Client Broker definition

Client Broker has the meaning set forth in Section 6.1 hereof.
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Examples of Client Broker in a sentence

  • In such case, Client, Broker and (for purposes of acknowledgment) Issuer shall cooperate to establish a new trading plan in accordance with the requirements of Rule 10b5-1(c).

  • Client hereby acknowledges that directing Investment Manager to use a particular Client Broker may limit Investment Manager’s ability to achieve best execution.

  • In such case, Client, Broker and (for purposes of acknowledgement) Issuer shall cooperate to establish a new trading plan in accordance with the requirements of Rule 10b-5(c).

  • The evaluation of responses will be based on a number of factors, weighted according to the needs and judgment of the City of Port Alberni.• The successful proponent will enter into a formal Client Broker Agreement with the City of Port Alberni.• A Request for Proposals or Request for Quotes will be prepared at the outset of adoption of this policy, and in five year intervals thereafter.• The City retains the right to replace the Investment Manager at any time.

  • Any purchase or sale transactions contemplated for a City investment account must be authorized by an individual specified in the Client Broker Agreement as authorized to do so.

  • 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.

  • If Broker is an exclusive agent, and during the period of this agreement the property is sold by Client, Broker, a cooperating broker, or anyone else; or if Broker is a non-exclusive agent and the property is sold to a Purchaser identified by Xxxxxx and submitted to Client in writing; or should any of the aforementioned produce a Purchaser ready, willing, and able to purchase the property; Client agrees to pay compensation as stated above.

  • GBM Wealth Management does not assume responsibility for (a) the accuracy of information furnished by Client, Broker, Custodian or any other party and maintained in GBM Wealth Management's records, or (b) any loss incurred by or resulting from, directly or indirectly, the removal or withdrawal by Client of any monies or Securities from the Account.

  • A Client Broker that can represent a Web Client or a Grid Client enters in the market to ask for web workload or for plain re- sources.

Related to Client Broker

  • Data Broker means either of the following:

  • 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.

  • Seller’s Broker means CB Xxxxxxx Xxxxx.

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

  • Approved Broker means any of the companies listed on Schedule 7 or such other company proposed by the Borrowers which the Agent may, with the consent of the Majority Lenders (such consent not to be unreasonably withheld), approve from time to time for the purpose of valuing a Ship, who shall act as an expert and not as arbitrator and whose valuation shall be conclusive and binding on all parties to this Agreement;

  • Associate broker means a licensed broker who is employed by

  • Introducing Broker means a third party who introduces prospective Clients to the Company.

  • 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.

  • 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.

  • 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.

  • Morgan Stanley Broker means a broker-dealer affiliated with Morgan Stanley.

  • Real estate brokerage activity means any activity that involves offering or providing real estate brokerage services to the public, including:

  • Client means the Project lead of technical wing of the Purchaser for whose’ particular project the Goods / Services have been procured or any other person, duly appointed in writing, by the Client, for the time being or from time to time, to act as Client for the purposes of the Contract.

  • 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;

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

  • Designated Broker Agreement means an agreement between the Manager, on behalf of the ETFs, and a Designated Broker;

  • 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.

  • 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.

  • investor of a Contracting Party means: (a) A natural person having the nationality of a Contracting Party in accordance with its applicable law; or (b) An enterprise constituted or organised under the applicable law of a Contracting Party; Making or having made an investment in the other Contracting Party's territory.

  • Mortgage broker means any person who for compensation or

  • Advisory Services means the non-binding investment advisory services rendered by the Portfolio Manager to the Client. The Portfolio Manager shall be solely acting as an advisor to the Portfolio of the Client and shall not be responsible for the investment / divestment of Securities.

  • Advisory Client means any client (including both investment companies and managed accounts) for which Invesco serves as an investment adviser, renders investment advice, or makes investment decisions.

  • Surplus lines broker means a person licensed pursuant to Article 5.1 (§ 38.2-1857.1 et seq.) of this

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

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