Dual Representative definition

Dual Representative has the meaning set forth in Section 12.03(e).
Sample 1Sample 2
Dual Representative means a Registered Representative of UMBDS, who is also an employee of an investment advisor, or other firms such as third party marketers, of investment companies or others for which UMBDS or its affiliates act as agent and/or provide other services.
Sample 1Sample 2
Dual Representative has the meaning ascribed to it in Section 2(k)(ii).
Sample 1

Examples of Dual Representative in a sentence

  • Distributor may terminate the registration with Distributor of any such Dual Representative with or without cause at any time, in its sole discretion.

  • The parties will notify each other promptly if either receives any customer complaint or notice of any regulatory investigation or proceeding or judicial proceeding with respect to their respective activities or the activities of any Dual Representative.

  • Broker/Dealer shall ensure that each Dual Representative will be registered and qualified as necessary with the NASD and any appropriate state regulatory authority, and will be deemed an associated person of Broker/Dealer within the meaning of Section 3(a)(18) of the 0000 Xxx.

  • Insurance Agency shall terminate or suspend from all Variable Products activities conducted by Insurance Agency any Dual Representative whom the SEC, the NASD or any other self-regulatory organization bars or suspends from association with Broker/Dealer or any other broker/dealer.

  • Each Dual Representative shall be subject to and shall comply fully with such operating and other policies and procedures as may be established from time to time by Distributor and communicated to such Dual Representative (the “Procedures”) and all applicable laws, rules and regulations.

  • In no event and under no circumstances shall any Dual Representative provide investment advice or make any recommendations about any investment including an investment in the Funds during the scope of such Dual Representative’s registration by UMBDS pursuant to this Agreement.

  • Iran announced it had begun industrial-scale nuclear fuel production in a fresh snub to the U.N. Security Council, which has imposed two rounds of sanctions on it for refusing to halt such work.

  • UMBDS may terminate the registration with UMBDS of any such Dual Representative with or without cause at any time, in its sole discretion.

  • Each Dual Representative shall be subject to and shall comply fully with such operating and other policies and procedures as may be established from time to time by Distributor and communicated to such Dual Representative (the "Procedures") and all applicable laws, rules and regulations.

  • As discussed in Sections V(F) and VI, if circumstances warrant, the Member(s) of UMBDS may ban an Access Person, or a Dual Representative that is not an Access Person (and a Registered Representative supervising such Dual Representative), from all personal securities transactions or require the pre-clearance of any such transactions, or impose such other restrictions as it deems necessary or appropriate.


More Definitions of Dual Representative

Dual Representative means each of Bxxxxx Xxx, Axxxx Xxxxxxx, Sxxxxx Xxxxxxxxxxx and Mxxxxx Xxxxxx.
Sample 1

Related to Dual Representative

  • Personal representative means the person or persons who, upon the disability or incompetence of a Participant, shall have acquired on behalf of the Participant, by legal proceeding or otherwise, the power to exercise the rights or receive benefits under this Plan and who shall have become the legal representative of the Participant.

  • Representative means, with respect to any Person, any and all directors, officers, employees, consultants, financial advisors, counsel, accountants and other agents of such Person.

  • legal personal representative means the personal or other legal representative of the shareholder;

  • Designated Representative has the meaning set forth in Section 6(j)(v) of this Agreement.

  • Partnership Representative has the meaning set forth in Section 5.2(a).

  • Advisory Representative means any Supervised Person, who in connection with his or her regular functions or duties, normally makes, participates in, or otherwise obtains current information regarding the Purchase or Sale of a Security by the Firm, or whose functions relate to the making of any recommendations with respect to such purchases or sales, and any natural Person in a Control relationship to the Firm who obtains information concerning recommendations made concerning a Purchase or Sale of a Security. This definition includes but is not limited to the following: partner, officer, Manager, investment person, Portfolio Manager and any other Supervised Person of the Firm designated as an “Advisory Representative” from time to time by the Review Officer.