Broker or Custodian definition

Broker or Custodian means each securities company, custodian, organisation or entity that is a depository participant that is: (i) approved by TSD (as the sole Central Securities Depository in Thailand) to use its depositing, withdrawing, and transferring securities services or its clearing for transfer of securities services as a depositor; and (ii) keeping the tendered Source Bonds owned by each relevant Eligible Bondholder under its account(s) in the depository system provided by the TSD.
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Examples of Broker or Custodian in a sentence

  • From and after the submission of your Exchange Offer Form, the Source Bonds offered for exchange may not be sold, transferred, conveyed, encumbered or otherwise disposed of, and the Issuer, your Broker or Custodian and the BOT (as the registrar of Source Bonds) shall not record or implement any such sale, transfer, conveyance, encumbrance or disposition, until the Settlement Date, except for the transfer or surrender of such Source Bonds to the Issuer in accordance with this Exchange Offer Memorandum.

  • All information and recommendations furnished by GBM Wealth Management to Client and all information regarding the operation and investment of Assets in the Account, including but not limited to any non-public personal information about Client that GBM Wealth Management receives from Client, Broker or Custodian (“Customer Information”), shall be regarded and treated as confidential by the parties hereto.

  • Contractor will permit County, or any duly authorized agent of County, to inspect and examine the books and records of Contractor for the purpose of verifying the amount of work performed under the Scope of Services.

  • Further, Client acknowledges and agrees that GBM Wealth Management will not be responsible for advising the Client on the Broker or Custodian with respect to services, trade execution quality, etc.

  • Client acknowledges that, unless otherwise disclosed in writing to Client, neither Adviser nor any of its representatives are agents of Broker or Custodian, and that no party shall be liable for any act or omission of another party or their agents or employees.

  • Advisor is not responsible for any reports furnished to Client by Broker or Custodian for the Account.

  • The parties further understand and acknowledge that GBM Wealth Management is a financial institution subject to federal and state customer and consumer privacy law and regulations, including Title V of the Xxxxx-Xxxxx- Xxxxxx Act (15 U.S.C. 6801, et seq.) and regulations promulgated thereunder, such as Regulation S-P (collectively, the “Privacy Laws”), and any Customer Information that GBM Wealth Management receives from Client, Broker or Custodian is received with limitations on its use and disclosure.

  • The parties further understand and acknowledge that GBM Wealth Management is a financial institution subject to federal and state customer and consumer privacy law and regulations, including Title V of the Xxxxx-Xxxxx-Xxxxxx Act (15 U.S.C. 6801, et seq.) and regulations promulgated thereunder, such as Regulation S-P (collectively, the “Privacy Laws”), and any Customer Information that GBM Wealth Management receives from Client, Broker or Custodian is received with limitations on its use and disclosure.

  • Advisor and each of its members, officers, employees and other applicable representative as well as their respective successors, assignees and transferees will not be responsible for any loss incurred by reason of any act or omission of Broker or Custodian.

  • Client hereby acknowledges and agrees that if a Broker or Custodian identified Exhibit A was selected by the Client independently, that such Broker or Custodian was not recommended to the Client by GBM Wealth Management.

Related to Broker or Custodian

  • Repo Custodian shall have the meaning set forth in the preamble of this Agreement.

  • Primary Custodian the meaning set forth in Rule 17f-7(b)(2).

  • DTC Custodian means the custodian of the DTC Notes on behalf of DTC, which initially shall be the Global Agent.

  • Qualified custodian means the following independent institutions or entities that are not affiliated with the investment adviser by any direct or indirect common control and have not had a material business relationship with the investment adviser in the previous two years:

  • Sub-Custodian means and include (i) any branch of a “U.S. bank,” as that term is defined in Rule 17f-5 under the 1940 Act, and (ii) any “Eligible Foreign Custodian” having a contract with the Custodian which the Custodian has determined will provide reasonable care of assets of the Fund based on the standards specified in Section 3.3 below. Such contract shall be in writing and shall include provisions that provide: (i) for indemnification or insurance arrangements (or any combination of the foregoing) such that the Fund will be adequately protected against the risk of loss of assets held in accordance with such contract; (ii) that the Foreign Securities will not be subject to any right, charge, security interest, lien or claim of any kind in favor of the Sub-Custodian or its creditors except a claim of payment for their safe custody or administration, in the case of cash deposits, liens or rights in favor of creditors of the Sub-Custodian arising under bankruptcy, insolvency, or similar laws; (iii) that beneficial ownership for the Foreign Securities will be freely transferable without the payment of money or value other than for safe custody or administration; (iv) that adequate records will be maintained identifying the assets as belonging to the Fund or as being held by a third party for the benefit of the Fund; (v) that the Fund’s independent public accountants will be given access to those records or confirmation of the contents of those records; and (vi) that the Fund will receive periodic reports with respect to the safekeeping of the Fund’s assets, including, but not limited to, notification of any transfer to or from a Fund's account or a third party account containing assets held for the benefit of the Fund. Such contract may contain, in lieu of any or all of the provisions specified in (i)-(vi) above, such other provisions that the Custodian determines will provide, in their entirety, the same or a greater level of care and protection for Fund assets as the specified provisions.

  • Indian custodian means any Indian person who has legal custody of an Indian child under tribal law or custom or under State law or to whom temporary physical care, custody, and control has been transferred by the parent of such child;

  • Independent Custodian means Deutsche Bank AG, London Branch.

  • Custodian means any receiver, trustee, assignee, liquidator or similar official under any Bankruptcy Law.

  • Book-Entry Custodian The custodian appointed pursuant to Section 5.01.

  • ADS Custodian means the person then acting as custodian under the Deposit Agreement. The ADS Custodian as of the Issue Date is The Bank of New York Mellon.

  • Certificate Custodian Initially, First Union National Bank; thereafter any other Certificate Custodian acceptable to The Depository Trust Company and selected by the Trustee.

  • Securities Custodian means the Trustee, as custodian with respect to the Securities in global form, or any successor thereto.

  • Approved Custodian means a pool custodian or other Person that Lender deems acceptable, in its sole discretion, to hold Mortgage Loans for inclusion in a Mortgage Pool or to hold Mortgage Loans as agent for an Investor that has issued a Purchase Commitment for those Mortgage Loans.

  • Note Custodian means the Trustee, as custodian with respect to the Notes in global form, or any successor entity thereto.

  • Foreign Custodian means a bank or other financial institution (other than a Foreign Depository) located outside the U.S. which is utilized by the Custodian, in connection with the purchase, sale or custody of Securities or cash hereunder and is identified to the Fund from time to time by the Custodian.

  • AFFILIATED SUBCUSTODIAN means a Subcustodian that is an Affiliate.

  • Subcustodian means a bank (including any branch thereof) or other financial institution (other than a Foreign Depository) located outside the U.S. which is utilized by Custodian in connection with the purchase, sale or custody of Securities hereunder and identified to the Fund from time to time, and their respective successors and nominees.

  • Depository Agent is defined in Section 2.6(a) of the Agreement.

  • Bankruptcy Custodian means any receiver, trustee, assignee, liquidator or similar official under any Bankruptcy Law.

  • Eligible Depository Any Reserve Bank or any depository institution or trust company incorporated under the laws of the United States of America or any state thereof and subject to supervision and examination by federal or state banking authorities, so long as at the time of determination of eligibility the commercial paper or other short-term debt obligations of such depository institution or trust company (or, in the case of a depository institution that is the principal subsidiary of a holding company, the commercial paper or other short-term debt obligations of such holding company) have the Highest Credit Rating Available from at least one Rating Agency.

  • Community custody means that portion of an offender's

  • Security Custodian means the custodian with respect to any Global Security appointed by the Depositary, or any successor Person thereto, and shall initially be the Paying Agent.

  • Common Depository has the meaning specified in Section 304(b).

  • Legal custodian means an individual who is at least 18 years of age in whose care a minor child remains or is placed after a court makes a finding under section 13a(5) of chapter XIIA of the probate code of 1939, 1939 PA 288, MCL 712A.13a.

  • Depository The Depository Trust Company, or any successor Depository hereafter named. The nominee of the initial Depository for purposes of registering those Certificates that are to be Book-Entry Certificates is Cede & Co. The Depository shall at all times be a "clearing corporation" as defined in Section 8-102(a)(5) of the Uniform Commercial Code of the State of New York and a "clearing agency" registered pursuant to the provisions of Section 17A of the Securities Exchange Act of 1934, as amended.

  • Document Custodian means the Custodian when acting in the role of a document custodian hereunder.