the Broker definition

the Broker means CIMB Futures Sdn Bhd, a holder of the Capital Markets Services License who carries on the business of regulated activity of trading in futures contract under the Act and a trading participant of Bursa Derivatives.

the Broker means the individual arranging, go-between or a conduit for the transaction between the Service Provider /Underwriter and the Client

the Broker or“ The Intermediary” means the individual arranging, go-between or a conduit forthe transaction between theService Provider /Underwriter and the Client

Examples of the Broker in a sentence

• All stamp duty, costs and expenses incurred for, or to be incurred on behalf of the Client shall be paid by the Client as invoiced by the Broker.

• Buyer and Seller understand and agree that the Broker and Auction Company represent the Seller exclusively as Seller’s agent and have a duty to treat fairly all parties to the transaction.

• The Client shall permit the Broker and/or any regulatory body to have access to such terminals, computer systems or equipment in respect of the Electronic Trading Facilities as the Broker and/or the regulatory body may request and the Client shall co- operate in answering any of their queries and render all reasonable assistance to the Broker and/or any regulatory body in relation to any aspect of the Electronic Trading Facilities.

• For the purpose of this clause, the Broker shall be or shall be deemed to be acting as agent on behalf its employees, agents or representatives.

• In the event the Client fail to do so, the Broker shall, and is hereby authorised to take such steps as is necessary to ensure that the Client remain within the permitted trading limits, without liability to the Client in respect of any losses thereby sustained.

• The Client appoints the Broker and the Broker accepts the appointment, upon the terms and conditions of this Agreement, as the Client’s broker in relation to trading in futures contract and to maintain and operate accounts with the Broker in relation to trading in futures contract.

• The Client shall maintain with the Broker a deposit (the “Deposit Amount”) in the account and pay such margins or lodge or deposit such acceptable securities (to be determined by the Broker in its absolute discretion) as may be required by the Broker from time to time in connection with the trading bythe Client in futures contract.

• The Client shall pay commission and fees at such rates as is determined from time to time by the Exchange, or in the absence of such determination, at the rates as notified by the Broker to the Client in writing from time to time.

• If Purchaser fails to receive the disclosures within 15 days after the date of ratification of this Contract or the disclosures are found unacceptable to Purchaser, Purchaser may void this Contract by delivering notice to the Broker within 3 days after the disclosures are received or due (if not received) and Purchaser's Deposit shall be returned promptly.

• The Broker shall have no liability, and shall not be responsible, for any prejudice, loss or inconvenience which the Client may suffer as a result of any action by any regulatory body in the exercise of its regulatory or supervisory functions over the Broker.

More Definitions of the Broker

the Broker s Approval” means the written prior approval given on behalf of The Broker by any one of the following persons: a Branch Manager, the Designated Registered Option Principal of The Broker, or any of his or her alternates, or any designated director of The Broker.

the Broker and “the Stock Broker” shall mean and include RKSV Securities India Pvt. Ltd.

the Broker means CGS-CIMB Futures Sdn Bhd, a holder of the Capital Markets Services License who carries on the business of regulated activity of trading in futures contract under the Act and a trading participant of Bursa Derivatives. “Bursa Derivatives” means Bursa Malaysia Derivatives Berhad. “Business Day” means a day on which the Broker is open for business or a day on which the Exchange on which the futures contract are carried out is open for trading. “CGI Group” means China Galaxy International Financial Holdings Limited and its related corporations (as defined in the Companies Act 2016). “CIMB Group” means CIMB Group Sdn Bhd and its related corporations (as defined in the Companies Act, 2016). DEFINITIONS In this Agreement, the following expressions shall have the meanings set out hereunder: “Account Application Form” means the application form(s) by which the Client applies to open one or more accounts with the Broker. “the Act” means the Capital Markets and Services Xxx 0000 including all rules made thereunder, any amendments, modifications and reenactments thereof in force as may be made at any time and from time to time. “Affiliates” means (i) a related corporation (as defined in the Companies Act 2016) of the Broker, (ii) CGS-CIMB Securities International Pte Ltd and its related corporations (as defined in the Companies Act 2016), (iii) a member of the CGI Group, and/or (iv) a member of the CIMB Group. “Agreement” means this Client Agreement (as may from time to time be varied or modified in accordance with its provisions) and includes the Account Application Form, Terms and Conditions of Trading, its appendices, and all other documents or instruments made supplemental to it including but not limited to this Client Agreement. “the Broker” means CGS-CIMB Futures Sdn Bhd, a holder of the Capital Markets Services License who carries on the business of regulated activity of trading in futures contract under the Act and a trading participant of Bursa Derivatives. “Bursa Clearing” means Bursa Malaysia Derivatives Clearing Berhad. “Bursa Derivatives” means Bursa Malaysia Derivatives Berhad. “Business Day” means a day on which the Broker is open for business or a day on which the Exchange on which the futures contract are carried out is open for trading. “CGI Group” means China Galaxy International Financial Holdings Limited and its related corporations (as defined in the Companies Act 2016). “CIMB Group” means CIMB Group Sdn Bhd and its related corporations (as...

the Broker means CGS-CIMB Futures Sdn Bhd, a holder of the Capital Markets Services License who carries on the business of regulated activity of trading in futures contract under the Act and a trading participant of Bursa Derivatives. “Bursa Clearing” means Bursa Malaysia Derivatives Clearing Berhad. “Bursa Derivatives” means Bursa Malaysia Derivatives Berhad. “Business Day” means a day on which the Broker is open for business or a day on which the Exchange on which the futures contract are carried out is open for trading. “CGI Group” means China Galaxy International Financial Holdings Limited and its related corporations (as defined in the Companies Act 2016). “CIMB Group” means CIMB Group Sdn Bhd and its related corporations (as defined in the Companies Act, 2016).