Broker or Custodian definition

Broker or Custodian means each securities company, custodian, organisation or entity that is a depository participant that is: (i) approved by TSD (as the sole Central Securities Depository in Thailand) to use its depositing, withdrawing, and transferring securities services or its clearing for transfer of securities services as a depositor; and (ii) keeping the tendered Source Bonds owned by each relevant Eligible Bondholder under its account(s) in the depository system provided by the TSD.
View Source

Examples of Broker or Custodian in a sentence

  • Contractor will permit County, or any duly authorized agent of County, to inspect and examine the books and records of Contractor for the purpose of verifying the amount of work performed under the Scope of Services.

  • All information and recommendations furnished by GBM Wealth Management to Client and all information regarding the operation and investment of Assets in the Account, including but not limited to any non-public personal information about Client that GBM Wealth Management receives from Client, Broker or Custodian (“Customer Information”), shall be regarded and treated as confidential by the parties hereto.

  • The parties further understand and acknowledge that GBM Wealth Management is a financial institution subject to federal and state customer and consumer privacy law and regulations, including Title V of the ▇▇▇▇▇-▇▇▇▇▇-▇▇▇▇▇▇ Act (15 U.S.C. 6801, et seq.) and regulations promulgated thereunder, such as Regulation S-P (collectively, the “Privacy Laws”), and any Customer Information that GBM Wealth Management receives from Client, Broker or Custodian is received with limitations on its use and disclosure.

  • Further, Client acknowledges and agrees that GBM Wealth Management will not be responsible for advising the Client on the Broker or Custodian with respect to services, trade execution quality, etc.

  • Advisor and each of its members, officers, employees and other applicable representative as well as their respective successors, assignees and transferees will not be responsible for any loss incurred by reason of any act or omission of Broker or Custodian.

  • Client hereby acknowledges and agrees that if a Broker or Custodian identified Exhibit A was selected by the Client independently, that such Broker or Custodian was not recommended to the Client by GBM Wealth Management.

  • The parties further understand and acknowledge that GBM Wealth Management is a financial institution subject to federal and state customer and consumer privacy law and regulations, including Title V of the ▇▇▇▇▇-▇▇▇▇▇- ▇▇▇▇▇▇ Act (15 U.S.C. 6801, et seq.) and regulations promulgated thereunder, such as Regulation S-P (collectively, the “Privacy Laws”), and any Customer Information that GBM Wealth Management receives from Client, Broker or Custodian is received with limitations on its use and disclosure.

  • Advisor is not responsible for any reports furnished to Client by Broker or Custodian for the Account.

  • Client acknowledges that, unless otherwise disclosed in writing to Client, neither Adviser nor any of its representatives are agents of Broker or Custodian, and that no party shall be liable for any act or omission of another party or their agents or employees.

  • By signing this Agreement, as well as the Broker or Custodian account opening documents, Client authorizes the withdrawal of advisory fees from the Account.