Electronic Broker(s definition

Electronic Broker(s means broker-dealers that have the ability to electronically feed Access Person personal holdings and transaction information into Compliance Science and which are approved by the firm for this purpose.
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Examples of Electronic Broker(s in a sentence

  • In addition, all Covered Accounts must be maintained with Electronic Brokers; provided that (i) new employees will have 60 calendar days following their start date to transition any Covered Account that is not with an Electronic Broker to an Electronic Broker; and (ii) in the event of a material hardship or any other fact or circumstance that would prevent the establishment or maintenance of a Covered Account with an Electronic Broker, the CCO may waive such requirement.

  • Use the Direct Feed tile to link Approved Electronic Brokers (listed on Schedule C of this policy).

  • Access Persons may not engage in any personal trading (including exempt transactions that do not need to be precleared or reported) until all Covered Accounts are maintained with Electronic Brokers and are being reported via Star Compliance , or such requirement has been waived by the CCO.

  • Access Persons may not engage in any personal trading (including exempt transactions) until all Covered Accounts are maintained with Electronic Brokers and are being reported via Star Compliance, or such requirement has been waived by the CCO, in accordance with Section 9.4(a).

  • Access Persons must maintain Covered Accounts with Electronic Brokers; provided that (i) new employees will have 90 days following their start date to transition any Covered Account that is not with an Electronic Broker to an Electronic Broker; and (ii) in the event of a material hardship or any other fact or circumstance that would prevent the establishment or maintenance of a Covered Account with an Electronic Broker, the Chief Compliance Officer may waive such requirement.

  • If the empty vehicle is required to cover the distance up to weighbridge for ascertaining weighment of empty vehicle, transportation charge will be paid at the same rate as applicable for loaded trucks for both to &fro movement.

  • Furthermore, while Electronic Brokers are available outside of the U.S., Covered Employees outside the United States are not required to use an Electronic Broker.

  • Access Persons may not engage in any personal trading (including exempt transactions that do not need to be precleared or reported) until all Covered Accounts are maintained with Electronic Brokers and are being reported via StarCompliance , or such requirement has been waived by the CCO.

  • Access Persons may not engage in any personal trading (including exempt transactions) until all Covered Accounts are maintained with Electronic Brokers and are being reported via ComplySci, or such requirement has been waived by the CCO, in accordance with Section 9.4(a).

  • In addition, all Covered Accounts must be maintained with Electronic Brokers; provided that (i) new employees will have 90 calendar days following their start date to transition any Covered Account that is not with an Electronic Broker to an Electronic Broker; and (ii) in the event of a material hardship or any other fact or circumstance that would prevent the establishment or maintenance of a Covered Account with an Electronic Broker, the CCO may waive such requirement.

Related to Electronic Broker(s

  • Electronic ballot means a ballot that is recorded using a direct electronic voting

  • Electronic act means the creation or transmission originated on or off the schoolsite, by means of an electronic device, including, but not limited to, a telephone, wireless telephone, or other wireless communication device, computer, or pager, of a communication, including, but not limited to, any of the following:

  • Electronic monitoring means tracking the location of an

  • Electronic Ticket means the Itinerary/Receipt issued by us or on our behalf, the Electronic Coupons and, if applicable, a boarding document.

  • Electronic PHI means PHI created, received, maintained or transmitted electronically in accordance with 45 CFR § 160.103.

  • Electronic agent means a computer program or an electronic or other automated means used independently to initiate an action or respond to electronic records or performances in whole or in part, without review or action by an individual.

  • Electronic recording A mortgage or a mortgage-related document created, generated, sent, communicated, received, or stored by electronic means (that complies with the requirements of the Electronic Signatures in Global and National Commerce Act or the Uniform Electronic Transactions Act, as applicable) that has been accepted for recording by a participating county land records office which accepts such electronic record of a mortgage or a mortgage-related document as an alternative to recordation of the original paper form of such document.

  • Electronic Record and “Electronic Signature” shall have the meanings assigned to them, respectively, by 15 USC §7006, as it may be amended from time to time.

  • Electronic Notice shall be deemed written notice for purposes of this Section 13 if sent to the electronic mail address specified by the receiving party under separate cover. Electronic Notice shall be deemed received at the time the party sending Electronic Notice receives verification of receipt by the receiving party. Any party receiving Electronic Notice may request and shall be entitled to receive the notice on paper, in a nonelectronic form (“Nonelectronic Notice”) which shall be sent to the requesting party within ten (10) days of receipt of the written request for Nonelectronic Notice.

  • Electronic Bonding is a real-time and secure electronic exchange of data between information systems in separate companies. Electronic Bonding allows electronic access to services which have traditionally been handled through manual means. The heart of Electronic Bonding is strict adherence to both International and National standards. These standards define the communication and data protocols allowing all organizations in the world to exchange information.

  • Electronic Record(s means the electronic record as defined under clause (t) of subsection (1) of section 2 of the Information Technology Act, 2000.

  • electronic address means any number or address used for the purposes of sending or receiving notices, documents or information by electronic means;

  • Electronic cigarette means any oral device that provides a vapor of liquid nicotine, lobelia, and/or other similar substance, and the use or inhalation of which simulates smoking. The term shall include any such devices, whether they are manufactured, distributed, marketed, or sold as e-cigarettes, e-cigars, e-pipes, or under another product name or descriptor.

  • Electronic Data Interchange or “EDI technology” means the computer-to-computer exchange of business transactions in a standardized, structured electronic format.

  • Electronic Waste means a: computer; computer monitor; computer peripheral device containing a cathode ray tube; printer; or television sold to a covered entity. “Electronic waste” does not include: any motor vehicle or any part thereof; a camera or video camera; a portable or stationary radio; a wireless telephone; a household appliance, such as a clothes washer, clothes dryer, water heater, refrigerator, freezer, microwave oven, oven, range, or dishwasher; equipment that is functionally or physically part of a larger piece of equipment intended for use in an industrial, research and development, or commercial setting; security or antiterrorism equipment; monitoring and control instruments or systems; thermostats; handheld transceivers; a telephone of any type; a portable digital assistant or similar device; a calculator; a global positioning system receiver or similar navigation device; commercial medical equipment that contains a cathode ray tube, a cathode ray tube device, a flat panel display, or similar video display that is not separate from the larger piece of equipment; or other medical devices, as the term “device” is defined under 21 U.S.C. § 321(h) of the Federal Food, Drug, and Cosmetic Act, as that section is amended from time to time.

  • Electronic Services means a service provided by us, for example an Internet trading service offering clients access to information and trading facilities, via an internet service, a WAP service and/or an electronic order routing system.

  • Electronic part means an integrated circuit, a discrete electronic component (including, but not limited to, a transistor, capacitor, resistor, or diode), or a circuit assembly (section 818(f)(2) of Pub. L. 112-81).

  • Electronic filing means a document that is filed under securities legislation or securities directions in electronic format or the act of filing a document under securities legislation or securities directions in electronic format, as the context indicates;

  • Electronic Media means media that utilize electronics or electromechanical energy for the end user (audience) to access the content; and includes, but is not limited to, electronic storage media, transmission media, the Internet, extranet, lease lines, dial-up lines, private networks, and the physical movement of removable/transportable electronic media and/or interactive distance learning.

  • electronic money means electronically stored monetary value as represented by a claim against us.

  • Electronic Interface means access to operations support systems consisting of preordering, ordering, provisioning, maintenance and repair and billing functions.

  • Electronic Means means the following communications methods: e-mail, facsimile transmission, secure electronic transmission containing applicable authorization codes, passwords and/or authentication keys issued by the Trustee, or another method or system specified by the Trustee as available for use in connection with its services hereunder.

  • Electronic Payment means a wire transfer or an ACH credit transfer.

  • Electronic Ledger means the electronic master record of the retail installment sales contracts or installment loans of the Servicer.

  • Electronic service means the electronic service provided by the Comptroller under section 8A(1);

  • Electronic seal means data in electronic form, which is attached to or logically associated with other data in electronic form to ensure the latter’s origin and integrity;