Directed Brokerage definition

Directed Brokerage means the circumstance where a client directs BBH to use a particular broker or dealer.
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Directed Brokerage means brokerage services comprising (i) the selection of brokers and
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Examples of Directed Brokerage in a sentence

  • Beneficial ownership includes having any direct or indirect financial interest in an account – including an account with a financial institution or a 401(k) plan (that includes Directed Brokerage or the ability to invest in Firm-advised mutual funds) or other employee benefit account – regardless of the name in which the account is held.

  • A discussion of the implications of entering into directed brokerage arrangements including using GWWAMC or Fidelity to execute transactions appears in Item 12.B. Brokerage Practices/ Directed Brokerage.

  • Directed Brokerage Account – An alternative method for Investment Plan members to select various investments options otherwise not available in the Investment Plan.

  • Prior to opening a Self Directed Brokerage Account (SDBA), participants will be required to sign an agreement acknowledging their understanding that he or she exercises exclusive control over his/her SDBA and that the Board does not select or monitor the investment options traded in the SDBA.

  • For more information, see Holland Capital’s Policies and Procedures Concerning Brokerage Practices and Policies and Procedures Relating to Soft Dollars and Directed Brokerage.

  • This process does not apply to products offered in the Self Directed Brokerage Window.

  • See Directed Brokerage disclosure, below, for additional information.

  • Please refer to Item 12 for a more complete discussion of the effects of Directed Brokerage.

  • Beneficial ownership includes having any direct or indirect financial interest in an account — including an account with a financial institution or a 401(k) plan (that includes Directed Brokerage or the ability to invest in Firm-advised mutual funds) or other employee benefit account — regardless of the name in which the account is held.

  • A discussion of the implications of entering into directed brokerage arrangements and using GWWAMC to execute transactions appears in Item 12.C. Brokerage Practices / Directed Brokerage.

Related to Directed Brokerage

  • 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.

  • 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;

  • Data Broker means either of the following:

  • Brokerage means the provision by a third party of services, for a fee, to source Sub-Contractors to provide the Services on behalf of the Provider.

  • 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).

  • 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;

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

  • 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.

  • insurance broker means an insurance brokerage firm,

  • Associate broker means a licensed broker who is employed by

  • 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.

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

  • Commodity Broker means any person who engages in the business of effecting transactions in Commodity Contracts for the account of others or for his or her own account.

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

  • Brokerage Fee means the fee payable to the Broker for the purchase by any Person of Interests in an Initial Offering equal to an amount agreed between the Managing Member and the Broker from time to time and specified in any Series Designation.

  • 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;

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

  • Brokers and Finders' Fees............................................ 13 2.14

  • Seller’s Broker means CB Xxxxxxx Xxxxx.

  • 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.

  • Renminbi Dealer means an independent foreign exchange dealer of international repute active in the Renminbi exchange market in Hong Kong reasonably selected by the Issuer.

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

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

  • Mortgage broker means any person who for compensation or

  • Commissions means the Commissions with Jurisdiction over the Issuer (as defined on page 4) and the securities commissions incorporated in the definition of this term in other parts of the Subscription Agreement;