Financial Intermediary definition

Financial Intermediary means a financial intermediary as that term is defined in Rule 22c-2.

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Financial Intermediary. A broker, dealer, bank or other financial institution or other Person that clears through or maintains a custodial relationship with a Clearing Agency Participant. Fitch: Fitch, Inc., or any successor in interest.

Financial Intermediary means each brokerage firm, bank, thrift institution or other financial intermediary that maintains the account for each Person who owns a beneficial ownership interest in the Book-Entry Notes.

Examples of Financial Intermediary in a sentence

• If the TIN, ITIN, or GII is not known, the instructions must include an equivalent identifying number of the Shareholder(s) or the Financial Intermediary Fund Account(s) or other agreed upon information to which the instruction relates.

• Financial Intermediary agrees to cooperate with JPMII to satisfy JPMII’s AML due diligence policies, which may include annual AML compliance certifications, periodic AML due diligence reviews and/or other requests deemed necessary to ensure its compliance with the AML regulations.

• Neither JPMII nor Financial Intermediary shall be liable for special, consequential or incidental damages.

• Financial Intermediary represents that it has established an Anti-Money Laundering Program (“AML Program”) that is designed to comply with applicable U.S. laws, regulations, and guidance, including rules of self-regulatory organizations, relating to the prevention of money laundering, terrorist financing, and related financial crimes.

• Financial Intermediary additionally agrees to inform the Fund whether it plans to perform (i) or (ii).

More Definitions of Financial Intermediary

Financial Intermediary. A broker, dealer, bank or other financial institution or other Person that clears through or maintains a custodial relationship with a Clearing Agency Participant.

Financial Intermediary means any financial institution regardless of its form and ownership, including fund-of-funds, private equity investment funds, public investment funds, banks, micro-finance institutions and guarantee societies;

Financial Intermediary means a bank, broker, clearing corporation or the Person (or the nominee of any of them) that in the ordinary course of its business maintains security accounts for its customers and is acting in that capacity.

Financial Intermediary. Each brokerage firm, bank, thrift institution or other financial intermediary that maintains the account for each person who owns a beneficial ownership interest in the Notes issued in global form. Fitch: Fitch Ratings, Inc., and its successors. ▇▇▇▇▇▇▇ Mac: Federal Home Loan Mortgage Corporation, a stockholder-owned company chartered by Congress pursuant to the ▇▇▇▇▇▇▇ Mac Act.

Financial Intermediary is defined in SEC Rule 22c-2(c)(1) as: “

Financial Intermediary means : (i) any broker, dealer, bank, or other person that holds securities issued by the Trust, in nominee name; (ii) a unit investment trust or fund that invests in the Trust in reliance on section 12(d)(1)(E) of the 1940 Act; and (iii) in the case of a participant-directed employee benefit plan that owns the securities issued by the Trust, a retirement plan’s administrator under section 3(16)(A) of ERISA or any person that maintains the plan’s participant records.

Financial Intermediary means a regulated firm that is authorised by the Central Bank of Ireland to give investment advice and which is an appointed agent of the Bank.