MiFID firm definition

MiFID firm means a Participant which is an investment firm authorized under MIFID II or a credit institution authorized under CRD IV (including an EU branch of a non-EU investment firm or credit institution which is itself subject to the requirements of MIFID II);
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MiFID firm means a person undertaking any of the regulated activities in relation to financial instruments in Chapter 2 of Part 6 of Schedule 2 to the Act;
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MiFID firm means a person undertaking any of the regulated activities in relation to
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Examples of MiFID firm in a sentence

  • In such an event, there is a risk that Firm B may be incentivised to seek to minimise its credit risk exposure by closing the open positions of retail clients who have a 53 It should be noted that, in accordance with the MiFID obligations relating to the safeguarding of client assets (Article 13(7) and 13(8) of MiFID), Firm B is not permitted to the assets or funds of a retail client to conclude its transaction with Firm A.

  • Consequently no key information document 1 Legend for issuances involving one or more MiFID Firm manufacturers.

  • Issuer:The Hong Kong Mortgage Corporation Limited香港按揭證券有限公司2.(i)(ii)Series Number:Tranche Number:[ ][ ] (If fungible with an existing Series, details of that Series, including the date on which the Notes become fungible.) (1) Legend for issuances involving one or more MiFID Firm manufacturers.

  • Concorde Investments Ireland Limited (“CII”) is incorporated in Ireland under registration number C175134 and authorised by the Central Bank of Ireland as a MiFID Firm under European Union (Markets in Financial Instruments) Regulation 2017 (“MiFID II”).

  • Though this method of test design can uncover many errors or problems, it might not detect unimplemented parts of the specification or missing requirements.White-box test design techniques include: ▪ Control flow testing▪ Data flow testing▪ Branch testing▪ Path testing Unit Testing, Integration Testing and System Software design methodologists distinguish between several types of automated tests.

  • The software workflow included ply design, path planning, offline programming of the robots, process simulation and collision analysis.

  • This is without prejudice to other Articlesof the CRDand the CRR (CRD IV package) which may be relevant/applicable.R2-1.1.3Category 2 and Category 3 Licence Holders which qualify as MiFID Firm including Operators of an MTF shall also take into account Title 1 of Chapter 5 on the Transitionary Arrangements on Initial Capital.

  • Legend for issuance involving one or more MiFID Firm manufacturers.

  • Legend for issuance where there is a sole manager that is a MiFID Firm manufacturer (i.e. no syndicate) and assuming that none of the Issuer or the Guarantor, as the case may be, is a MiFID regulated entity.in point (10) of Article 4(1) of MiFID II[; or (iii) not a qualified investor as defined in Regulation (EU)2017/1129 (the Prospectus Regulation)].

  • Determine there is a continued need for emergency action and continue to approve contract No. FR-ER-22-001 for emergency repairs to the Timber Trestle Bridge at Railroad Slough, MP-B38.97, for a total contract amount not to exceed $425,000Consent Calendar Con’t6c.


More Definitions of MiFID firm

MiFID firm means a Participant which is an investment firm or a credit institution authorized that is authorised in the UK and subject to the requirements of MiFIR (including an UK branch of a non-UK investment firm or non-UK credit institution which is itself subject to the requirements of MIFIR);
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MiFID firm means a firm which is subject to MiFID;
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MiFID firm means an authorised person subject to the Financial
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Related to MiFID firm

  • Pre-FIRM means construction or other development for which the “start of construction” occurred before the effective date of the initial Flood Insurance Rate Map.

  • Independent Firm means a recognized law or accounting firm, provided however, that such term shall not include any accounting firm that performs or has preformed audit services with respect to ALLETE or ADESA.

  • Selected Firm means the firm who is selected by the City and to whom the City Council/City Manager awards a contract for the services or commodities requested in this solicitation.

  • 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;

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

  • Audit Firm means a legal person or any other entity, regardless of its legal form, that is approved in accordance with this Directive by the competent authorities of a Member State to carry out statutory audits;

  • Valuation Firm has the meaning set forth in Section 1.6(c).

  • Advisory Firm means an accounting firm that is nationally recognized as being expert in Covered Tax matters, selected by the Corporation.

  • Post-FIRM means construction or other development for which the “start of construction” occurred on or after the effective date of the initial Flood Insurance Rate Map.

  • 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.

  • Business firm means a person that transacts business on a regular and continual basis, or a person that proposes to transact business on a regular and continual basis.

  • the Firm means the individual or firm providing the services under this Contract.

  • Consulting Firm has the meaning set forth in Section II.A.4.

  • Selling Firm has the meaning given to it in Section 2(1);

  • sponsoring firm means the firm registered in a jurisdiction of Canada on whose behalf an individual acts as a dealer, an underwriter, an adviser, a chief compliance officer or an ultimate designated person;

  • 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.

  • Selling Firms has the meaning specified in section 5.1;

  • Lobbying firm means any business entity, including an individual contract lobbyist, which meets either of the following criteria:

  • Company Representative means the person or persons appointed and approved in writing from time to time by the Company to act on its behalf for overall co- ordination.

  • Certified Firm means a small business certified under ORS 200.055 by the Oregon Certification Office for Business Inclusion and Diversity (COBID) as minority-owned businesses, woman-owned businesses, businesses that service-disabled veterans own, and emerging small businesses.

  • 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 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.

  • Integration Proponent means in relation to an Integration Agreement, "the Company" or "the Joint Venturers" as the case may be as defined in, and for the purpose of, that Integration Agreement; "iron ore" includes, without limitation, beneficiated ore; "laws relating to native title" means laws applicable from time to time in the said State in respect of native title and includes the Native Xxxxx Xxx 0000 (Commonwealth);

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

  • Independent Advisor means a reputable accounting, appraisal or nationally recognized investment banking, engineering or consulting firm (a) which does not, and whose directors, officers and employees or Affiliates do not, have a direct or indirect material financial interest in the Company and (b) which, in the judgment of the Board of Directors of the Company, is otherwise disinterested, independent and qualified to perform the task for which it is to be engaged.

  • Stockholder Representative has the meaning set forth in the preamble.