MiFID firm definition

MiFID firm means a person undertaking any of the regulated activities in relation to financial instruments in Chapter 2 of Part 6 of Schedule 2 to the Act;
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MiFID firm means a Participant which is an investment firm authorized under MIFID II or a credit institution authorized under CRD IV (including an EU branch of a non-EU investment firm or credit institution which is itself subject to the requirements of MIFID II);
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MiFID firm means a Participant which is an investment firm or a credit institution authorized that is authorised in the UK and subject to the requirements of MiFIR (including an UK branch of a non-UK investment firm or non-UK credit institution which is itself subject to the requirements of MIFIR);
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Examples of MiFID firm in a sentence

  • In such an event, there is a risk that Firm B may be incentivised to seek to minimise its credit risk exposure by closing the open positions of retail clients who have a 53 It should be noted that, in accordance with the MiFID obligations relating to the safeguarding of client assets (Article 13(7) and 13(8) of MiFID), Firm B is not permitted to the assets or funds of a retail client to conclude its transaction with Firm A.

  • Legend for issuances involving one or more MiFID Firm manufacturers.

  • Consequently no key information document 1 Legend for issuances involving one or more MiFID Firm manufacturers.

  • Issuer:The Hong Kong Mortgage Corporation Limited香港按揭證券有限公司2.(i)(ii)Series Number:Tranche Number:[ ][ ] (If fungible with an existing Series, details of that Series, including the date on which the Notes become fungible.) (1) Legend for issuances involving one or more MiFID Firm manufacturers.

  • Concorde Investments Ireland Limited (“CII”) is incorporated in Ireland under registration number C175134 and authorised by the Central Bank of Ireland as a MiFID Firm under European Union (Markets in Financial Instruments) Regulation 2017 (“MiFID II”).

  • CCS can be used to capture CO2 produced by industrial point-sources, and transport it to a storage site, thus reducing emissions to the atmosphere.

  • Notwithstanding anything to the contrary, nothing in this Agreement shall restrict or preclude Executive from, or otherwise influence Executive in, reporting possible violations of federal law or regulation to a governmental agency or entity, or participating in or testifying fully and truthfully in legal or administrative proceedings against the Related Parties.

  • Concorde Investments Ireland Limited (“CII”) is incorporated in Ireland under registration number 607311 and authorised by the Central Bank of Ireland under reference number C175134 as a MiFID Firm under European Union (Markets in Financial Instruments) Regulation 2017 (“MiFID II”).

  • In addition to the target market assessment, MiFID Firm manufacturers must determine a distribution strategy which is consistent with the identified target market, including appropriate distribution channels.

  • Legend for issuance involving one or more MiFID Firm manufacturers.


More Definitions of MiFID firm

MiFID firm means a firm which is subject to MiFID;
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MiFID firm means a person undertaking any of the regulated activities in relation to
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MiFID firm means an authorised person subject to the Financial
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Related to MiFID firm

  • Pre-FIRM means construction or other development for which the “start of construction” occurred before the effective date of the initial Flood Insurance Rate Map.

  • 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;

  • CPA Firm has the meaning set forth in Section 2.3(c).

  • Audit Firm means a firm which provides audit services;

  • Post-FIRM means construction or other development for which the “start of construction” occurred on or after the effective date of the initial Flood Insurance Rate Map.

  • Accounting Firm has the meaning set forth in Section 2.3(c).

  • Business firm means a person that transacts business on a regular and continual basis, or a person that proposes to transact business on a regular and continual basis.

  • the Firm s Part 4A permission” means the Part 4A permission granted by the Authority to the Firm;

  • Consulting Firm has the meaning set forth in Section II.A.4.

  • Selling Firm has the meaning given to it in Section 2(1);

  • sponsoring firm means the firm registered in a jurisdiction of Canada on whose behalf an individual acts as a dealer, an underwriter, an adviser, a chief compliance officer or an ultimate designated person;

  • Independent Financial Expert means a U.S. investment banking firm of national standing in the United States, (i) which does not, and whose directors, officers and employees or affiliates do not have a direct or indirect material financial interest for its proprietary account in the Company or any of its affiliates and (ii) which, in the judgment of the board of directors of the Company, is otherwise independent with respect to the Company and its affiliates and qualified to perform the task for which it is to be engaged.

  • Company Representative means the person or persons appointed and approved in writing from time to time by the Company to act on its behalf for overall co- ordination.

  • Certified Firm means a small business certified under ORS 200.055 by the Oregon Certification Office for Business Inclusion and Diversity (COBID) as minority-owned businesses, woman-owned businesses, businesses that service-disabled veterans own, and emerging small businesses.

  • Independent Accounting Firm has the meaning set forth in Section 2.05(c).

  • 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 Company, qualified to perform the task for which it has been engaged.

  • Integration Proponent means in relation to an Integration Agreement, “the Company” or “the Joint Venturers” as the case may be as defined in, and for the purpose of, that Integration Agreement;

  • Independent Financial Adviser means an independent financial institution of international repute appointed by the Company at its own expense.