Financial Services Firm definition

Financial Services Firm means a business enterprise whose sole or primary function is the provision of Financial Services (whether to individuals, institutions or any other person or entity).

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Financial Services Firm means any Person that offers, directly or indirectly, any financial services or financial product.

Financial Services Firm means a business enterprise that provides financial services to individuals or institutions including any such enterprise that engages in commercial or retail banking; provides brokerage, wealth management, insurance, pension, or lending services or financial, business, investment or economic advisory services, including raising or preserving capital or transitioning ownership; asset management; issuing, trading or selling instruments including those representing interests in pools of assets or in derivatives instruments; advising on, or investing in, private equity or real estate, or any other activities engaged in by any DB Group Company or similar activities that the Committee determines constitute financial services.

Examples of Financial Services Firm in a sentence

The Global Financial Services Firm, its respective directors and officers may also at any time invest on a principal basis or manage funds that invest on a principal basis, in debt or equity securities of any company that may be an Affiliate of the Company, or in any currency or commodity that may be involved in this transaction, or in any related derivative instrument.
In the ordinary course of its trading, brokerage and financing activities, the Global Financial Services Firm may at any time hold long or short positions, and may trade or otherwise effect transactions, for its own account or the accounts of Affiliates of the Company, in debt or equity securities or senior loans of Affiliates of the Company or in any related derivative instrument.
Further, the Global Financial Services Firm may at any time carry out ordinary course brokering activities for any company that may be an Affiliate of the Company.
Each Member hereby acknowledges and agrees that, by reason of law or duties of confidentiality owed to other persons or the rules of any regulatory authority, the Global Financial Services Firm may be prohibited from disclosing information to Members (or such disclosure may be inappropriate), including information as to the Global Financial Services Firm’s possible interests as described in this paragraph and information received pursuant to client relationships.
The Mortgage Lender Limited is authorised and regulated by the Financial Conduct Authority (Financial Services Firm Reference Number 707058).
None of the provisions of this Agreement shall be for the benefit of or enforceable by any creditor or employee of NYSE Group, NYSE Euronext, the Trust or the Trustees, any stockholder or customer of NYSE Group, NYSE Euronext or the Delaware Trustee, any Non-European Financial Services Firm or Non-European Issuer.
None of the provisions of this Agreement shall be for the benefit of or enforceable by any creditor or employee of Euronext, ICE Group, the Foundation or the Directors, any shareholder or customer of Euronext, ICE Group, any Non-U.S. Financial Services Firm or Non-U.S. Issuer.
None of the provisions of this Agreement shall be for the benefit of or enforceable by any creditor or employee of Euronext, NYSE Euronext, the Foundation or the Directors, any shareholder or customer of Euronext, NYSE Euronext, any Non-U.S. Financial Services Firm or Non-U.S. Issuer.
Each Global Financial Services Firm, its respective directors and officers may also at any time invest on a principal basis or manage funds that invest on a principal basis, in debt or equity securities of any company that may be an Affiliate of the Company, or in any currency or commodity that may be involved in this transaction, or in any related derivative instrument.
Each Member hereby acknowledges and agrees that, by reason of law or duties of confidentiality owed to other persons or the rules of any regulatory authority, each Global Financial Services Firm may be prohibited from disclosing information to Members (or such disclosure may be inappropriate), including information as to each Global Financial Services Firm ‘s possible interests and described in this paragraph and information received pursuant to client relationships.

More Definitions of Financial Services Firm

Financial Services Firm means a person that is registered:

Financial Services Firm means a business enterprise whose sole or primary function is the

Financial Services Firm means a business enterprise whose sole or primary function is the provision of Financial

Financial Services Firm means an organisation regulated by the Financial Services Authority in the UK under the Financial Services and Markets Act 2000;

Financial Services Firm means any Person that offers, directly or indirectly, any financial services or financial product. “Funding Amount” shall mean an amount equal to the sum of (a) the Origination Assistance Fee for such loan plus (+) (b) the loan amount: provided, however, that with respect to Construction Loans, the Origination Assistance Fee shall be included in the Funding Amount only for the first draw. “Government Loan” is a Mortgage Loan that qualifies for mortgage insurance by the FHA or that qualifies for a loan guaranty by the Veterans’ Administration. “Guarantor” means any individual who has guaranteed payment of a Mortgage Loan pursuant to a Parent Power Agreement. “Information Security Program” means Cendant’s information security program to (i) insure the security and confidentiality of Borrower Information; (ii) protect against any anticipated threats or hazards to the security or integrity of the Borrower Information; and (iii) protect against unauthorized access to or use of the Borrower Information that could result in substantial harm or inconvenience to any Borrower. “Jumbo/Non-Conforming Mortgage Loan” is a conventional Mortgage Loan the original principal balance of which exceeds the maximum loan amount for Conforming Conventional Mortgage Loans specified by FNMA or FHLMC or otherwise does not meet the FNMA or FHLMC Guidelines. “LIBOR Interest Rate” shall mean the interest rate equal to 30-day LIBOR based upon a 360-day year. “MLBUSA” means ▇▇▇▇▇▇▇ ▇▇▇▇▇ Bank USA. “MLCC Data” means any data, databases, reports and records relating to financial products from or services with MLCC, including, without limitation, Account Numbers, Borrower Information, and data derived therefrom. “MLCC Performance Failure” means the failure of MLCC to generate[* * *]. “MLCC Privacy Policy” means MLCC’s policy with respect to its Customers’ privacy, a proto-type of which policy is attached hereto as Exhibit D and which may be amended from time to time by MLCC without the consent of PHH if such amendments are required by Applicable Requirements. “MLCC Services” shall mean the Origination Services. “Mortgage 100sm Loan” means a Mortgage Loan secured by Additional Collateral having a value, as of the date of origination of such Mortgage Loan, at least equal to the related Original Additional Collateral Requirement.