Intermediary definition

Intermediary means “a person who actively participates in the facilitation of the contract or negotiating the contract, including a broker, adviser, attorney, or representative of or agent for the business entity who:

Intermediary means a “financial institution” as defined in SEC Rule 22c-2.

Intermediary means a person who:

Examples of Intermediary in a sentence

• Openmarkets (or the Intermediary on Openmarkets’ behalf) will notify you of any refusal or limitation as soon as practicable.

• The Intermediary has no authority to extend the Settlement Date and Time.

• In placing an Order the Client is acting as principal or as an Intermediary on another’s behalf (and if acting as an Intermediary the Client is specifically authorised to transact the ASX Derivatives Products by terms of a licence held by the Client, a trust deed or an agency contract).

• The Client also agrees that Openmarkets may use such recordings for the purposes of resolving disputes, and monitoring compliance by the Client or the Intermediary with their regulatory and contractual obligations.

• You acknowledge that if the Intermediary stops using our service, your participation will also be terminated.

More Definitions of Intermediary

Intermediary means a person who: (i) carries on a business which consists of, or includes, the receipt of payments from an investment undertaking on behalf of other persons; or (ii) holds Participating Shares in an investment undertaking on behalf of other persons;

Intermediary means OpenDeal Portal LLC, a registered securities crowdfunding portal CRD#283874, or a qualified successor.

Intermediary for purposes of this rule, means a person:

Intermediary means a broker, an agent or any other person, by whatever name called, who arranges or facilitates the supply of goods or services or both, or securities, between two or more persons, but does not include a person who supplies such goods or services or both or securities on his own account;

Intermediary means an insurance company separate account.

Intermediary means any entity that in the ordinary course of its business maintains securities accounts for others and is acting in that capacity.

Intermediary means an entity contracted directly with an insurer or with another entity contracted with an insurer to facilitate the sale of the insurer’s annuities by producers.