Broker Dealer of Record definition

Broker Dealer of Record means GWM Limited or any successor or replacement thereto or any other entity appointed as broker dealer of record in accordance with the terms of the Broker Dealer of Record Agreement.
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Broker Dealer of Record the “Custodian”, the “Principal Paying Agent”, the “Registrar”, the “Calculation Agent”, the “Issue Agent”, the “Placing Agent” and the “Sale Agent” shall be construed as a reference to the party or parties identified in Column 1 of Schedule 1 acting in that capacity in relation to the Notes pursuant to the relevant Series Documents (as defined below) specified in Column 3 of Schedule 1.
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Broker Dealer of Record with respect to any Note is the Broker-Dealer which placed the Order for such Note or whom the Existing Owner of such Note has designated as its Broker-Dealer with respect to such Note, in each case as reflected in the records of the Auction Agent.
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Examples of Broker Dealer of Record in a sentence

  • GWM Limited (who may act as the Broker Dealer of Record and/or Portfolio Administrator and/or Authorised Participant in respect of a Series of ETP Securities) and the Determination Agent are under the common ownership of Xxxx Xxxxxxxx who is also a director of the Arranger.

  • The Broker Dealer of Record, however, has agreed to indemnify the Issuer against any loss, cost, claim, action, demand or expense which the Issuer may incur as a result of any such claims by the Margin Loan Provider.The provisions of this Condition 6.6 shall survive notwithstanding any redemption of the ETP Securities or the termination or expiration of any Programme Document.

  • GWM Limited (die kan optreden als de Broker Dealer of Record xx/xx Xxxxxxxxxxxxxxxxxxxxx xx/xx Xxxxxxxxxxxxxx Deelnemer met betrekking tot een Serie ETP Effecten) en de Bepalingsagent zijn onder de gemeenschappelijke eigendom van Xxxx Xxxxxxxx, die ook een bestuurder is van de Arrangeur.

  • The Broker Dealer of Record, however, has agreed to indemnify the Issuer against any loss, cost, claim, action, demand or expense which the Issuer may incur as a result of any such claims by the Margin Loan Provider.

  • GWM Limited (die kan optreden als de Broker Dealer of Record en/of Portefeuillebeheerder en/of Geautoriseerde Deelnemer met betrekking tot een Serie ETP Effecten) en de Bepalingsagent zijn onder de gemeenschappelijke eigendom van Xxxx Xxxxxxxx, die ook een bestuurder is van de Arrangeur.

  • If for any reason the Broker Dealer of Record cannot or does not honour such indemnity, such claim would negatively impact the value of the ETP Securities of such outstanding Series of ETP Securities.

  • Therefore if the Issuer has a claim against the Determination Agent and the Determination Agent cannot satisfy such claim in full, the Issuer shall have no recourse against GWM Limited in its capacity as Portfolio Administrator, Broker Dealer of Record or Second Authorised Participant in respect of such claim.

  • Securities held in Securities Account In respect of the Securities held in respect of the Notes in the Securities Account, which is held with the Securities Account Provider, the Issuer will grant security interests over the Securities Account and the Securities Account Agreement pursuant to the New York law governed Charging Instrument entered into between the Issuer, the Trustee and the Broker Dealer of Record dated on or about the Issue Date.

  • Prospective investors should be aware that GWM Limited (which may act as the Broker Dealer of Record and/or Portfolio Administrator and/or Second Authorised Participant in respect of certain Series of ETP Securities) and the Determination Agent are under the common ownership of Jose Gonzalez who is also a director of the Arranger.

  • The Issuer, the Arranger, the Trustee, the Margin Loan Providers, the Broker Dealer of Record, the Authorised Participants or any Affiliate of such persons are not responsible for compliance by a prospective investor of such ETP Securities (whether for its own account or for the account of any third party) with such investment laws, regulations and/or restrictions.

Related to Broker Dealer of Record

  • Broker-Dealer Any broker or dealer registered under the Exchange Act.

  • Regular Dealer means a firm that meets the definition set forth in Section VII(c).

  • Custodian of a government record or "custodian" means in the

  • Version of Record is defined as the final version of the Contribution as originally published, and as may be subsequently amended following publication in a contractually compliant manner, by or on behalf of the Publisher.

  • Close of Business on any given date shall mean 5:00 P.M., New York City time, on such date; provided, however, that if such date is not a Business Day it shall mean 5:00 P.M., New York City time, on the next succeeding Business Day.