Dual Representative definition

Dual Representative means a Registered Representative of UMBDS, who is also an employee of an investment advisor, or other firms such as third party marketers, of investment companies or others for which UMBDS or its affiliates act as agent and/or provide other services.
Sample 1Sample 2
Dual Representative has the meaning ascribed to it in Section 2(k)(ii).
Sample 1
Dual Representative has the meaning set forth in Section 6.08(c).
Sample 1

Examples of Dual Representative in a sentence

  • Distributor may terminate the registration with Distributor of any such Dual Representative with or without cause at any time, in its sole discretion.

  • Each Dual Representative shall be subject to and shall comply fully with such operating and other policies and procedures as may be established from time to time by Distributor and communicated to such Dual Representative (the “Procedures”) and all applicable laws, rules and regulations.

  • Insurance Agency shall terminate or suspend from all Variable Products activities conducted by Insurance Agency any Dual Representative whom the SEC, the NASD or any other self-regulatory organization bars or suspends from association with Broker/Dealer or any other broker/dealer.

  • The parties will notify each other promptly if either receives any customer complaint or notice of any regulatory investigation or proceeding or judicial proceeding with respect to their respective activities or the activities of any Dual Representative.

  • Broker/Dealer shall ensure that each Dual Representative will be registered and qualified as necessary with the NASD and any appropriate state regulatory authority, and will be deemed an associated person of Broker/Dealer within the meaning of Section 3(a)(18) of the 0000 Xxx.

  • In no event and under no circumstances shall any Dual Representative provide investment advice or make any recommendations about any investment including an investment in the Funds during the scope of such Dual Representative’s registration by Distributor pursuant to this Agreement.

  • As discussed in Sections V(F) and VI, if circumstances warrant, the Member(s) of UMBDS may ban an Access Person, or a Dual Representative that is not an Access Person (and a Registered Representative supervising such Dual Representative), from all personal securities transactions or require the pre-clearance of any such transactions, or impose such other restrictions as it deems necessary or appropriate.

  • Each Dual Representative shall be subject to and shall comply fully with such operating and other policies and procedures as may be established from time to time by Distributor and communicated to such Dual Representative (the "Procedures") and all applicable laws, rules and regulations.

  • Initial checks and applications for the purchase of variable contracts, and any subsequent payments, will be sent directly by the customer to the insurance company or will be forwarded to the insurance company by the BD or its Dual Representative by noon of the business day following their receipt or in compliance with FINRA Rule 2330 or any rule that supersedes it.

  • In no event and under no circumstances shall any Dual Representative provide investment advice or make any recommendations about any investment including an investment in the Funds during the scope of such Dual Representative's registration by UMBDS pursuant to this Agreement.


More Definitions of Dual Representative

Dual Representative means each of Bxxxxx Xxx, Axxxx Xxxxxxx, Sxxxxx Xxxxxxxxxxx and Mxxxxx Xxxxxx.
Sample 1

Related to Dual Representative

  • Departmental Representative means the person designated in the Contract, or by written notice to the Contractor, to act as the Departmental Representative for the purposes of the Contract, and includes a person, designated and authorized in writing by the Departmental Representative to the Contractor;

  • Personal representative means the person or persons who, upon the disability or incompetence of a Participant, shall have acquired on behalf of the Participant, by legal proceeding or otherwise, the power to exercise the rights or receive benefits under this Plan and who shall have become the legal representative of the Participant.

  • Collateral Representative (i) in respect of the ABL/Term Loan Intercreditor Agreement, the ABL Collateral Representative (as defined therein) and the Term Loan Collateral Representative (as defined therein), (ii) if any Junior Lien Intercreditor Agreement is then in effect, the Senior Priority Representative (as defined therein) and (iii) if any Other Intercreditor Agreement is then in effect, the Person acting as representative for the Collateral Agent and the Secured Parties thereunder for the applicable purpose contemplated by this Agreement and the Guarantee and Collateral Agreement.

  • Principal representative means a senior official of the United States Government serving in a foreign country who has been designated by the Secretary of State as occupying a position of such importance that the Government should defray the unusual expenses incident to the operation and maintenance of his/her official residence.

  • Legal representative means a person who in law represents the estate of a deceased person, and includes any person who intermeddles with the estate of the deceased, and, where a party acts in a representative character, the person on whom the estate devolves on the death of the party so acting;

  • public representative means an individual who is not a member, former member, student or former student of any accounting body;

  • Estate Representative means an executor, an administrator, an administrator with the will annexed, a liquidator, or an estate trustee with a will or without a will, whether one or more than one is so appointed;

  • Representative means the indenture trustee or other trustee, agent or representative for any Senior Debt.

  • Union Representative means a representative from the Union authorized by the Union to act on behalf of an Employee.

  • legal personal representative means the personal or other legal representative of the shareholder;

  • accredited representative means an individual whose name is included on the Police Station Register and who is accredited by a body recognised by us as competent to grant such accreditation;

  • Designated Representative has the meaning set forth in Section 6(j)(v) of this Agreement.

  • Registered Representative is defined as a duly registered representative of Broker-Dealer, in good standing, with the authority to sell Contracts as required by the Financial Industry Regulatory Authority, Inc. (hereinafter “FINRA”) and who is appointed as a non exclusive agent of the Company and properly licensed and appointed in accordance with applicable laws and regulations and the Company’s Licensing, Appointment and Registration policy, as amended from time to time.

  • Appointed Representative has the meaning set forth in Section 10.1.

  • Association Representative A member of the Association, who has been designated as a representative by the Association or a staff person of the Association.

  • Tax Representative has the meaning set forth in Section 11.4.

  • District Representative means the Superintendent of the District, or any other person authorized by the Board of Education of the District to act on behalf of the District under or with respect to this Facilities Lease.

  • Designated Representatives means the Subordination Agent Representatives, the Trustee Representatives and the Provider Representatives identified under Section 2.5.

  • Foreign personal representative means a personal representative appointed by another jurisdiction.

  • Partnership Representative has the meaning set forth in Section 5.2(a).

  • Bargaining representative means a labor organization recognized by an employer or certified by the commission as the sole and exclusive bargaining representative of certain employees of the employer.

  • Authorised Representatives the persons respectively designated as such by the Authority and the Supplier, the first such persons being set out in Schedule 4. Bribery Act: the Xxxxxxx Xxx 0000 and any subordinate legislation made under that Act from time to time together with any guidance or codes of practice issued by the relevant government department concerning the legislation. Change: any change to this agreement including to any of the Services. Change Control Note: the written record of a Change agreed or to be agreed by the parties pursuant to the Change Control Procedure.

  • Commission Representative means the person assigned, in writing, by the Executive Director to be the Commission’s Representative for the project.

  • Advisory representative means any Supervised Person, who in connection with his or her regular functions or duties, normally makes, participates in, or otherwise obtains current information regarding the Purchase or Sale of a Security by the Firm, or whose functions relate to the making of any recommendations with respect to such purchases or sales, and any natural Person in a Control relationship to the Firm who obtains information concerning recommendations made concerning a Purchase or Sale of a Security. This definition includes but is not limited to the following: partner, officer, Manager, investment person, Portfolio Manager and any other Supervised Person of the Firm designated as an “Advisory Representative” from time to time by the Review Officer.

  • Authorised Representative means any natural or legal person established within the Union who has received a written mandate from a manufacturer to act on his behalf in relation to specified tasks;

  • Successor personal representative means a personal representative, other than a special administrator, who is appointed to succeed a previously appointed personal representative.