Broker or facilitator definition

Broker or facilitator means a person that conducts a business in which, for a fee or consideration, the person:
Broker or facilitator means a person that conducts a business in which, for a fee or consider- ation, the person:

Related to Broker or facilitator

  • Facilitator ’ means a person who impar- tially aids in the discussions and negotiations among the members of a negotiated rule- making committee to develop a proposed rule;

  • Marketplace facilitator means a person that:

  • Investment Facilitators/Advisors means an individual, firm, corporate or other entity appointed by the Management Company to identify, solicit and assist investors in investing in the Scheme. The investment facilitator/advisor is not authorized to perform the Distribution Functions. The Management Company shall compensate the Investment Facilitators.

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

  • Portfolio Supervisor means First Trust Advisors L.P. and its successors in interest, or any successor portfolio supervisor appointed as hereinafter provided."

  • Person responsible means the owner, or the person having the charge, management or control of an activity, enterprise, or undertaking;

  • Executor means any executor, administrator or other person administering the estate of a deceased person;

  • Government Representative means any officer or employee of the state or a political

  • Direct visual supervision means the supervisory dentist

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

  • 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.

  • AFFILIATED SUBCUSTODIAN means a Subcustodian that is an Affiliate.

  • Curator means any person who is authorized to act under letters of curatorship granted or signed and sealed by a Master, or under an endorsement made under section seventy-two;

  • legal personal representative means the personal or other legal representative of the shareholder;

  • Trustee Functions means the functions set out in paragraph 6;

  • Official Receiver means the Official Assignee appointed under the Bankruptcy Act (Cap. 20) and includes the deputy of any such Official Assignee and any person appointed as Assistant Official Assignee;

  • 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.

  • 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:

  • Liquidator has the meaning set forth in Section 13.2.A hereof.

  • Selling Institution The entity obligated to make payments to the Issuer under the terms of a Participation Interest.

  • legal person means, with reference to each Contracting Party, any entity having its registered office in the territory of one of them and recognized as public bodies, companies of persons or capital, foundations, associations, and independently of Whether or not it is a limited liability.

  • Group supervision means the process of clinical supervision of no more than six persons in a group setting provided by a qualified supervisor.

  • Immediate supervision means under the physical and visual supervision of a pharmacist;

  • Underwriting Guidelines The underwriting guidelines of the Seller, a copy of which is attached as an exhibit to the related Assignment and Conveyance.

  • Qualified Correspondent Any Person from which the Seller purchased Mortgage Loans, provided that the following conditions are satisfied: (i) such Mortgage Loans were originated pursuant to an agreement between the Seller and such Person that contemplated that such Person would underwrite mortgage loans from time to time, for sale to the Seller, in accordance with underwriting guidelines designated by the Seller ("Designated Guidelines") or guidelines that do not vary materially from such Designated Guidelines; (ii) such Mortgage Loans were in fact underwritten as described in clause (i) above and were acquired by the Seller within 180 days after origination; (iii) either (x) the Designated Guidelines were, at the time such Mortgage Loans were originated, used by the Seller in origination of mortgage loans of the same type as the Mortgage Loans for the Seller's own account or (y) the Designated Guidelines were, at the time such Mortgage Loans were underwritten, designated by the Seller on a consistent basis for use by lenders in originating mortgage loans to be purchased by the Seller; and (iv) the Seller employed, at the time such Mortgage Loans were acquired by the Seller, pre-purchase or post-purchase quality assurance procedures (which may involve, among other things, review of a sample of mortgage loans purchased during a particular time period or through particular channels) designed to ensure that Persons from which it purchased mortgage loans properly applied the underwriting criteria designated by the Seller.