NZX Trading and Advising Firm definition

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 Securities recommendations 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;
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Examples of NZX Trading and Advising Firm in a sentence

  • NZX Trading and Advising Firm has the meaning given to that term in the NZX Participant Rules.

  • This type of participant does not engage in direct trading but can forward client orders to an NZX Trading and Advising Firm.

  • The nominee will be a registered financial service provider and NZX Trading and Advising Firm which is not under investigation by the Financial Markets Authority or NZX, but MHI Australia may also appoint an equivalent entity to carry out this function in Australia and through ASX.

  • The relatively high value found for ABI-PP is partly due to the high flexibility of this compound (13 rotatable bonds vs.

  • NZX Trading and Advising Firm An NZX Trading and Advising Firm is able to engage in the full range of trading and advisory services on any of NZX’s markets.

  • Payment for holidays will not be included in severance pay if the employee terminates prior to the 16th day of the month.

  • NZX TRADING AND ADVISING FIRMFIXED CHARGESInitial Fee$40,000Monthly Fee$2,500Annual Fee$10,000An NZX Trading and Advising Firm can also become a Delivery and Settlement Participant and not incur any further fixed charges.

  • In a determination of the NZ Markets Disciplinary Tribunal ( the Tribunal) dated 14 May 2013, the Tribunal found that an NZX Trading and Advising Firm (the NZX Firm) had breached NZX Participant Rule (Rule) 15.17.1.

  • MAQA is a NZX Trading and Advising Firm and is, accordingly, subject to the NZX Participant Rules ( Rules).

  • The purpose is twofold: the day assists the Committee in developing in greater depth its understanding of the relevant issues; and it enables the Committee to encourage inputs into its work from all interested parties.

Related to NZX Trading and Advising Firm

  • Trading and Settlement Code means the Trading and Settlement Codedeveloped pursuant to Section 9(1)(d) of the Act as from time to time, revised, amended, supplemented or replaced with the approval or at the instance of the Commission;

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

  • 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).