Financial services firms definition

Financial services firms means persons or entities who are registered with the Division of
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Financial services firms means persons in the financial services industry (e.g. licensed financial planning firms) who are not Financial Service Institutions or any other persons as the National Council may deem to be Financial Services Firms and “Financial Services Firm” shall mean any one (1) of them.
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Financial services firms means any firm, individual, or other body that is regulated by either the Financial Conduct Authority or the Prudential Regulation Authority;
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Examples of Financial services firms in a sentence

  • Financial services firms are subject to numerous actual or perceived conflicts of interest and regulators may impose increased regulatory requirements for such firms to deal with potential conflicts of interest.

  • Financial services firms can plan on the assumption that an implementation period will be in place when the UK leaves the EU.

  • DPS Staff recommends that the Applicant provide a completed North Side Energy Center Attachment 1, Map Sizes and Scales Sheet, in the response to PSS comments, regarding approximations of drawing scales to be used for Application content or provide an indication of general agreement with its content.

  • Financial services firms and insurance companies report average contract cycle times falling from one or two weeks to a matter of days - or hours.

  • Financial services firms established commissioned sales programs and aggressively advertised their products.

  • Financial services firms and, in particular, insurance carriers and reinsurers that covered asbestos liabilities have incurred large cash outflows linked to the litigation.

  • Financial services firms, which are now fully electronic, have relatively robust failover systems, backup scenarios, and the ability to run their business from any one of a number of worldwide locations (Snedaker & Rima, 2014).The purpose of this paper is to identify the factors that influence the quality of the information system audit, in other words, how a quality audit of the information system can contribute to maintaining and preserving business continuity.

  • A respondent to the UCITS KII put this well: '…documents are too long, so we just can't be bothered to read them from the beginning to the end'.37 Financial services firms can take the view that making information available – even if this is done in a manner that is not likely to be effective for the average investor – is sufficient to discharge their responsibilities for informing those investors.

  • Financial services firms engage in securities lending and borrowing transactions for a variety of reasons, including: covering their own or customers’ short sales; covering failed sales by customers; obtaining securities to lend to a third party; and as a source of funds.

  • Financial services firms can be particularly vulnerable, especially when millennials want instant access, and want it on their time frame.

Related to Financial services firms

  • Financial Services Provider means any Lender and any other provider of financial services or products;

  • financial service provider means a person engaged in the business of providing financial services in terms of authorisation issued or registration granted by a financial sector regulator;

  • financial service means a service of a financial nature, including insurance, and a service incidental or auxiliary to a service of a financial nature;

  • Financial Services means any service of a financial nature, including (but not limited to) —

  • financial service supplier means any natural or juridical person of a Party wishing to supply or supplying financial services but the term “financial service supplier” does not include a public entity;

  • Auditing Services means those services within the scope of the practice of a certified public accounting firm licensed under Chapter 473 of the Florida Statutes, and qualified to conduct audits in accordance with government auditing standards as adopted by the Florida Board of Accountancy.

  • Information Services means the Municipal Securities Rulemaking Board’s Electronic Municipal Market Access System; or, such other services providing information with respect to called municipal obligations as the District may specify in writing to the Paying Agent or as the Paying Agent may select.

  • Appraisal management services means one or more of the following:

  • Primary care services means the services in respect of which NHS England has a duty or power to make arrangements pursuant to the Primary Care Functions;

  • audit services means the professional services rendered by the Corporation’s external auditor for the audit and review of the Corporation’s financial statements or services that are normally provided by the external auditor in connection with statutory and regulatory filings or engagements;

  • Core Services means the services described in the Main Agreement that BNYM is obligated to perform for Company (for clarification: excluding the products and services provided pursuant to this Schedule C).

  • Investment Advisory Services means (a) advice with respect to the desirability of investing in, purchasing or selling securities or other property, including the power to determine what securities or other property shall be purchased or sold, but not including furnishing only statistical and other factual information (such as economic factors and trends); and (b) the provision of financial, economic or investment management services, but only if ancillary and related to the advice referred to in clause (a) above.

  • Corporate Services Agreement means the corporate services agreement dated on or about the Closing Date between the Issuer and the Corporate Services Provider, together with any agreement for the time being in force amending or supplementing such agreement.

  • Beta Services means Xxxxxx services or functionality that may be made available to Customer to try at its option at no additional charge which is clearly designated as beta, pilot, limited release, developer preview, non-production, evaluation, or by a similar description.

  • Day-care services means care of a child for a portion of the day which is less

  • Advisory Services means the non-binding investment advisory services rendered by the Portfolio Manager to the Client. The Portfolio Manager shall be solely acting as an advisor to the Portfolio of the Client and shall not be responsible for the investment / divestment of Securities.

  • Independent living services means services and activities provided to a child in foster care 14 years