NZX Advising Firm definition

NZX Advising Firm means a Market Participant that has been accredited and approved by NZX as an NZX Advising Firm for the purpose of providing investment advice and/or Securities recommendations to clients;
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NZX Advising Firm means a Market Participant that has been accredited and approved by NZX as an NZX Advising Firm for the purpose of providing investment advice and/or investment recommendations, with respect to transactions in NZX Quoted Products, to clients;
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Examples of NZX Advising Firm in a sentence

  • And for the purposes of this paragraph, Rule 15.8.1(b) shall be read as if the NZX Advising Firm is a client of the Trading Participant.

  • Whether the client who has entered/submitted that Order, or any other person who the Trading Participant, NZX Advising Firm or Advisor knows to be a Related Party of that client, may have a beneficial interest in creating a false or misleading market in, or the price/yield of, any Security/Contract When receiving an Order, NZX Participants must consider whether the client, or parties related to the client, may benefit from the creation of a false market for, or price/yield of a financial product.

  • And for the purposes of this paragraph, Rule 15.9.1(b) shall be read as if the NZX Advising Firm is a client of the Trading Participant.

  • Note that Routine 2(i +1)terminates when either (i) there is no facility with negative profit or (ii) closing any facilitywith negative profit does not increase the profit of the corresponding firm.

  • HHG has been accredited and approved by NZX as an NZX Advising Firm with the ability to provide investment advice and/or Securities recommendations to clients.

  • The details provided are true and correct to the best of my/our knowledge and I/we have the authority to provide this information.I/we have read, understood and agree to be bound by the Direct Broking Client Agreement which is governed by FNZC’s Client Agreement General Terms and Conditions, as amended from time to time.I/we confirm that none of the applicants or any person associated with this application is a Prescribed Person of an NZX Market Participant or of an NZX Advising Firm.

  • Each Trading Participant, NZX Advising Firm or Distribution and Underwriting Sponsor must maintain an up-to-date register of any such requests arising from special personal circumstances of its Employees.

  • HHG has been accredited and approved by NZX as an NZX Advising Firm and by the FMA in accordance with the FMCA as a licensed Financial Advice Provider (FSP23642) HHG has the ability to provide Financial Advice in the form of recommendations to hold, acquire or dispose of financial products or Securities to clients.

  • As an NZX Advising Firm and a Market Participant (as those terms are defined in the NZX Participant Rules) and a FMC Derivatives Issuer, OMF is required to ask you for this information.

  • Employee and Prescribed Person trading rulesThe current trading requirements for employees and “Prescribed Persons” as defined in the Rules of a Trading Participant, NZX Advising Firm and a Distribution and Underwriting Sponsor are set out in Rule 10.5.Rule 10.5 requires Employees and Prescribed Persons of these NZX Participants to obtain written authority from an appropriate party before dealing in any securities on their own personal account.

Related to NZX Advising Firm

  • Accounting Firm means a nationally recognized certified public accounting firm or other professional organization that is a certified public accounting firm recognized as an expert in determinations and calculations for purposes of Section 280G of the Code that is selected by the Corporation prior to a Change in Control for purposes of making the applicable determinations hereunder.

  • Independent Adviser means an independent financial institution of international repute or an independent financial adviser with appropriate expertise appointed by the Issuer under Condition 5(j)(i).