NZX Advising Firm definition

NZX Advising Firm means a Market Participant that has been accredited and approved by NZX as an NZX Advising Firm for the purpose of providing investment advice and/or Securities recommendations to clients;
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NZX Advising Firm means a Market Participant that has been accredited and approved by NZX as an NZX Advising Firm for the purpose of providing investment advice and/or investment recommendations, with respect to transactions in NZX Quoted Products, to clients;
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Examples of NZX Advising Firm in a sentence

  • And for the purposes of this paragraph, Rule 15.8.1(b) shall be read as if the NZX Advising Firm is a client of the Trading Participant.

  • Whether the client who has entered/submitted that Order, or any other person who the Trading Participant, NZX Advising Firm or Advisor knows to be a Related Party of that client, may have a beneficial interest in creating a false or misleading market in, or the price/yield of, any Security/Contract When receiving an Order, NZX Participants must consider whether the client, or parties related to the client, may benefit from the creation of a false market for, or price/yield of a financial product.

  • And for the purposes of this paragraph, Rule 15.9.1(b) shall be read as if the NZX Advising Firm is a client of the Trading Participant.

  • Note that Routine 2(i +1)terminates when either (i) there is no facility with negative profit or (ii) closing any facilitywith negative profit does not increase the profit of the corresponding firm.

  • HHG has been accredited and approved by NZX as an NZX Advising Firm with the ability to provide investment advice and/or Securities recommendations to clients.

  • The details provided are true and correct to the best of my/our knowledge and I/we have the authority to provide this information.I/we have read, understood and agree to be bound by the Direct Broking Client Agreement which is governed by FNZC’s Client Agreement General Terms and Conditions, as amended from time to time.I/we confirm that none of the applicants or any person associated with this application is a Prescribed Person of an NZX Market Participant or of an NZX Advising Firm.

  • Each Trading Participant, NZX Advising Firm or Distribution and Underwriting Sponsor must maintain an up-to-date register of any such requests arising from special personal circumstances of its Employees.

  • HHG has been accredited and approved by NZX as an NZX Advising Firm and by the FMA in accordance with the FMCA as a licensed Financial Advice Provider (FSP23642) HHG has the ability to provide Financial Advice in the form of recommendations to hold, acquire or dispose of financial products or Securities to clients.

  • As an NZX Advising Firm and a Market Participant (as those terms are defined in the NZX Participant Rules) and a FMC Derivatives Issuer, OMF is required to ask you for this information.

  • Employee and Prescribed Person trading rulesThe current trading requirements for employees and “Prescribed Persons” as defined in the Rules of a Trading Participant, NZX Advising Firm and a Distribution and Underwriting Sponsor are set out in Rule 10.5.Rule 10.5 requires Employees and Prescribed Persons of these NZX Participants to obtain written authority from an appropriate party before dealing in any securities on their own personal account.

Related to NZX Advising Firm

  • 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;

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

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

  • Selling Firms has the meaning specified in section 5.1;

  • 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.

  • CPA Firm has the meaning set forth in Section 2.3(c).

  • Accounting Firm has the meaning set forth in Section 2.3(c).

  • Clearing Firm means an entity that meets the requirements of clearing membership at a Clearing House that clears Trades in any or all of the MarketAxess SEF Swaps and is authorized to submit Trades for clearing to the Clearing House.

  • Independent Accounting Firm has the meaning set forth in Section 2.05(c).

  • 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 Distributing or Controlled.

  • Tax Advisor means a United States tax counsel or accountant of recognized national standing.

  • 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.

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

  • Independent Adviser means an independent financial institution of international repute or an independent financial adviser with appropriate expertise appointed by the Issuer under Condition 5(j)(i).

  • Independent Advisor means an independent, nationally recognized accounting firm approved by the Parties, where such approval shall not be unreasonably withheld by either Party.

  • 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;

  • 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.

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

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

  • local firm means a firm dealing for its own account on markets in financial futures or options or other derivatives and on cash markets for the sole purpose of hedging positions on derivatives markets, or dealing for the accounts of other members of those markets and being guaranteed by clearing members of the same markets, where responsibility for ensuring the performance of contracts entered into by such a firm is assumed by clearing members of the same markets;

  • Independent Tax Counsel means a lawyer, a certified public accountant with a nationally recognized accounting firm, or a compensation consultant with a nationally recognized actuarial and benefits consulting firm with expertise in the area of executive compensation tax law, who shall be selected by the Employer and shall be reasonably acceptable to the Executive, and whose fees and disbursements shall be paid by the Employer.

  • Dispute Date means, with respect to a Dispute, the date on which a Dispute Notice is effectively delivered by one party to the other party save that if, with respect to a Dispute, both parties deliver a Dispute Notice, the date on which the first in time of such notices is effectively delivered will be the Dispute Date. Each Dispute Notice will be effectively delivered if delivered in the manner agreed between the parties for the giving of notices in respect of this Agreement.

  • Dispute Board (DB) means the person or persons named as such in the SCC appointed by agreement between the Procuring Entity and the Contractor to make a decision with respect to any dispute or difference between the Procuring Entity and the Contractor referred to him or her by the Parties pursuant to GCC Sub-Clause 46.1 (Dispute Board) hereof.

  • 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.

  • Patent Counsel means the DOE Counsel for Intellectual Property assisting the DOE Contracting activity.