sponsoring firm definition

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;
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sponsoring firm means the registered firm where you will carry out your duties as a registered or permitted individual; and
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sponsoring firm means the Member who is party to this Agreement, whereby it will take full responsibility for activities undertaken by the Sponsored User on Turquoise.
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More Definitions of sponsoring firm

sponsoring firm means the registered firm where you will carry out your duties as a registered or permitted individual. Canadian Investment Manager designation” means the designation earned through the Canadian investment manager program prepared and administered by CSI Global Education Inc. and so named on the day this Instrument comes into force, and every program that preceded that program, or succeeded that program, that does not have a significantly reduced scope and content when compared to the scope and content of the first-mentioned program;
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sponsoring firm means the firm on whose behalf an individual is registered to act; and “working office” means the office of a firm where an individual does most business.
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sponsoring firm means the registered firm on whose behalf an individual acts as a dealer, an underwriter, an adviser, a chief compliance officer or an ultimate designated person; (« société parrainante »)
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sponsoring firm means the firm on whose behalf an individual is registered to act; ( société parrainante) and
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sponsoring firm means the registered firm where you will carry out your duties as a registered or permitted individual. “Derivatives” means financial instruments, such as futures contracts (including exchange traded contracts), futures options and swaps whose market price, value or payment obligations are derived from, or based on, one or more underlying interests.
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sponsoring firm means, for a registered individual, the registered firm on whose behalf the individual is registered to trade or advise.
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Related to sponsoring 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 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.

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

  • Sponsoring Broker means a Participant other than a DMA Customer that allows its designated Customers to access the SEF Platform using the Participant ID of the Participant and (i) with respect to Cleared Swaps, is a Clearing Member; and (ii) with respect to Non-Cleared Swaps, is (x) an FCM or Introducing Broker; or (y) non-U.S. Person acting in a similar capacity that is not required to register as an FCM or Introducing Broker under the Act and that is appropriately licensed in a jurisdiction where its DMA Customer is located.

  • Dispute Board (DB) means the person or persons named as such in the SCC appointed by agreement between the Procuring Entity and the Contractor to make a decision with respect to any dispute or difference between the Procuring Entity and the Contractor referred to him or her by the Parties pursuant to GCC Sub-Clause 46.1 (Dispute Board) hereof.

  • independent review committee means the independent review committee of the investment fund established under National Instrument 81-107 Independent Review Committee for Investment Funds;

  • Technical Committee means the body established in accordance with article VII;

  • Executive Board means a group of directors elected or appointed to act on behalf of, and within the powers granted to them by, the commission.