Examples of Servicing Agent in a sentence
Within the United States, Resolute shall enter into Servicing Agent agreements only with members in good standing of FINRA or financial intermediaries otherwise exempt from registration as a broker-dealer for receiving transaction based compensation, such as banks and trust companies.
At the request of the Client, Resolute shall enter into Servicing Agent agreements with securities dealers, depository institutions and other financial intermediaries for the purpose of facilitating the offer, sale and redemption of Shares by Shareholders; provided, that the Client and the Client’s Adviser shall pre-approve the forms of agreements with Servicing Agents and shall have the right to approve any compensation set forth therein or any material changes from such pre-approved forms.