Principal firm definition

Principal firm means a firm that engages a subagent to provide brokerage services in a transaction.
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Principal firm means a firm who engages a subagent to provide brokerage services in a transaction.
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Principal firm means an intermediary firm which engages with, controls, co-ordinates and operates with product providers through, a network of Appointed Representatives;
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Examples of Principal firm in a sentence

  • Similarly, for Appointed Representatives, the Principal firm is responsible for ensuring adherence to this Guide and the Regulatory framework, irrespective of whether they have an individual scheme and trading relationship with us.

  • The Principal firm shall be responsible to the Owner for the work of all associates, and sub - consultants, whether or not they are employees of the Consultant.

  • All information will be held indefinitely for the purposeof complaints administration and meeting its obligations as Principal firm as required under the Financial Services and Markets Act as amended from time to time.

  • Applicant means a person or persons applying for any Mortgage Products.Application means any application for a Mortgage Product made by an Applicant and submitted by you to Zephyr via the Online Portal.Appointed Representative means a person who acts as the Principal firm’s appointed representative (as defined in section 39 of FSMA) in accordance with the FCA Rules and for whom the Principal firm has responsibility.

  • The Principal firm shall be responsible to the Owner for the work of all associates, and sub- consultants, whether are not they are employees of the firm.

  • The Principal firm shall be responsible to the Owner for the work of all associates, and sub-consultants, whether are not they are employees of the Consultant.

  • Detailed address of the Principal firm of the bidder along with phone and fax number with STD code ( if the bidder is authorised dealer of the Manufacture).

  • Within thirty (30) days of notification of award from the Board, the successful Bidder shall furnish the Performance Security in the form of bank guarantee issued by a reputable bank (as per enclosed list of Attachment – 15) having license to do business in India in accordance with Attachment 2 ”Performance Security Form” provided in Special Conditions Contract for an amount equivalent to 12% (ten percent Principal firm and two percent representative firm) of the Contract Price.

  • The Principal firm submitting the bid should have minimum turn over of Rs. 1.00 crore during the last three consecutive financial years i.e. 2016-17, 2017-2018 & 2018-19.

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More Definitions of Principal firm

Principal firm means a firm or company registered as such under our articles and Bylaws.
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Principal firm means a firm who engages a
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Principal firm means a firm who engages a sub- agent to provide brokerage services in a transaction.
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Related to Principal firm

  • Principal Financial Center means, in the case of any Currency, the principal financial center where such Currency is cleared and settled, as determined by the Administrative Agent.

  • Principal Financial Centre means, in relation to any currency, the principal financial centre for that currency provided, however, that:

  • Party A Final Exchange Amount An amount in Dollars equal to the principal amount outstanding of the Relevant Notes on the Final Exchange Date (before taking into account any redemption on such day).

  • 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;

  • Principal Financial Officer shall have the meanings given to such terms in the Xxxxxxxx-Xxxxx Act.

  • Party A Interim Exchange Amount In respect of each Interim Exchange Date, an amount in Dollars equal to the principal amount of the Relevant Notes redeemed on such Interim Exchange Date.

  • Principal Funds With respect to the Mortgage Loans and any Distribution Date, the sum, without duplication, of (1) the scheduled principal due during the related Due Period and received before the related Servicer Remittance Date or advanced on or before the related Servicer Remittance Date, (2) prepayments in full collected in the related Prepayment Period, (3) the Stated Principal Balance of each Mortgage Loan that was purchased by the Depositor during the related Prepayment Period or, in the case of a purchase pursuant to Section 9.01, on the Business Day prior to such Distribution Date, (4) the amount, if any, by which the aggregate unpaid principal balance of any Replacement Mortgage Loan is less than the aggregate unpaid principal of the related Deleted Mortgage Loans delivered by the Sponsor in connection with a substitution of a Mortgage Loan pursuant to Section 2.03(c), (5) all Liquidation Proceeds collected during the related Prepayment Period (to the extent such Liquidation Proceeds relate to principal and represent payment in full), (6) all Subsequent Recoveries received during the related Due Period and (7) all other collections and recoveries in respect of principal during the related Due Period, less (A) all Non-Recoverable Advances relating to principal with respect to the Mortgage Loans and (B) other amounts reimbursable (including without limitation indemnity payments) to the Servicer and the Trustee pursuant to this Agreement allocable to principal.

  • 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.

  • Principal Finance Documents means the Credit Agreement, the Senior Secured Note Indenture, the Intercreditor Arrangements and any Additional Agreement.

  • 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.

  • Party B Final Exchange Amount The Sterling equivalent of the Party A Final Exchange Amount converted by reference to the Dollar Currency Exchange Rate.

  • Additional Financial Centre(s means the city or cities specified as such in the relevant Final Terms;

  • Principal Funding Investment Shortfall means, with respect to each Transfer Date relating to the Controlled Accumulation Period, the amount, if any, by which the Principal Funding Investment Proceeds for such Transfer Date are less than the Covered Amount determined as of such Transfer Date.

  • Alternative Investments means investments in the said State which are within the ability and competence of the Company or of corporations which are related to the Company for the purposes of the Companies (Western Australia) Code and which are approved by the Minister from time to time as alternative investments for the purpose of this Agreement (which approval shall not be unreasonably withheld in the case of an investment which would add value or facilitate the addition of value, beyond mining, to the mineral resources of the said State);”;

  • 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.

  • 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.

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

  • Principal Holder means a person who, directly or indirectly, beneficially owns or controls 10% or more of any class of voting securities of the Corporation.

  • 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.

  • Principal Funding Investment Proceeds means, with respect to each Transfer Date, the investment earnings on funds in the Principal Funding Account (net of investment expenses and losses) for the period from and including the immediately preceding Transfer Date to but excluding such Transfer Date.

  • Principal Funding Account shall have the meaning specified in subsection 4.03(a)(i).

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

  • body in which the relevant person has a beneficial interest means a firm in which the relevant person is a partner or a body corporate of which the relevant person is a director, or in the securities of which the relevant person has a beneficial interest;

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

  • collective investment scheme means any arrangements with respect to property of any description, including money, the purpose or effect of which is to enable Persons taking part in the arrangements (whether by becoming owners of the property or any part of it or otherwise) to participate in or receive profits or income arising from the acquisition, holding, management or disposal of the property or sums paid out of such profits or income.

  • Principal Facility means the real property, fixtures, machinery and equipment relating to any facility owned by the Issuer or any Subsidiary, except for any facility that, in the opinion of the Board of Directors, is not of material importance to the business conducted by the Issuer and its Subsidiaries, taken as a whole.