Financial professional definition

Financial professional means a producer that is regulated and acting as:

Financial professional means any professional employee of Nomura Group in the area of finance, controllers, tax, treasury, risk management or investor relations and also includes the Group CEO, the Chief Financial Officer, the Chief Risk Officer and a chairman of the Disclosure Committee of the Company and all Division Heads, all Business Division Heads, all Business Line Heads, all Business Infrastructure Division Heads and Regional Heads of Nomura Group.

Financial professional means any professional employee of Nomura Group in the area of finance, controllers, tax, treasury, risk management or investor relations and also includes the Chief Executive Officer, the Chief Financial Officer, the Chief Risk Officer and a chairman of the Disclosure Committee of the Company and all Division CEOs, all Business Division CEOs, all Business Line Heads, all Business Infrastructure Division Heads and Regional CEOs of Nomura Group.

Examples of Financial professional in a sentence

• You and your Financial Professional are responsible for determining which Portfolio Combinations or Sub-account(s) are best for you.

• It is the responsibility of each Financial Professional to be familiar with this Code and the Code of Conduct and Ethics for Employees, and for providing an annual certification of review and compliance with this Code and the Code of Conduct and Ethics for Employees.

• In any case in which a Financial Professional finds himself or herself with an actual or apparent conflict of interest, the Financial Professional must promptly disclose such conflict of interest to the Bank’s General Counsel.The Bank’s General Counsel shall investigate any reported conflict of interest and will review the transaction or relationship for possible referral to the Audit Committee of the Board of Directors.

• My Financial Professional shall maintain all required authorizations pursuant to Form ADV, power of attorney, agreement, or otherwise.

• If “yes” is not checked, electronic instructions will not be accepted from my Financial Professional or any qualified person in the employ or administrative support of my Financial Professional.

More Definitions of Financial professional

Financial professional means a producer that is regulated and acting as any of the following:

Financial professional. This Schedule of Commissions and Service Fees ("Schedule") supersedes any previous Schedules, is hereby made part of our dealer agreement ("Agreement") with you and will remain in effect until modified or rescinded by us. Capitalized terms used in this Schedule and not defined herein have the same meaning as such terms have in the Agreement. All commission rates and service fee rates set forth in this Schedule may be modified by us from time to time without prior notice.

Financial professional means an insurance producer who is regulated and acting as:

Financial professional means a licensee that is regulated and acting as:

Financial professional means the registered representative who sold you this policy.

Financial professional means an ASIC registered Financial Services Licence Holder or a Licensed Authorised Representative; or, a qualified accountant who is a member of a relevant Professional Association, and who is recognised by the Committee as having appropriate expertise to be a Collaborative professional.

Financial professional means an independent financial consultant, a broker-dealer or bank or a “fee-only advisor.