the Broker definition

the Broker means CIMB Futures Sdn Bhd, a holder of the Capital Markets Services License who carries on the business of regulated activity of trading in futures contract under the Act and a trading participant of Bursa Derivatives.
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the Broker means CGS-CIMB Futures Sdn Bhd, a holder of the Capital Markets Services License who carries on the business of regulated activity of trading in futures contract under the Act and a trading participant of Bursa Derivatives. “Bursa Clearing” means Bursa Malaysia Derivatives Clearing Berhad. “Bursa Derivatives” means Bursa Malaysia Derivatives Berhad. “Business Day” means a day on which the Broker is open for business or a day on which the Exchange on which the futures contract are carried out is open for trading. “CGI Group” means China Galaxy International Financial Holdings Limited and its related corporations (as defined in the Companies Act 2016). “CIMB Group” means CIMB Group Sdn Bhd and its related corporations (as defined in the Companies Act, 2016).
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the Broker means the individual arranging, go-between or a conduit for the transaction between the Service Provider /Underwriter and the Client
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Examples of the Broker in a sentence

  • Any information which the Purchaser has heretofore furnished or is furnishing herewith to the Company is true, complete and accurate and may be relied upon by the Manager, the Company and the Broker, in particular, in determining the availability of an exemption from registration under federal and state securities laws in connection with the Offering.

  • The Purchaser agrees to promptly provide the Manager, the Broker (as defined on the first page hereto) and their respective agents with such other information as may be reasonably necessary for them to confirm the Qualified Purchaser status of the Purchaser.

  • The Company shall pay the commission of the Broker, to the attention of the Broker, pursuant to their separate agreement(s) between the Company and the Broker.

  • The Subadviser shall not consider a Broker’s sale of Fund shares when selecting the Broker to execute trades.

  • Upon any such notice of resignation, the Broker and Issuer jointly shall appoint a successor NCPS hereunder prior to the effective date of such resignation.

  • NCPS may resign and be discharged from the performance of its duties hereunder at any time by giving fifteen (15) business days prior written notice to the Broker and the Issuer specifying a date when such resignation shall take effect.

  • Benefits received by the Company shall be deemed to be equal to the total net proceeds from the offering (before deducting expenses) received by it, and benefits received by the Manager shall be deemed to be equal to the Broker Fee applicable to the Shares and paid hereunder as determined by this Agreement.

  • Buyer understands that the Broker does not audit or verify any information given to Broker or make any warranty or representation as to its accuracy or completeness, nor in any way guarantee future business performance.

  • Seller and Purchaser acknowledge that if they have entered into a client relationship with a Broker, that Broker has disclosed on a prior basis (1) the types of brokerage relationships offered by the Broker, (2) any other brokerage relationship which would conflict with the client’s interest, and (3) the compensation of Broker and whether commissions would be shared with other Brokers.

  • The Broker shall provide a written confirmation of the executed transactions as required under rule 4(4) of the Securities & Exchange Rules, 1971, and all such transactions recorded by the Broker in his books shall be conclusive and binding upon the Account Holder(s), which shall not be questioned by him/her/them, subject to clause 5 below.


More Definitions of the Broker

the Broker or“ The Intermediary” means the individual arranging, go-between or a conduit forthe transaction between theService Provider /Underwriter and the Client
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the Broker or “The Intermediary” means the individual arranging, go- between or a conduit for the transaction between the Service Provider
Sample 1
the Broker and “the Stock Broker” shall mean and include RKSV Securities India Pvt. Ltd.
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Related to the Broker

  • Principal broker means a broker who is either a real estate proprietor, a partner in a real estate partnership, or an officer in a real estate corporation.

  • Approved Broker means any of the companies listed on Schedule 7 or such other company proposed by the Borrowers which the Agent may, with the consent of the Majority Lenders (such consent not to be unreasonably withheld), approve from time to time for the purpose of valuing a Ship, who shall act as an expert and not as arbitrator and whose valuation shall be conclusive and binding on all parties to this Agreement;

  • Salesperson means any person holding an Iowa real estate salesperson license as defined in Iowa Code section 543B.5(3).

  • Morgan Stanley Broker means a broker-dealer affiliated with Morgan Stanley.

  • Broker investment adviser," "net assets," "sale," "sell" and "security" shall have the same meanings as such terms have in the 1940 Act, subject to such exemption as may be granted by the SEC by any rule, regulation or order. Where the effect of a requirement of the federal securities laws reflected in any provision of this Agreement is made less restrictive by a rule, regulation or order of the SEC, whether of special or general application, such provision shall be deemed to incorporate the effect of such rule, regulation or order. This Agreement may be signed in counterpart.