NZX Firm definition

NZX Firm means an:
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NZX Firm means any entity designated as an NZX Firm under the Participant Rules of NZX.
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NZX Firm means an: (a) NZX Trading and Advising Firm; (b) NZX Advising Firm; and (c) any company, firm, organisation or corporation or any other business entity designated or approved as an NZX Firm from time to time by NZX pursuant to Rule 3.19; 3.19; “NZX Listed Products” means Financial Instruments Llisted or qQuoted on a market operated or provided by NZX; “NZX Sponsor(s)” means a Market Participant that has been accredited by NZX as an NZX Sponsor for the purpose of bringing, but not distributing, Securities to the markets provided by NZX and includes, but is not limited to those companies, firms and organisations accredited as NZX Sponsors on the NZAX prior to these Rules coming into force; “NZX Trading and Advising Firm” means a Market Participant that has been accredited and approved by NZX as an NZX Trading and Advising Firm for the purpose of providing investment advice and/or Securitiesinvestment recommendations, with respect to transactions in NZX Listed Products, to clients, facilitating Trades in the Securities markets provided by NZX as principal or on behalf of clients and may include being a Market Maker in any of the markets provided by NZX; “NZX Trainer” means a trainer (which may include NZX) or training facility appointed or provided electronically by NZX to undertake any of the initial and ongoing training required under these Rules that has been approved by NZX as an NZX Trainer; “OECD” means the Organisation for Economic Co-operation and Development; “Offer” means the price or yield of Securities to be sold; “Off-Market Trade” means any transaction between Trading Participants in Securities quoted Quoted on a Securities market operated or provided by NZX effected outside the Trading System and includes a Crossing; “One Off Sale” means a one off request received by a Client Advising Participant from a person to sell all of that persons holdings in a given Security or that persons entire holdings in Securities listed or Quoted on a market operated or provided by NZX or otheranother Recognised Securities Exchange that does not result in an ongoing relationship being created between that Client Advising Participant and that person;
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Examples of NZX Firm in a sentence

  • NZX Prescribed Person ConfirmationAs an NZX Market Participant (‘NZX Firm’), Jarden Securities Limited (Jarden) is prohibited under the NZX Participant Rules from buying or selling securities for a Prescribed Person of any other NZX Firm (i.e. another company that has the ability to advise and or trade in financial instruments (e.g. shares) on behalf of clients, on the New Zealand Stock Exchange (see https://www.nzx.com/services/market-participants for the full list of NZX Market Participants).

  • You can find an NZX Firm by visiting www.nzx.com/services/market-participants/find-a-participant.

  • If you wish to invest in the Bonds you should contact your usual authorised financial adviser or an NZX Firm for details as to how you may acquire the Bonds.

  • What you need to do to sell your SharesIf you wish to sell your Shares on the NZX Main Board after confirming your allocation you must contact an NZX Firm and have a CSN and an Authorisation Code (“FIN”).

  • This means you can only apply for Bonds through an NZX Firm or approved financial intermediary who has obtained an allocation.

  • You must return a completed Application Form (with payment) to the office of the NZX Firm or financial intermediary in time to enable it to be forwarded to the Securities Registrar before 5.00pm on the Closing Date.

  • NZX Prescribed Person Confirmation As an NZX Market Participant, Craigs Investment Partners Limited is prohibited under the NZX Participant Rules from buying or selling securities for a Prescribed Person of any other NZX Firm.

  • It will be a matter for the NZX Firm or selected trading bank to decide how they make allocations amongst their eligible retail clients and whether your Application will be scaled back.

  • If the meeting does proceed, the chairperson, in consultation with those in attendance, will determine what actions can/cannot be agreed in light of the absence of particular agencies.

  • Brokerage may be payable in respect of such sales.Alternatively, you may transfer your Rights off-market by completing the ‘Security Renunciation/Security Transfer’ section of the Acceptance Form and returning it to Link.You may purchase additional Rights through an NZX Firm or any other channel approved by NZX.Trading of Rights will commence on the NZX Main Board under the ticker code MOARC on 14 March 2019, and will end at 5pm on 1 April 2019.


More Definitions of NZX Firm

NZX Firm means a participant in the markets provided by NZX who has been accredited and approved by NZX as an NZX Firm.
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Related to NZX Firm

  • CPA Firm has the meaning set forth in Section 4.1(d)(iii).

  • 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.

  • 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.

  • Independent Firm has the meaning set forth in Section 10.03 of this Agreement.

  • Audit Firm means a firm which provides audit services;

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

  • Valuation Firm means a nationally recognized independent investment banking or valuation firm with expertise in the oil and gas sector.

  • Advisory Firm means an accounting firm that is nationally recognized as being expert in Covered Tax matters, selected by the Corporation.

  • 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 Company prior to a Change in Control for purposes of making the applicable determinations hereunder and is reasonably acceptable to Executive, which firm shall not, without Executive’s consent, be a firm serving as accountant or auditor for the individual, entity or group effecting the Change in Control.

  • 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;

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

  • foreign firm means a business entity owned or controlled by one or more foreign nationals or a business entity in which more than 50 percent of the stock is owned or controlled by one or more foreign nationals.

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

  • Lobbying firm means any business entity, including an individual contract lobbyist, which meets either of the following criteria:

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

  • Clearing Firm or “Clearing Member” means an entity or individual meeting the requirements of, and approved for, clearing membership at the Clearing House that is authorized pursuant to the Clearing House Rules to clear trades in any or all of the Contracts and that meets the qualification of the Exchange pursuant to Rule 902. A Clearing Firm is authorized to access Eris Exchange to effect transactions. A Clearing Firm may trade for its own proprietary account or an account on behalf of its Customer (e.g., as a broker). A Clearing Firm may trade on behalf of a Customer with an account at a different Clearing Firm acting as a broker or performing an equivalent agency function. The different Clearing Firm is responsible for approving the Clearing Firm for such Customers pursuant to a Clearing Participant Letter of Guarantee. The term “Clearing Firm” collectively refers to all Authorized Traders of a Clearing Firm authorized to utilize Eris Exchange.

  • Tax Advisor means a United States tax counsel or accountant of recognized national standing.

  • Selected Firm means the firm who is selected by the City and to whom the City Council/City Manager awards a contract for the services or commodities requested in this solicitation.

  • Independent Expert means a Person or entity with no material current or prior business or personal relationship with the Advisor or the Directors and who is engaged to a substantial extent in the business of rendering opinions regarding the value of assets of the type held by the Company.

  • Dispute Date means, with respect to a Dispute, the date on which a Dispute Notice is effectively delivered by one party to the other party save that if, with respect to a Dispute, both parties deliver a Dispute Notice, the date on which the first in time of such notices is effectively delivered will be the Dispute Date. Each Dispute Notice will be effectively delivered if delivered in the manner agreed between the parties for the giving of notices in respect of this Agreement.

  • 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.

  • Selling Firms has the meaning specified in section 5.1;

  • 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.

  • Dispute Period shall have the meaning specified in Section 9.3(a).

  • Independent Accountant has the meaning set forth in Section 2.04(c)(iii).

  • 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;