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.
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;
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.

Examples of Financial firm in a sentence

  • It will be no small task to follow in the steps of our former Rear Commodore Xx Xxxxxxx with all his hard work and dedication he gave to the Club in this position.

  • 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.

  • 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 creditors experience more severe market reactions by some metrics ([-1,1], day 0, and [-5,5]), but the magnitude is also modest.

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

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

  • JBIC is preparing a loan of $50 million equivalent for the LRNP in parallel with the Project by using the same subproject selection criteria developed by ADB.

  • The company should be an ICT consulting firm or Chartered Financial firm with specific experience in ERP project deployments and implementation preferably in multinational institutions.

  • Financial firm impact will likely be felt on several fronts, not the least of which is those firms serving as sponsors of/investment managers for MMFs.3 Fiduciary firms will to recalibrate their prudent selection of cash management investment options and many firms will need to monitor their capital and liquidity coverage ratios for negative impacts from a migration of MMF investors seeking safer alternatives in bank balance sheets.

  • Financial firm disclosures should be no exception.Asset quality and funding sources for financial firms must be more understandable and readily comparable among peers.


More Definitions of Financial firm

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

Related to Financial firm

  • 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.

  • 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 shall have the meaning set forth in Section 2.10(c).

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

  • 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 that set of accounting standards established and issued by the International Accounting Standards Board, as amended from time to time.

  • 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 Corporation prior to a Change in Control for purposes of making the applicable determinations hereunder.

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

  • 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 holding company means a financial institution, the subsidiary undertakings of which are either exclusively or mainly credit institutions or financial institutions, at least one of such subsidiary undertakings being a credit institution, and which is not a mixed financial holding company within the meaning of Article 2(15) of Directive 2002/87/EC of the European Parliament and of the Council of 16 December 2002 on the supplementary supervision of credit institutions, insurance undertakings and investment firms in a financial conglomerate (1);

  • 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 Adviser means a licensed financial adviser or an exempt financial adviser;