Financial firm definition

Financial firm means any firm falling within ESMA’s remit, including (i) alternative investment fund managers of 'AIFMs' as defined in Article 4(1)(b) of the AIFMD and depositaries as referred to in Article 21(3) of AIFMD (‘depositaries of alternative investment funds (AIFs)’); (ii) management companies as defined in Article 2(1)(b) of the UCITS Directive (“UCITS management companies”) and depositaries as defined in Article 2(1)(a) of UCITS Directive (“depositaries of UCITS”); (iii) central counterparties (CCPs) as defined in Article 2(1) of EMIR and Tier 2 third-country CCPs within the meaning of Article 25(2a) of EMIR which comply with the relevant EMIR requirements pursuant to Article 25(2b)(a) of EMIR; (iv) trade repositories as defined in Article 2(2) of EMIR and in Article 3(1) of SFTR; (v) investment firms as defined in Article 4(1)(1) of MiFID II and credit institutions as defined in Article 4(1)(27) of MiFID II, which carry out investment services and activities within the meaning of Article 4(1)(2) of MiFID II; (vi) data reporting services providers as defined in Article 4(1)(63) of MiFID II; (vii) market operators of trading venues within the meaning of Article 4(1)(24) of MiFID II; (viii) central securities depositories (CSDs) as defined in Article 2(1)(1) of CSDR; (ix) credit rating agencies as defined in Article 3(1)(b) of the CRA Regulation; (x) securitisation repositories as defined in Article 2(23) of SECR; or (xi) administrators of critical benchmarks as defined in Article 3(1)(25) of the Benchmarks Regulation.
Sample 1Sample 2Sample 3
Financial firm means a registered investment advisory firm, also sometimes referred to as a wealth management firm, we approve to hold an Account in relation to a Contract.
Sample 1Sample 2
Financial firm means any firm or fund that makes venture capital or other investments, or that engages in investment banking, the mutual fund business, or the securities business;
Sample 1Sample 2

Examples of Financial firm in a sentence

  • Financial firm managers seemed to be unheeding of the risks to financial stability.

  • Financial firm revenues are calculated analogously to those for all firms as described in column 9; however, rental incomes of financial firms are first deducted.

  • Thus, we form our second hypothesis as follows:H2: Financial firm bankruptcies have negative effects on the stocks of other financial firms that are unsecured creditors.

  • Boards and satisfy a new standard order of point of the congregation fl studio deep house template With a different meaning than generally used in the UN.

  • Thus, by definition, the unsecured creditor claims are more likely to involve losses to related firms than collateralized debt.H1: Financial firm bankruptcies cause other financial firms that are creditors to file for bankruptcy, leading to a cascade of failures.Creditors may be affected through an increase in the probability of default without actually being forced into bankruptcy.

  • Financial firm employees need to be encouraged to trust their instincts.

  • Financial firm means a depository institution, a bank holding company, a savings and loan holding company (as defined in section 10(a)(1)(D) of the Home Owners' Loan Act (12 U.S.C. 1467a(a)(1)(D)), a securities broker or dealer registered with the SEC, or a banking or securities firm that the [banking organization] has determined is subject to consolidated supervision and regulation comparable to that imposed on U.S. [banking organizations] or securities broker-dealers.

  • Financial firm that is a protection seller shall meet the qualifications prescribed by the Bank of Thailand in the Notification of the Bank of Thailand Re: Permission for Commercial Banks to Undertake Credit Derivatives.

  • In [29], the authors proposed a secure and privacy-preserving eHealth using Architecture for the Notification of Traffic Incidents and Congestion (NOTICE) called WEHealth.

  • Directive 95/46/EC of the European Parliament and of the Council29, which will be replaced by Regulation (EU) 2016/679 of the European Parliament and of the Council30, applies to the processing of personal data under this Directive.


More Definitions of Financial firm

Financial firm means hedge funds, mutual funds, and certain types of brokerage or invest-
Sample 1

Related to Financial firm

  • Independent Financial Expert means a nationally recognized accounting, investment banking or consultant firm, which firm does not have a material financial interest or other material economic relationship with either the Company or any of its Affiliates or the Holder or any of its Affiliates that is, in the good faith judgment of the Board, qualified to perform the task for which it has been engaged.

  • Independent Financial Consultant means a financial consultant or firm of such consultants generally recognized to be well qualified in the financial consulting field, appointed and paid by the District, who, or each of whom:

  • financial expert means an individual, company or firm who is authorised to give investment advice under the Financial Services and Markets Act 2000;

  • financial group means a group that consists of a legal person or legal arrangement exercising control and coordinating functions over the rest of the group for the application of group supervision under the Core Principles, and its branches and subsidiaries that are financial institutions as defined in section 27A(6) of the MAS Act or the equivalent financial institutions outside Singapore;

  • Financial exigency means a condition that requires the bona fide discontinuance or reduction in size of an administrative unit, project, program or curriculum due to the lack of funds available and sufficient to meet current or projected expenditures.

  • CMSA Financial File means a report substantially in the form of, and containing the information called for in, the downloadable form of the "Financial File" available as of the Closing Date on the CMSA Website, or such other form for the presentation of such information and containing such additional information as may from time to time be approved by the CMSA for commercial mortgage securities transactions generally.

  • Independent Financial Advisor means an accounting, appraisal, investment banking firm or consultant to Persons engaged in Similar Businesses of nationally recognized standing that is, in the good faith judgment of the Issuer, qualified to perform the task for which it has been engaged.

  • Independent Accounting Firm means such nationally recognized, independent accounting firm as is mutually appointed by Seller and Purchaser for purposes of this Agreement.

  • Independent Financial Adviser means an independent financial institution of international repute appointed by the Company at its own expense.

  • cost accountant means a cost accountant as defined in clause (b) of sub-section (1) of section 2 of the Cost and Works Accountants Act, 1959 (23 of 1959) and who has obtained a certificate of practice under sub-section (1) of section 6 of that Act;

  • Financial Bid means Envelope II of the Bid, containing the Bidder‟s Quoted Tariff as per the Format 4.7 of this RFP;

  • Financial Instrument” shall mean the Financial Instruments under the Company’s CIF license which can be found in the document “Company Information” on the Website. It is understood that the Company does not necessarily offer all the Financial Instruments which appear on its CIF license but only those marketed on its Website from time to time.

  • International Financial Reporting Standards means the accounting standards and interpretations adopted by the International Accounting Standards Board.

  • Accounting Firm means a nationally recognized certified public accounting firm or other professional organization that is a certified public accounting firm recognized as an expert in determinations and calculations for purposes of Section 280G of the Code that is selected by the Company prior to a Change in Control for purposes of making the applicable determinations hereunder and is reasonably acceptable to Executive, which firm shall not, without Executive’s consent, be a firm serving as accountant or auditor for the individual, entity or group effecting the Change in Control.

  • TO Proposal – Financial means the TO Contractor’s financial response to the CATS II TORFP dateddate of TO Proposal - Financial.

  • Audit Committee Financial Expert means a person who has the following attributes:

  • investment firm means any legal person whose regular occupation or business is the provision of one or more investment services to third parties and/or the performance of one or more investment activities on a professional basis;

  • Financial Model means the financial model adopted by Senior Lenders, setting forth the capital and operating costs of the Project and revenues therefrom on the basis of which financial viability of the Project has been determined by the Senior Lenders, and includes a description of the assumptions and parameters used for making calculations and projections therein;

  • Financial aid means loans and/or grants to needy students

  • financial holding company means a financial holding company as defined in point (20) of Article 4(1) of Regulation (EU) No 575/2013;

  • Annual Financial Information means annual financial information as such term is used in paragraph (b)(5)(i) of the Rule and specified in Section 3(a) of this Disclosure Agreement.

  • CPA Firm shall have the meaning set forth in Section 2.5(b).

  • Financial Projections has the meaning provided in Section 5.07(b).

  • Australian Accounting Standards refers to the standards of that name, as amended from time to time, that are maintained by the Australian Accounting Standards Board referred to in section 227 of the Australian Securities and Investments Commission Act 2001 (Cth);

  • Financial Adviser means any:

  • financial entity means the following entities which meet such criteria or conditions as the Central Government may, in consultation with the financial sector regulator, notify in this behalf, namely: