services or advertising/ marketing material provided by the Introducing Broker is at the Client’s own risk and the Company SPECIFICALLY DISCLAIMS any liability.
47.6. The Client acknowledges and confirms that his Agreement or relationship with the Introducing Broker may result in additional Costs, since the Company may pay Commission Fees or Charges to the Introducing Broker. Such Commission Fees or Charges will be disclosed in more detail to the Client as provided under Applicable Regulations and upon specific request of the Client.
47.7. The Client acknowledges and confirms that his Agreement or relationship with the Introducing Broker may give raise to Conflict of interest issues which might be to the disadvantage of the client. If the client wishes to eliminate all the possibilities and chances of such conflicts of interest with the specific Introducing Broker, the Clients shall immediately inform us and terminate any existing relationship with the Introducing Broker immediately.
47.8. The Client is hereby notified, that any Introducing partner (however he would
INTRODUCING BROKER. If the Client is referred to AT Global Markets (Australia) by an introducing broker, referring party or third party advisor (each, an “IB”), AT Global Markets (Australia) and the Client’s IB are wholly separate and independent from one another and there exists no joint venture or partnership relationship between the parties. Additionally, neither the IB nor any other employee or agent of the IB is an agent or employee of AT Global Markets (Australia).
INTRODUCING BROKER. If the Client is referred to AT Global Markets (Australia) by an introducing broker, referring party or third party advisor (each, an “IB”),
INTRODUCING BROKER. If your account is introduced to us, you acknowledge and agree that:
47.1 the Company is a separate and independent Entity from the Introducing Broker and the Company shall not be responsible or accountable or liable for the conduct and/or representations of the Introducing Broker.
47.2 The Company is not bound by any separate Agreements entered into between the Client and the Introducing Broker.
47.3 It is hereby agreed and understood that although the Company cooperates with the Introducing Broker, it is not possible for the Company to control the information, services, marketing material or representations made by the Introducing Brokers and for this reason the Company is not bound by any representations, services, commitments, promises, assurances or guarantees made by the Introducing Broker to the Client, even if these appear to have been made on behalf of the Company and/or authorized by the Company or by any marketing or promotional material distributed by the Introducing Broker concerning the Company.
47.4 The Company does not guarantee the correctness, accuracy, suitability, completeness or practicality of any information or representations or services or advertising/ marketing material provided by the Introducing Broker to the Client.
47.5 The Client acknowledges and confirms that his Agreement or relationship with the Introducing Broker may result in additional Costs, since the Company may pay Commission Fees or Charges to the Introducing Broker. Such will be disclosed to the Client as provided under Applicable Regulations.