Client Financial Instruments definition

Client Financial Instruments means a financial instrument as defined in MiFID II and an investment instrument as defined in section 2(1) of the Investment Intermediaries Act, 1995.
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Client Financial Instruments means financial instruments as defined in Regulation 3(1) of the MiFID Regulations or investment instruments as defined in section 2(1) of the Investment Intermediaries Act 1995, which are held by an investment firm on behalf of a client and includes, without limitation, any—
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Client Financial Instruments means “client financial instruments” as defined in the Irish Client Asset Rules;
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Examples of Client Financial Instruments in a sentence

  • The manner in which we handle your assets is governed by Part 6 of the Client Asset Requirements, Central Bank (Supervision and Enforcement) Act 2013 (Section 48(1)) (Investment Firms) Regulations 2017 (SI 604 of 2017) and Schedule 3 Safeguarding Client Financial Instruments and Funds, EU MiFIR 2017.

  • Such Assets shall be delivered in accordance to the Client’s instructions to the Client, but the Company has the right to refuse transfer of the Client Financial Instruments and/or Client money to a third party.

  • The Client may request and the Company shall provide the Client upon such request with additional information on the steps followed by the Company to ensure protection of Client Money and/or Client Financial Instruments.

  • The Company will take the necessary steps to ensure that any Client Financial Instruments deposited with a third party, are identifiable from any Financial Instruments belonging to the Company or such third party by means of differently titled accounts on the books of such third party or other equivalent measures that achieve the same level of protection as provided by Applicable Regulations.

  • Client Assets consist of Client Funds and Client Financial Instruments.

  • The Firm is deemed to hold Client Financial Instruments where the firm has been entrusted by or on account of a client with those instruments and holds those instruments or entrusts those instruments to any nominee and in respect of which the Firm has capacity to effect transactions.

  • Client Financial InstrumentsAll Client Financial Instruments are held in Pooled Accounts with the investment managers.

  • The list of third parties with whom BCWM place Client Assets and Client Financial Instruments is set out below in Section F.

  • The Client Financial Instruments will at all times be segregated from the Company’s own.

  • Other information concerning the safeguarding of Client Financial Instruments or funds.


More Definitions of Client Financial Instruments

Client Financial Instruments means financial instruments as defined in Regulation 3(1) of the European Communities (Markets in Financial Instruments) Regulations 2007 (S.I. No. [60] of 2007) or investment instruments as defined in section 2(1) of the Investment Intermediaries Act 1995, which is held by an investment firm on behalf of a client and includes, without limitation, any -
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Client Financial Instruments means Financial Instruments which are held by the Bank on behalf of a Client and includes, without limitation, any:
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Client Financial Instruments means all of the Financial Instruments of the Client or rights of the Client with respect to Financial Instruments, which are, pursuant to the terms and conditions of this Agreement, held by the Client with the Custodian, AEBB and/or AGCS, a Subcustodian or a Depositary;
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Client Financial Instruments means financial instruments as defined in Regu- lation 3(1) of the MiFID Regulations or investment instruments as defined in
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Related to Client Financial Instruments

  • Financial Instruments means commodities, securities, and derivatives of all types, including, without limitation, stocks and other equity instruments, bonds and other debt instruments, commodities and futures, forwards, swaps, and options that derive their value from bonds, equities, commodities or indices thereof.

  • Financial Instrument means those instruments specified in Section C of Annex I;

  • Capital Instruments Regulations means the Delegated Regulation and any other rules or regulations of the Relevant Authority or which are otherwise applicable to the Issuer or the Group (as the case may be and, where applicable), whether introduced before or after the Issue Date of the relevant Series of Notes, which prescribe (alone or in conjunction with any other rules or regulations) the requirements to be fulfilled by financial instruments for their inclusion in the Own Funds to the extent required under the CRD IV Package;

  • Reporting Financial Institution means any Member State Financial Institution or San Marino Financial Institution, as the context requires, that is not a Non-Reporting Financial Institution.

  • your financial institution means the financial institution nominated by you on the DDR at which the account is maintained.

  • UK Financial Institutions means any BRRD Undertaking (as such term is defined under the PRA Rulebook (as amended from time to time) promulgated by the United Kingdom Prudential Regulation Authority) or any person falling within IFPRU 11.6 of the FCA Handbook (as amended from time to time) promulgated by the United Kingdom Financial Conduct Authority, which includes certain credit institutions and investment firms, and certain affiliates of such credit institutions or investment firms.

  • Non-Reporting Financial Institution means any Financial Institution that is:

  • Licensed financial institution means a financial institution issued a license under this act.

  • Financial Instruments Accounts Act means the Swedish Financial Instruments Accounts Act (lag (1998:1479) om kontoföring av finansiella instrument).

  • UK Financial Institution means any BRRD Undertaking (as such term is defined under the PRA Rulebook (as amended from time to time) promulgated by the United Kingdom Prudential Regulation Authority) or any person falling within IFPRU 11.6 of the FCA Handbook (as amended from time to time) promulgated by the United Kingdom Financial Conduct Authority, which includes certain credit institutions and investment firms, and certain affiliates of such credit institutions or investment firms.

  • regulated financial institution means a state or nationally chartered bank, savings and loan association or savings bank, credit union, trust company, or other state or federally chartered lending institution or a regulated affiliate or regulated subsidiary of any of these entities.

  • Designated Financial Institution shall have the meaning specified in Section 14.12(a).

  • International Financial Institution means any bank in the top 1,000 (together with their affiliated companies) as measured by "Tier 1" capital or any broker/dealer in the top 100 as measured by capital.

  • Trade Instruments means any performance bonds, advance payment bonds or documentary letters of credit issued in respect of the obligations of any member of the Group arising in the ordinary course of trading of that member of the Group.

  • GM Financial means AmeriCredit Financial Services, Inc. d/b/a GM Financial.

  • foreign financial institution means an institution registered as a foreign financial institution with the Ministry of Finance in the Mexican Banking and Financial Institutions, Pensions, Retirement and Foreign Investment Funds Registry for purposes of Article 195, Section I of the Mexican Income Tax Law.

  • Credit Risk Management Agreement The respective agreements between the Credit Risk Manager and the Servicer and/or Master Servicer regarding the loss mitigation and advisory services to be provided by the Credit Risk Manager.

  • EEA Financial Institution means (a) any credit institution or investment firm established in any EEA Member Country which is subject to the supervision of an EEA Resolution Authority, (b) any entity established in an EEA Member Country which is a parent of an institution described in clause (a) of this definition, or (c) any financial institution established in an EEA Member Country which is a subsidiary of an institution described in clauses (a) or (b) of this definition and is subject to consolidated supervision with its parent.

  • Affected Financial Institution means (a) any EEA Financial Institution or (b) any UK Financial Institution.

  • Financial Institutions has the meaning set forth in the preamble in this Agreement.

  • terrorism financing means directly or indirectly, unlawfully and wilfully, provides or collects funds with the intention that they should be used or in the knowledge that they are to be used, in full or in part, in order to carry out acts of terrorism.

  • Financial Instrument Obligations means obligations arising under:

  • National Instrument 51-102 means National Instrument 51-102 Continuous Disclosure Obligations;

  • Interim Financing means any new financial assistance, provided by an existing or a new creditor, that includes, as a minimum, financial assistance during the stay of individual enforcement actions, and that is reasonable and immediately necessary for the debtor's business to continue operating, or to preserve or enhance the value of that business;

  • Financial Letter of Credit means any Letter of Credit other than a Performance Letter of Credit.

  • Financial Contracts means any arrangement that: