DEA client definition

DEA client means a client that is granted direct electronic access by a participant dealer;
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DEA client means a client that is granted direct electronic access by a participant dealer; “DEA client identifier” means a unique client identifier assigned to a DEA client;
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DEA client means a third party that has been provided with electronic access to the Exchange Systems by a Sponsoring Member in accordance with NI 23-103 and UMIR.
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Examples of DEA client in a sentence

  • A marketplace participant must apply its risk management and supervisory controls, policies and procedures to all trading conducted under its marketplace participant identifier including trading conducted by a DEA client.

  • NI 23-103 requires each DEA client to have a unique identifier in order to track orders originating from that DEA client.

  • A participant dealer is responsible for ensuring that each DEA client is assigned a DEA client identifier under subsection 4.6(1) and for ensuring that every order entered by a DEA client using DEA includes the appropriate DEA client identifier under subsection 4.6(4).

  • In this type of circumstance and if a participant dealer establishes and applies appropriate DEA client standards, we would consider it to be acceptable for individuals to use DEA.

  • Support Use of DEA Client Identifiers 9.1 A marketplace must not permit a marketplace participant to provide direct electronic access to a person or company unless the marketplace’s systems support the use of DEA client identifiers.

  • Regulation 23-103 requires each DEA client to have a unique identifier in order to track orders originating from that DEA client.

  • Specifically, it ensures that the compliance personnel at the participant dealers obtain information regarding DEA client orders and trades so that they can appropriately monitor trading.

  • The risk arises due to the high degree of connectivity and rapid speed of communication among marketplaces, marketplace participants and DEA client systems required for electronic trading.

  • This new obligation would require a DEA client to inform the participant dealer, in writing, of all individuals acting on the DEA client’s behalf that it has authorized to use the DEA client identifier to the participant dealer and to update this list as necessary.

  • DEA Client Identifiers A marketplace must not permit a marketplace participant to provide direct electronic access unless the marketplace’s systems support the use of DEA client identifiers.


More Definitions of DEA client

DEA client means a client who is granted direct electronic access by a participant dealer;
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Related to DEA client

  • Retail Client means a client who is not a professional client;

  • 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.

  • 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.

  • Customer means the State agency or other entity identified in a contract as the party to receive commodities or contractual services pursuant to a contract or that orders commodities or contractual services via purchase order or other contractual instrument from the Contractor under the Contract. The “Customer” may also be the “Buyer” as defined in the PUR 1001 if it meets the definition of both terms.

  • Customer relationship means a continuing relationship between a consumer and a licensee under which the licensee provides one or more insurance products or services to the consumer that are to be used primarily for personal, family or household purposes.

  • Contact means a communication, direct or indirect, between an athlete agent and a student athlete, to recruit or solicit the student athlete to enter into an agency contract.

  • Customer Confidential Information means Confidential Information of the Customer provided to Computershare.