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Executing Broker Sample Clauses

Executing Broker. Execution Venue Fee Financial Instrument Fractional Shares Insolvency Event a) if a resolution is passed for Your winding up, dissolution or
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Executing Broker. For Documentation Customer Clearing Broker For Documentation For Documentation For Documentation For Documentation For Documentation
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Executing Broker. Execution Venue Fee An Executing Broker as mentioned in the BUX Order Execution Policy. An Execution Venue in the meaning of MiFID II. The fees as published on the Website. Financial Instrument A financial instrument within the meaning of MiFID II offered through any BUX mobile application. Insolvency Event a) if a resolution is passed for Your winding up, dissolution or administration or an order is made against You, the appointment of a receiver, administrator, manager, administrative receiver or similar officer over, or if any encumbrancer takes possession of or sells, all or any part of Your business or assets, the making of an arrangement or composition with Your creditors generally or the making of an application to court for protection of Your creditors generally. If You are part of a partnership, the occurrence of any of the foregoing events in relation to any partner in that partnership shall be deemed an Insolvency Event” in relation to You; or b) if You become insolvent or are otherwise unable to pay Your debts as they fall due, or any act of insolvency or analogous event (to those set out in paragraph (a) above) occurs in respect of You. Laws and Regulations Any applicable Dutch and/or European laws and regulations (including but not limited to the Act on Financial Supervision).
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Executing Broker. Execution Venue Fee Financial Instrument A financial instrument within the meaning of MiFID II offered through Insolvency Event a) if a resolution is passed for Your winding up, dissolution or
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Executing Broker. For Trading For Trading Name: Name: Name of Person: Name of Person: Address: Address: Telephone No.: Telephone No.: Fax No.: Fax No.: E-mail:Email E-mailEmail: berFor B : ctName of Person: ess: Name of Person: Address: hone No.: No.: Telephone No.: Fax No.:
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Executing Broker. Contact Person:....................
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Executing Broker. We believe that it is in the best interests of our customers for us to transmit customer orders to an appropriately regulated broker-dealer with access to various U.S. based execution venues, including market makers. As of the date of this Policy, we have appointed a single provider, RHS, to provide this service. RHS is a broker-dealer registered with the SEC and is a member of the U.S. Financial Industry Regulatory Authority. RHS is not authorised or regulated by the FCA. A fractional order is a term used to describe an order for the purchase or sale of a portion of a share. You may accrue multiple fractions to own more than one share in aggregate. To enable fractional share trading for our customers, RHS may act in a principal, riskless principal, or agency capacity. Please visit our Help Centre to learn more about fractional shares or see the Customer Agreement for a further explanation of conditions, restrictions, and limitations associated with fractional shares. For orders in ‘whole shares’ (non-fractional shares), RHS will act in an agency capacity. The SEC adopted Rule 606 to standardise and improve public disclosure of order routing practices. RHS Rule 606 reports are accessible via the UK Disclosure Library. Please note, any references to payments received from third-party market centres do not apply to UK customer trades. Robinhood UK has established and implemented policies and procedures, including this Policy, which are collectively designed to be sufficient to obtain the best possible results when transmitting customer orders, subject to taking into account any specific instructions, the nature of the orders, and the nature of the markets and the products concerned. When you place orders with us, you consent to your orders being transmitted for execution as described in this Policy. Please refer to our Help Centre for the available order types. When placing an order, we will provide you with the latest prices of the relevant security available to us, which are provided by a third party. At the time of execution this price may have changed. After placing an order, you might have the option to cancel it before it’s executed within our platform. You can only cancel pending orders. You can’t reverse an order that’s been executed in the market. Even if you try to cancel a regular-hours order (good-til-cancelled or good-for-day) for a NASDAQ-listed stock between 9:25 AM ET and 9:30 AM ET, we’ll keep the order open in the pending state until the op...
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Related to Executing Broker

  • Participating Broker Dealer’s acceptance of this Agreement constitutes a representation to the Company and the Dealer Manager that Participating Broker-Dealer has established and implemented an anti-money laundering compliance program (“AML Program”) in accordance with applicable law, including applicable FINRA Rules, rules promulgated by the Commission (the “Commission Rules”) and the Uniting and Strengthening America by Providing Appropriate Tools Required to Intercept and Obstruct Terrorism Act (USA PATRIOT Act) of 2001, as amended by the USA Patriot Improvement and Reauthorization Act of 2005 (the “USA PATRIOT Act”), specifically including, but not limited to, Section 352 of the International Money Laundering Abatement and Anti-Terrorist Financing Act of 2001 (the “Money Laundering Abatement Act” and together with the USA PATRIOT Act, the “AML Rules”), reasonably expected to detect and cause the reporting of suspicious transactions in connection with the sale of Primary Shares. Participating Broker-Dealer covenants that it will perform all activities it is required to perform by applicable AML Rules and its AML Program with respect to all customers on whose behalf Participating Broker-Dealer submits orders to the Company. To the extent permitted by applicable law, Participating Broker-Dealer will share information with the Dealer Manager and the Company for purposes of ascertaining whether a suspicious activity report is warranted with respect to any suspicious transaction involving the purchase or intended purchase of Primary Shares. Upon request by the Dealer Manager at any time, Participating Broker-Dealer hereby agrees to (i) furnish a written copy of its AML Program and relevant legal requirements to the Dealer Manager for review, (ii) provide annual certification to the Dealer Manager that Participating Broker-Dealer has complied with the provisions of its AML Program, and (iii) furnish information regarding the findings and any remedial actions taken in connection with Participating Broker-Dealer’s most recent independent testing of its AML Program. Participating Broker-Dealer further represents that it is currently in compliance with all AML Rules, specifically including, but not limited to, the Customer Identification Program requirements under Section 326 of the Money Laundering Abatement Act, and Participating Broker-Dealer hereby covenants to remain in compliance with such requirements and shall, upon request by the Dealer Manager, provide a certification to Dealer Manager that, as of the date of such certification (i) its AML Program is consistent with the AML Rules, (ii) it has continued to implement its AML Program, and (iii) it is currently in compliance with all AML Rules, specifically including, but not limited to, the Customer Identification Program requirements under Section 326 of the Money Laundering Abatement Act.

  • No Broker Neither Seller nor any Affiliate of Seller has dealt with any broker, investment banker, agent or other Person, except for Buyer or an Affiliate of Buyer, who may be entitled to any commission or compensation in connection with any Transaction.

  • INTRODUCING BROKERS 18.1 The Client may have been referred to Tickmill Ltd by an Introducing Broker. If so, Tickmill Ltd shall not be responsible for any agreement made between the Client and the Client's Introducing Broker. The Client acknowledges that any such Introducing Broker will either be acting as an independent intermediary or an Agent for the Client and that no such Introducing Broker shall be authorised to make any representations concerning Tickmill Ltd or Tickmill Ltd’s Services. 18.2 The Client is specifically made aware that the Client's agreement with its Introducing Broker may result in additional costs as Tickmill Ltd may pay fees or commission to such person. 18.3 The Client is also specifically made aware that the Client's agreement with its Introducing Broker may result in additional costs for the client because the Introducing Broker can deduct commissions and fees as well as price or interest/financing rate adjustments for any trade conducted on or allocated to the Clients account either by the Introducing Broker or the Client. 18.4 If the Introducing Broker undertakes any deductions from the Client's Trading Account according to any agreement between the Client and the Introducing Broker, Tickmill Ltd has no responsibility as to the existence or validity of such an agreement. 18.5 Tickmill Ltd shall have no responsibility or liability to the Client in following the instructions given by the Introducing Broker. Tickmill Ltd is under no obligation to supervise or otherwise know or review the payment instructions or any other acts, including but not limited to the trading, of the Introducing Broker. 18.6 The client acknowledges and accepts that frequent transactions may result in a sum total of commissions, fees, price or interest/financing rate adjustments for trades conducted that may be substantial and not necessarily be offset by the net profits, if any, achieved from the relevant trades. The responsibility for correctly assessing whether the size of the total commissions, fees, price or interest/financing rate adjustments for trades conducted paid from the Client's account makes trading commercially viable, is the combined responsibility of the Client and the Introducing Broker. Tickmill Ltd only acts as the custodian and principal broker, and therefore is not responsible for the size of the commissions and fees as well as price or interest rate paid by the Client. 18.7 Any commissions, fees, price or interest/financing rate adjustments for trades conducted may be shared between the Introducing Broker, Tickmill Ltd and third parties according to the Introducing Broker's written instructions and/or at Tickmill Ltd’s discretion.

  • The Broker Dealer understands and agrees that in performing the services covered by this Agreement, it is acting in the capacity of an independent contractor and not as an agent or employee of PEPCO, and that it is not authorized to act for, or make any representation on behalf of, PEPCO or the Insurer except as specified herein. Broker-Dealer understands and agrees that PEPCO shall execute telephone transfer orders only in accordance with the terms and conditions of the then current prospectus applicable to the contracts and/or policies and agrees that, in consideration for the Broker-Dealer's right to exercise the telephone transfer privilege, neither PEPCO nor the Insurer will be liable for any loss, injury or damage incurred as a result of acting upon, nor will they be held responsible for the authenticity of, any telephone instructions containing unauthorized, incorrect or incomplete information. Broker-Dealer agrees to indemnify and hold harmless PEPCO and the Insurer against any loss, injury or damage resulting from any telephone exchange instruction containing unauthorized, incorrect or incomplete information received from Broker-Dealer or any of its registered representatives. (Telephone instructions are recorded on tape.)

  • Affiliated Brokers The Adviser or any of its affiliates may act as broker in connection with the purchase or sale of securities or other investments for a Fund, subject to: (i) the requirement that the Adviser seek to obtain best execution and price within the policy guidelines determined by the Board and set forth in the Fund’s current prospectus and SAI; (ii) the provisions of the 1940 Act; (iii) the provisions of the Advisers Act; (iv) the provisions of the 1934 Act; and (v) other provisions of applicable law. These brokerage services are not within the scope of the duties of the Adviser under this Agreement. Subject to the requirements of applicable law and any procedures adopted by the Board, the Adviser or its affiliates may receive brokerage commissions, fees or other remuneration from a Fund for these services in addition to the Adviser’s fees for services under this Agreement.

  • No Brokers The Company has taken no action which would give rise to any claim by any person for brokerage commissions, transaction fees or similar payments relating to this Agreement or the transactions contemplated hereby.

  • Payment to Brokers Upon the execution of this Lease by both Parties, Lessor shall pay to said Broker(s) jointly, or in such separate shares as they may mutually designate in writing, a fee as set forth in a separate written agreement between Lessor and said Broker(s) (or in the event there is no separate written agreement between Lessor and said Broker(s), the sum of $ N/A ) for brokerage services rendered by said Broker(s) in connection with this transaction.

  • No Broker’s Fees Neither the Company nor any of its subsidiaries is a party to any contract, agreement or understanding with any person (other than this Agreement) that would give rise to a valid claim against the Company or any of its subsidiaries or any Underwriter for a brokerage commission, finder’s fee or like payment in connection with the offering and sale of the Shares.

  • No Broker Fees No broker’s or finder’s fee or commission will be payable with respect hereto or any of the transactions contemplated thereby; and the Borrower hereby agrees to indemnify the Administrative Agent and the Lenders against, and agree that they will hold the Administrative Agent and the Lenders harmless from, any claim, demand, or liability for any such broker’s or finder’s fees alleged to have been incurred in connection herewith or therewith and any expenses (including reasonable attorneys’ fees) arising in connection with any such claim, demand, or liability.

  • Finders; Brokers None of the Seller Parties has employed any finder or broker in connection with the Purchase who would have a valid claim for a fee or commission from Purchaser in connection with the negotiation, execution or delivery of this Agreement or any of the other Transaction Documents or the consummation of any of the transactions contemplated hereby or thereby.

Most Referenced Clauses

Most Referenced Definitions