Capital Markets Business definition

Capital Markets Business means any and all sales and trading, proprietary trading, brokerage, research, underwriting and distribution services (including related joint ventures and alliances but excluding private placement group and private fund advisory group), or private investments in public equities (or PIPEs) or Rule 144A offerings of equity, debt or convertible securities, provided by or on behalf of Lazard Group or any of its Subsidiaries (including, for the avoidance of doubt, any LFCM Company) or any predecessor companies, in each case in the United States and in the United Kingdom and whether provided at any time prior to or at the Distribution Time and includes the formation of Funds described in Schedule 1.1(c)attached hereto; provided, however, that, for the avoidance of doubt, any activities currently conducted by (a)
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Capital Markets Business means any and all sales and trading, proprietary trading, broking, research, underwriting and distribution services (including related joint ventures and alliances but excluding private placement and private fund advisory groups) provided by or on behalf of Lazard Group or any of its Subsidiaries (including, for the avoidance of doubt, any LFCM Company) and any predecessor companies, in each case in the United States and in the United Kingdom and whether provided at any time prior to or at the Distribution Time; provided, however, that, for the avoidance of doubt, any activities currently conducted by Lazard Frères S.A.S. or any of its Subsidiaries (other than any interest held by Lazard Frères S.A.S. in Three Houses Investment Company Limited) or by Lazard Italy Limited or any of its Subsidiaries shall not be included in the Capital Markets Business.
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Capital Markets Business means any and all sales and trading, proprietary trading, brokerage, research, underwriting and distribution services (including related joint ventures and alliances but excluding private placement group and private fund advisory group), or private investments in public equities (or PIPEs) or Rule 144A offerings of equity, debt or convertible securities, provided by or on behalf of Lazard Group or any of its Subsidiaries (including, for the avoidance of doubt, any LFCM Company) or any predecessor companies, in each case in the United States and in the United Kingdom and whether provided at any time prior to or at the Distribution Time and includes the formation of Funds described in Schedule 1.1(c) attached hereto; provided, however, that, for the avoidance of doubt, any activities currently conducted by Lazard Frères S.A.S. or any of its Subsidiaries (other than any interest held by Lazard Frères S.A.S. in Three Houses Investment Company Limited) or by Lazard Italy Limited or any of its Subsidiaries shall not be included in the Capital Markets Business.
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Examples of Capital Markets Business in a sentence

  • Accountancy Actuarial Science Capital Markets Business / Business Administration / Business Management / Business StudiesCommerceEconomicsFinanceFinancial EngineeringFinancial PlanningInsuranceComputational FinanceNo, none of the aboveIf ‘Yes’:Awarding Institution: Year of award: 3.

  • Subject to CMA approval, FNZ may acquire shared assets (including technical staff and SMEs), used by the Global GBST Capital Markets Business at the Approved Purchaser’s absolute discretion provided FNZ’s acquisition of such assets, technical staff and/or SMEs does not adversely affect the operation or competitiveness of GBST’s Global Wealth Management Business.

  • By signing below, you are confirming, as of your execution of this letter agreement, your intention and agreement to remain with the Xxxx Xxxxx Capital Markets Business through that period and to accept the employment offer made by Stifel pursuant to this letter agreement.

  • In addition to the assets and operations listed in paragraph 2 of this Annex 1, the Approved Purchaser shall have discretion to sell back any other assets used by the Global GBST Capital Markets Business to FNZ as long as this does not include any shared assets that are material to the ongoing operation of, or the absence of which may have an adverse impact on, the Global GBST Wealth Management Business.

  • In this capacity, she was in-charge of all Investment Banking, Structured Finance and Capital Markets Business for Indian companies as well as multinationals investing in India.Prior to this, Ms. Bhandarkar worked with JP Morgan in India with the last role being Managing Director and Head of the India investment banking business.

  • Effective as of your signing of this letter agreement, you agree to keep confidential, and not disclose to third parties, the terms of these employment arrangements, any discussions relating to a possible transaction between Stifel and Citigroup relating to the Xxxx Xxxxx Capital Markets Business or otherwise, or any other nonpublic information obtained during your employment.

  • If Stifel terminates your employment prior to the third anniversary of the Effective Date for any reason other than for Cause, or if you terminate for Good Reason, (a "Termination Event"), you will receive a severance payment equal to two week's pay per year of service with the Xxxx Xxxxx Capital Markets Business and Stifel.

  • This is a conditional offer of employment and, except as otherwise set forth in this letter agreement, this letter agreement is conditioned upon your continued employment with the Xxxx Xxxxx Capital Markets Business through the Effective Date (provided that the Effective Date is not later than March 31, 2006).

  • This Agreement is intended to meet the requirements of Section 409A of the Internal Revenue Code, and shall be interpreted and construed and administered consistent with that intent.

  • Coventree Capital Inc., a subsidiary of Coventree which was commonly known as the Capital Markets Business Unit of Coventree, was registered with the Commission as a limited market dealer from October 16, 2006 to December 31, 2008.


More Definitions of Capital Markets Business

Capital Markets Business means the business of the capital markets unit of the Company consisting of operations relating to the trading of equity and fixed income securities; underwriting of government, agency, mortgage-backed, and corporate securities; public finance activities; syndicate participations; proprietary analyst research; and merger and acquisition financial advisory services. "Capital Markets Business" shall not include the business or operations conducted by the Private Clients Business or by Boston Advisers Inc., or the business formerly conducted by Advest Trust Company.
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Capital Markets Business means the investment banking, proprietary trading and institutional business (other than "middle-market" institutional) of Company as conducted by Company on the date hereof.
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Capital Markets Business means any and all sales and trading, proprietary trading, brokerage, research, underwriting and distribution services (including related joint ventures and alliances but excluding private placement group and private fund advisory group), or private investments in public equities (or PIPEs) or Rule 144A offerings of equity, debt or convertible securities, provided by or on behalf of Lazard Group or any of its Subsidiaries (including, for the avoidance of doubt, any LFCM Company) or any predecessor companies, in each case in the United States and in the United Kingdom and whether provided at any time prior to or at the Distribution Time and includes the formation of Funds described in Schedule 1.1(c) attached hereto; provided, however, that, for the avoidance of doubt, any activities currently conducted by (a) Lazard Freres
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Related to Capital Markets Business

  • Capital Markets Debt means any debt securities or debt financing issued pursuant to an indenture, notes purchase agreement or similar financing arrangement (but excluding any credit agreement) whether offered pursuant to a registration statement under the Securities Act or under an exemption from the registration requirements of the Securities Act.

  • Financial Services Business for purposes of this Unit Agreement shall mean the business of banking, including deposit, credit, trust and investment services, mortgage banking, asset management, and brokerage and investment banking services. (C) The term "Managerial Responsibilities" for purposes of this Unit Agreement shall mean managerial and supervisory responsibilities and duties that are substantially the same as that Grantee is performing for SunTrust or a SunTrust Affiliate on the date of this Unit Agreement. (D) The term "SunTrust Affiliate" for purposes of this Unit Agreement shall mean any corporation which is a subsidiary corporation (within the meaning of §424(f) of the Code) of SunTrust except a corporation which has subsidiary corporation status under §424(f) of the Code exclusively as a result of SunTrust or a SunTrust Affiliate holding stock in such corporation as a fiduciary with respect to any trust, estate, conservatorship, guardianship or agency. (E) The term "Territory" for purposes of this Unit Agreement shall mean the states of Alabama, Florida, Georgia, Maryland, North Carolina, South Carolina, Tennessee, Virginia, and the District of Columbia, which are the states and Territories in which SunTrust has significant operations on the date of this Unit Agreement. (F) "Trade Secret" for purposes of Unit Agreement shall mean information, including, but not limited to, technical or nontechnical data, a formula, a pattern, a compilation, a program, a device, a method, a technique, a drawing, a process, financial data, financial plans, product plans, or a list of actual or potential customers or suppliers that: (i) derives economic value, actual or potential, from not being generally known to, and not being readily ascertainable by proper means by, other persons who can obtain economic value from it is disclosure or use, and (ii) is the subject of reasonable efforts by SunTrust or a SunTrust Affiliate to maintain its secrecy.

  • Financial Markets means international financial markets in which currency and other financial assets exchange rates are determined in multi-party trade.

  • Financial Markets Act means the Financial Markets Act, 2012 (Act No. 19 of 2012);

  • Alarm business means the business by any individual, partnership, corporation, or other entity of selling, leasing, maintaining, servicing, repairing, altering, replacing, moving or installing any alarm system or causing to be sold, leased, maintained, serviced, repaired, altered, replaced, moved or installed any alarm system in or on any building, structure or facility.

  • Pink OTC Markets means the OTC Markets Group Inc. electronic inter-dealer quotation system, including OTCQX, OTCQB and OTC Pink.

  • Capital Markets Indebtedness means any Indebtedness consisting of bonds, debentures, notes or other similar debt securities issued in (a) a public offering registered under the Securities Act, (b) a private placement to institutional investors that is resold in accordance with Rule 144A or Regulation S of the Securities Act, whether or not it includes registration rights entitling the holders of such debt securities to registration thereof with the SEC or (c) a placement to institutional investors. The term “Capital Markets Indebtedness” shall not include any Indebtedness under commercial bank facilities or similar Indebtedness, Capitalized Lease Obligation or recourse transfer of any financial asset or any other type of Indebtedness incurred in a manner not customarily viewed as a “securities offering.”

  • Parent Business shall have the meaning set forth in the Separation and Distribution Agreement.

  • Cannabis business means any business activity involving cannabis, including but not limited to cultivating, transporting, distributing, manufacturing, compounding, converting, processing, preparing, storing, packaging, delivering, testing, dispensing, retailing and wholesaling of cannabis, of cannabis products or of ancillary products and accessories, whether or not carried on for gain or profit.

  • Marketplace seller means a seller that makes one or more retail sales through a marketplace that a marketplace facilitator owns, operates, or controls, regardless of whether the seller is required to be registered to collect and remit the tax under this part.

  • Markets means the stock exchanges and regulated markets set out in Appendix I;

  • PJM Markets means the PJM Interchange Energy and capacity markets, including the RPM auctions, together with all bilateral or other wholesale electric power and energy transactions, capacity transactions, ancillary services transactions (including black start service), transmission transactions and any other market operated under the PJM Tariff or Operating Agreement within the PJM Region, wherein Market Participants may incur Obligations to PJMSettlement. PJM Market Rules:

  • food business means any undertaking, whether for profit or not and whether public or private, carrying out any of the activities related to any stage of production, processing and distribution of food;

  • link services means all new services necessary to connect the internal services to the bulk services; and

  • Related Business means any business that is related, ancillary or complementary to the businesses of the Company and the Restricted Subsidiaries on the Issue Date.

  • Large group market means the health insurance market under which individuals obtain health

  • Micro Business means a company which either:

  • Local Marketing Agreement means, a local marketing agreement, time brokerage agreement or similar arrangement pursuant to which a Person, subject to customary licensee preemption rights and other limitations, obtains the right to exhibit programming and sell advertising time constituting 15% or more of the air time per week of a television broadcast station licensed to another Person.

  • Direct Marketing ’ means to approach a data subject, either in person or by mail or electronic communication, for the direct or indirect purpose of—

  • Public business means and includes all matters which relate in any way, directly or indirectly, to the performance of the public body’s functions or the conduct of its business.

  • Portal Market means The Portal Market operated by the National Association of Securities Dealers, Inc. or any successor thereto.

  • banking business means the business of accepting deposits withdrawable or repayable on demand or after a fixed period or after notice and the employment of those deposits, in whole or in part, by lending or any other means for the account and at the risk of the person accepting the deposits;

  • Telecommunications Business means the business of (i) transmitting, or providing services relating to the transmission of, voice, video or data through owned or leased transmission facilities, (ii) creating, developing or marketing communications related network equipment, software and other devices for use in a Telecommunications Business or (iii) evaluating, participating or pursuing any other activity or opportunity that is primarily related to those identified in (i) or (ii) above; provided that the determination of what constitutes a Telecommunications Business shall be made in good faith by the Board of Directors of the Guarantor.

  • Excluded Business has the meaning set forth in Section 6.10.

  • LLC means Limited Liability Company.

  • regulated business means a business which is required to be licensed under one or other of the regulatory laws;