Connected Broker definition

Connected Broker means a broker that is a Connected Person.
Sample 1Sample 2Sample 3

Examples of Connected Broker in a sentence

  • Employ as a broker, directly or indirectly, any director, officer or employee of the Fund or its Management Company or any Connected Person or member of the family of such person and enter into transactions with any Connected Broker, which shall equal or exceed 10% of the transactions of the Fund in any one Accounting Year of that Fund.

  • Connected Broker Valuable Capital LimitedVALUABLE CAPITAL SPC-VCL MULTI STRATEGY FUND SEGREGATED PORTFOLIO1,250,000 0.50% 0.13% VALUABLE CAPITALSPC-VCL MULTI STRATEGY FUND SEGREGATED PORTFOLIO isa member of the same group as Valuable Capital Limited.

  • Employ as a broker, directly or indirectly, any director, officer or employee of the Fund or its Management Company or any Connected Person or member of the family of such person and enter into transactions with any Connected Broker, which shall equal or exceed 10% of the transactions of the Fund in any one Accounting Year of that Fund.Provided that the Commission may, in each case on merits, permit the 10% limit to be exceeded if the connected broker offers advantages to the Fund not available elsewhere.

  • NBFC(II)-R-/AHIM-PIEIF/796 dated 10 November 2005, approved a limited relaxation of this limit for the first year, so that the 10% limit of transactions with a Connected Broker will apply to a period exceeding one year; Explanation: For the purposes of this Section the term “family” includes spouse, lineal ascendants and descendants and brothers and sisters.

  • For the first year of the Fund, the 10% restriction on transactions with a Connected Broker may be calculated using a time period of more than an year.

  • Employ as a broker, directly or indirectly, any director, officer or employee of the Fund or its Management Company or any Connected Person or member of the family of such person and enter into transactions with any Connected Broker, which shall equal or exceed 10% of the transactions of the Fund in any one Accounting Year of that Fund; provided that such broker shall not have a common director, officer or employee with the Management Company.

  • Employ as a broker, directly or indirectly, any director, officer or employee of the Fund or its Management Company or any Connected Person or member of the family of such person and enter into transactions with any Connected Broker, (ii) The Fund Property shall be subject to such exposure limits as are provided in the Rules and Regulations, (subject to any exemptions that may be specifically allowed to the Fund by the Commission).

Related to Connected Broker

  • 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.

  • Associate broker means a licensed broker who is employed by

  • Approved Broker means a Firm-approved third-party broker for Employee Securities Accounts.

  • Data Broker means either of the following:

  • Introducing Broker means any financial institution or advisor or legal or natural person obtaining remuneration from the Company and/or Clients for introducing Clients/interested parties to the Company.

  • 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.

  • Connected Person in relation to a company, means:

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

  • 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.

  • Mortgage broker means any person who for compensation or

  • Connected Load - means the customer’s total load connected to the Company’s system.

  • insurance broker means an insurance brokerage firm,

  • Pawnbroker means the same as that term is defined in Section 13-32a-102.

  • Funding and Brokerage Fees means, in respect of a Series, all applicable fees other than the Arranger Fees, including, but not limited to, margin interest, securities lending fees, brokerage fees and costs of transaction taxes on the sale or purchase of Reference Assets (where relevant).

  • inter-dealer bond broker means a person or company that is approved by the Investment Industry Regulatory Organization of Canada under its Rule No. 36 Inter-Dealer Bond Brokerage Systems, as amended, and is subject to its Rule No. 36 and its Rule 2100 Inter-Dealer Bond Brokerage Systems, as amended from time to time;

  • Connected Persons means, in each case, to the extent that they are involved in the Transaction are the Employer’s directors, shareholders, affiliate(s), officers, employees and advisers, agents and representatives;

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

  • Loan broker means any person who, for compensation or gain, or in the expectation

  • Broker means any person engaged in the business of effecting transactions in securities for the account of others.