EU investment firm definition

EU investment firm means an undertaking, other than a bank, authorized to provide investment services having its registered office and head office in the same member state of the European Union, other than Italy;
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EU investment firm means an investment firm or a similar foreign person authorised by the supervisory authority of another EU member state to provide at least one main investment service,
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Examples of EU investment firm in a sentence

  • The HEIs promote their studies at education fairs and at schools visits in the region.

  • In particular, the Company shall ensure that the EU investment firm keeps clients’ funds in segregated bank accounts in order to be separated from its own funds and that regular reconciliations are performed as regards clients’ funds.

  • Staff seconded from a parent undertaking in a third country to an EU subsidiary that is an investment firm or a branch who, were they employed directly by the EU investment firm or branch, would fall into the scope of identified staff of that EU investment firm or branch, are identified staff.

  • It is understood that the Company will ensure that the EU investment firm follows equivalent procedures with the Company as regards safeguarding of clients’ funds.

  • In particular, the client’s funds will be transferred to the EU investment firm through which clients’ transactions will be executed in order to meet client’s obligation to provide collateral for a transaction (for example, a margin requirement).

  • Such seconded staff should be subject to the remuneration provisions within Directive (EU) 2019/2034 as they are implemented in the Member State where the EU investment firm or branch is established and applicable Regulatory Technical Standards.

  • Where the seller is not an EU investment firm (but the buyer is), the publication obligation should be on the buyer.

  • Where the seller is not an EU investment firm (but the buyer is), the publication obligation is on the buyer.

  • Such seconded staff should be subject to the remuneration provisions within Directive (EU) 2019/2034 as they are implemented in the Member State where the EU investment firm or branch is established and to applicable Regulatory Technical Standards.

  • The Commission’s December 2017 Proposals to empower the ECB to supervise within the SSM large systemic investment firms, as well as banks,87 can be directly related to Brexit, being designed to address the supervision of the UK investment firms which dominate in the EU investment firm sector and which are likely to relocate part of their operations to the EU.

Related to EU investment firm

  • investment firm means any legal person whose regular occupation or business is the provision of one or more investment services to third parties and/or the performance of one or more investment activities on a professional basis;

  • Investment Adviser or "Adviser" means a party furnishing services to the Trust pursuant to any contract described in Article IV, Section 7(a) hereof;

  • CDS Global Warrants means Warrants representing all or a portion of the aggregate number of Warrants issued in the name of the Depository represented by an Uncertificated Warrant, or if requested by the Depository or the Corporation, by a Warrant Certificate;

  • Independent Financial Advisor means an accounting, appraisal, investment banking firm or consultant to Persons engaged in Similar Businesses of nationally recognized standing that is, in the good faith judgment of the Issuer, qualified to perform the task for which it has been engaged.

  • Investment Amount means the dollar amount to be invested by Investor to purchase Put Shares with respect to any Put as notified by the Company to Investor in accordance with Section 2.2.