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.
Sample 1Sample 2Sample 3
the Broker means the individual arranging, go-between or a conduit for the transaction between the Service Provider /Underwriter and the Client
Sample 1
the Broker or“ The Intermediary” means the individual arranging, go-between or a conduit forthe transaction between theService Provider /Underwriter and the Client
Sample 1Sample 2

Examples of the Broker in a sentence

  • When receiving offers, the Seller agrees, in good faith, to consider all proposals, letters, or similar contracts presented by the Broker.

  • Due to certain events, the Broker may be required to act as the only licensee involved between the Seller and a Buyer to facilitate the transaction between the parties.

  • If a Buyer is procured by the Broker, or by a licensee in the same Agency as the Broker, the Seller consents to the Broker acting in such a role and agrees to allow the Broker to collect compensation from the Buyer or other parties.

  • Seller and Purchaser acknowledge that if they have entered into a client relationship with a Broker, that Xxxxxx 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 Xxxxxx and whether commissions would be shared with other Brokers.

  • Seller agrees to make a reasonable effort to accommodate the Broker, including, but not limited to, open houses, showings, Buyer appointments, inspections, testing, and any other requests regarding the use of the Property.

  • Seller acknowledges that the Broker may or may not have other clients with similar property characteristics as the Seller.

  • 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.

  • 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.

  • 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.

  • In case nothing is specified, then by default, the Broker Code will be treated as Direct and the application form will be treated as Direct Application.


More Definitions of the Broker

the Broker s Approval” means the written prior approval given on behalf of The Broker by any one of the following persons: a Branch Manager, the Designated Registered Option Principal of The Broker, or any of his or her alternates, or any designated director of The Broker.
Sample 1
the Broker and “the Stock Broker” shall mean and include RKSV Securities India Pvt. Ltd.
Sample 1
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 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). DEFINITIONS In this Agreement, the following expressions shall have the meanings set out hereunder: “Account Application Form” means the application form(s) by which the Client applies to open one or more accounts with the Broker. “the Act” means the Capital Markets and Services Xxx 0000 including all rules made thereunder, any amendments, modifications and reenactments thereof in force as may be made at any time and from time to time. “Affiliates” means (i) a related corporation (as defined in the Companies Act 2016) of the Broker, (ii) CGS-CIMB Securities International Pte Ltd and its related corporations (as defined in the Companies Act 2016), (iii) a member of the CGI Group, and/or (iv) a member of the CIMB Group. “Agreement” means this Client Agreement (as may from time to time be varied or modified in accordance with its provisions) and includes the Account Application Form, Terms and Conditions of Trading, its appendices, and all other documents or instruments made supplemental to it including but not limited to this Client Agreement. “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...
Sample 1
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).
Sample 1

Related to the Broker

  • Prime Broker means a Person that acts as credit counterparty for transactions executed on the SEF in the name and on behalf of such Person by its client or an agent of its client that is a BSEF Participant and that has authorized a Participant to send RFQs, place Orders or enter into Trades in the name and on behalf of such Person.

  • Associate broker means a licensed broker who is employed by

  • Data Broker means either of the following:

  • Introducing Broker means any financial institution or advisor or legal or natural person obtaining remuneration from the Company and/or Clients for introducing Clients/interested parties to the Company.

  • Real estate broker means an individual or business entity that, with intent to collect or receive a fee, compensation, or valuable consideration, sells or offers for sale, buys or offers to buy, provides or offers to provide market analyses of, lists or offers or attempts to list, or negotiates the purchase, sale, or exchange of real estate; that negotiates the mortgage of real estate; that negotiates for the construction of a building on real estate; that leases or offers or rents or offers for rent real estate or the improvements on the real estate for others, as a whole or partial vocation; that engages in property management as a whole or partial vocation; that sells or offers for sale, buys or offers to buy, leases or offers to lease, or negotiates the purchase or sale or exchange of a business, business opportunity, or the goodwill of an existing business for others; or that, as owner or otherwise, engages in the sale of real estate as a principal vocation.

  • Participating Broker- Dealer: See Section 2(b) hereof. Person: An individual, trustee, corporation, partnership, limited liability company, joint stock company, trust, unincorporated association, union, business association, firm or other legal entity. Private Exchange: See Section 2(b) hereof.

  • 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.

  • insurance broker means an insurance brokerage firm,

  • Authorized Broker means those Brokers which are authorized to deal in Government Securities.

  • Seller’s Broker means Xxxxxx Xxxxxxx of Xxxxxxx and Wakefiled.

  • Mortgage broker means any person who for compensation or

  • Designated Broker means the financial services firm or other agent designated by the Company to maintain ESPP Share Accounts on behalf of Participants who have purchased shares of Common Stock under the Plan.

  • REAL ESTATE BROKERS (See also Paragraph 15)

  • Tenant’s Broker means the individual or corporate broker identified on the Basic Lease Information sheet as the broker for Tenant.

  • Approved Broker means each of Arrow Valuations Ltd, Xxxxx Xxxxxxxx Salles, X. Xxxxxxxx & Co. Ltd., Maersk Brokers K/S and Xxxx Xxxxxxxx & Co Ltd London and, in the plural, means all of them;

  • Salesperson means any person holding an Iowa real estate salesperson license as defined in Iowa Code section 543B.5(19).

  • Customs Broker means that individual, partnership, entity or corporation licensed by the Canada Border Services Agency, or other authorized body, to engage in the business of a customs broker and who is named as the Customs Broker in the Agency Agreement and Power of Attorney.

  • Sponsoring Broker means a Participant other than a DMA Customer that allows its designated Customers to access the SEF Platform using the Participant ID of the Participant and (i) with respect to Cleared Swaps, is a Clearing Member; and (ii) with respect to Non-Cleared Swaps, is (x) an FCM or Introducing Broker; or (y) non-U.S. Person acting in a similar capacity that is not required to register as an FCM or Introducing Broker under the Act and that is appropriately licensed in a jurisdiction where its DMA Customer is located.

  • Landlord’s Broker means the individual or corporate broker identified on the Basic Lease Information sheet as the broker for Landlord.

  • Dealer Manager means Realty Capital Securities, LLC, or such other Person selected by the Board of Directors to act as the dealer manager for the Offering.

  • Salesman means an individual, other than a dealer, employed, appointed or authorized by a dealer to sell securities in this state. The partners or executive officers of a registered dealer shall not be deemed salesmen within the meaning of this definition.

  • Loan broker means any person who, for compensation or gain, or in the expectation

  • Broker means any person engaged in the business of effecting transactions in securities for the account of others.

  • Commodity Broker means any person who engages in the business of effecting transactions in Commodity Contracts for the account of others or for his or her own account.

  • Approved Brokers means such firm of insurance brokers, appointed by the Charterer during the Charter Period, as may from time to time be approved in writing by the Mortgagee for the purposes of this Deed;