Financial professional definition

Financial professional means a producer that is regulated and acting as:

Financial professional means a producer that is regulated and acting as any of the following:

Financial professional means any professional employee of Nomura Group in the area of finance, controllers, tax, treasury, risk management or investor relations and also includes the Group CEO, the Chief Financial Officer, the Chief Risk Officer and a chairman of the Disclosure Committee of the Company and all Division Heads, all Business Division Heads, all Business Line Heads, all Business Infrastructure Division Heads and Regional Heads of Nomura Group.

Examples of Financial professional in a sentence

• Financial professional would mean an insurance agent that is regulated and acting as any of the following:• A broker-dealer registered under federal securities laws or a registered representative of a broker-dealer.• An investment adviser registered under federal securities laws or an associated investment adviser representative.• A fiduciary under the Internal Revenue Code (26 USC 4975) or a plan fiduciary under ERISA (29 USC 1002).

• Financial professional should refer to the detailed procedures for the registration type on the resource center.

• Financial professional means an insurance agent that is regulated and acting as any of the following:• A broker-dealer registered under federal securities laws or a registered representative of a broker-dealer.• An investment adviser registered under federal securities laws or an associated investment adviser representative.• A fiduciary under the Internal Revenue Code (26 USC 4975) or a plan fiduciary under ERISA (29 USC 1002).

• For the purposes of this policy, “ancillary” is taken as being linked directly to the existing use of the unit, and comprising no more than 10% of the total floor area up to a total of 1,000 sq metres (gross).Class 2 (Financial, professional services), Class11 (Assembly and Leisure), and activities which do not fall within a specific use class (sui generis) will be considered in relation to their suitability to the industrial estate concerned, and the supply of serviced employment land.

• Development consisting of a change of use of anybuilding with a display window at ground floor level to a use falling within Class A1 (Shops) of the Schedule to the Use Classes Order from a use falling within Class A2 (Financial, professional and other services).Class DPermitted development D.

More Definitions of Financial professional

Financial professional means any professional employee of Nomura Group in the area of finance, controllers, tax, treasury, risk management or investor relations and also includes the Chief Executive Officer, the Chief Financial Officer, and a Chairman of the Disclosure Committee of the Company and all Business Line Heads and Regional Managements of Nomura Group.

Financial professional. This Schedule of Commissions and Service Fees ("Schedule") supersedes any previous Schedules, is hereby made part of our dealer agreement ("Agreement") with you and will remain in effect until modified or rescinded by us. Capitalized terms used in this Schedule and not defined herein have the same meaning as such terms have in the Agreement. All commission rates and service fee rates set forth in this Schedule may be modified by us from time to time without prior notice.

Financial professional means a licensee that is regulated and acting as:

Financial professional means an insurance producer who is regulated and acting as:

Financial professional means the registered representative who sold you this policy.

Financial professional means an ASIC registered Financial Services Licence Holder or a Licensed Authorised Representative; or, a qualified accountant who is a member of a relevant Professional Association, and who is recognised by the Committee as having appropriate expertise to be a Collaborative professional.

Financial professional. An individual affiliated with a firm through which an Account Owner acquires Units – including, but not limited to a broker, a financial advisor or a Registered Investment Advisor – who provides investment advice or other services to their clients.