Universal Broker definition

Universal Broker means Universal Broker as defined in the Rules of Bursa Securities; Rule 202 Interpretation Rule 202.1 Words importing the singular number only shall include the plural number and vice versa. Rule 202.2 Words importing one gender shall include the other gender. Rule 202.3 Headings are included for convenience only and shall not affect the construction of these Rules. Rule 202.4 For the purposes of these Rules a person shall be deemed to have control of another person-
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Universal Broker means Universal Broker as defined in the Rules of Bursa Securities; Words importing the singular number only shall include the plural number and vice versa. Words importing one gender shall include the other gender. Headings are included for convenience only and shall not affect the construction of these Rules.
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Universal Broker means a stockbroking company that has merged with or acquired at least three other stockbroking companies and has fulfilled the necessary qualifying criteria as set out in the Guidelines for a Universal Broker.
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Examples of Universal Broker in a sentence

  • A Universal Broker, 1+1 Broker, Special Scheme Broker or Investment Bank may carry out the business of dealing in derivatives through its subsidiary or a subsidiary of its holding company which is a Trading Participant.

  • To qualify as a Universal Broker, a stockbroking company must meet various quantitative and qualitative criteria besides acquiring and merging with 3 or more stockbroking companies.

  • No Universal Broker, Investment Bank and Eligible Non-Universal Broker, as the case may be, shall establish any electronic access facility(ies) without making an application to both the Exchange and the Commission.

  • RULE 504A.4 COMMENCEMENT OF OPERATIONS (1) Upon the approval of the application referred to in Rule 504A.3 by the Commission and the Exchange and the fulfilment of conditions imposed by the Commission and the Exchange, if any, the Exchange may allow the Universal Broker, Investment Bank and Eligible Non- Universal Broker, as the case may be, to commence with the operations of the electronic access facility.

  • Moved her for a better flow of the Rules.(1) Unless otherwise exempted under Rule 307.1(3), A Participating Organisation every Universal Broker and Investment Bank shall must appoint at least one (1) Head of Compliance.

  • Provide details of the Memorandum and Articles of Association of the Universal Broker.

  • PM Securities, an approved Universal Broker, has been appointed as Adviser of the Company for the Proposed Share Buy-Back.

  • At the final step of the procedure, the Company may elect to enforce another suspension rather than a discharge without prejudice to any other case.

  • RULE 307 EXECUTIVE DIRECTOR COMPLIANCE/HEAD OF COMPLIANCE RULE 307.1 REQUIREMENT (1) Unless otherwise exempted under Rule 307.1(3), every Universal Broker and Investment Bank shall appoint at least one (1) Executive Director Compliance Head of Complianceor, in the case of an Investment Bank, at least one (1) Head of Compliance, who shall be responsible for all compliance matters as envisaged in these Rules.

  • OSKIB is a Participating Organisation of Bursa Securities and was granted Universal Broker status on 12 April 2001.


More Definitions of Universal Broker

Universal Broker shall have the meaning set forth in Section 4.3.
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Related to Universal Broker

  • Data Broker means either of the following:

  • Prime Broker means a Person that acts as credit counterparty for transactions executed on the SEF in the name and on behalf of such Person by its client or an agent of its client that is a BSEF Participant and that has authorized a Participant to send RFQs, place Orders or enter into Trades in the name and on behalf of such Person.

  • Principal broker means a broker who is either a real estate proprietor, a partner in a real estate partnership, or an officer in a real estate corporation.

  • Seller’s Broker means CB Xxxxxxx Xxxxx.

  • Morgan Stanley Broker means a broker-dealer affiliated with Morgan Stanley.

  • Associate broker means a licensed broker who is employed by

  • Landlord’s Broker means the individual or corporate broker identified on the Basic Lease Information sheet as the broker for Landlord.

  • Customs Broker means that individual, partnership, entity or corporation licensed by the Canada Border Services Agency, or other authorized body, to engage in the business of a customs broker and who is named as the Customs Broker in the Agency Agreement and Power of Attorney.

  • Loan broker means any person who, for compensation or gain, or in the expectation

  • Designated Broker means the financial services firm or other agent designated by the Company to maintain ESPP Share Accounts on behalf of Participants who have purchased shares of Common Stock under the Plan.

  • Participating Broker- Dealer: See Section 2(b) hereof. Person: An individual, trustee, corporation, partnership, limited liability company, joint stock company, trust, unincorporated association, union, business association, firm or other legal entity. Private Exchange: See Section 2(b) hereof.

  • Mortgage broker means any person who for compensation or

  • Tenant’s Broker means the individual or corporate broker identified on the Basic Lease Information sheet as the broker for Tenant.

  • Introducing Broker means a third party who introduces prospective Clients to the Company.

  • Real estate broker means an individual or business entity that, with intent to collect or receive a fee, compensation, or valuable consideration, sells or offers for sale, buys or offers to buy, provides or offers to provide market analyses of, lists or offers or attempts to list, or negotiates the purchase, sale, or exchange of real estate; that negotiates the mortgage of real estate; that negotiates for the construction of a building on real estate; that leases or offers or rents or offers for rent real estate or the improvements on the real estate for others, as a whole or partial vocation; that engages in property management as a whole or partial vocation; that sells or offers for sale, buys or offers to buy, leases or offers to lease, or negotiates the purchase or sale or exchange of a business, business opportunity, or the goodwill of an existing business for others; or that, as owner or otherwise, engages in the sale of real estate as a principal vocation.

  • Salesperson means any person holding an Iowa real estate salesperson license as defined in Iowa Code section 543B.5(19).

  • Surplus lines broker means a person licensed pursuant to Article 5.1 (§ 38.2-1857.1 et seq.) of this

  • REAL ESTATE BROKERS (See also Paragraph 15) REPRESENTATION: The following real estate brokers (collectively, the "BROKERS") and brokerage relationships exist in this transaction (check applicable boxes): [X] XXXX Commercial Real Estate Services represents Lessor exclusively ("LESSOR'S BROKER"); [X] The Xxxxxx Co. represents Lessee exclusively ("LESSEE'S BROKER"); or [ ] _______________________________ represents both Lessor and Lessee ("DUAL AGENCY").

  • Customs Broker Agreement means an agreement in form and substance reasonably satisfactory to the Agent among a Loan Party, a customs broker, freight forwarder, consolidator or carrier, and the Agent, in which the customs broker, freight forwarder, consolidator or carrier acknowledges that it has control over and holds the documents evidencing ownership of the subject Inventory for the benefit of the Agent and agrees to hold and dispose of the subject Inventory solely as directed by the Agent.

  • Pawnbroker means the same as that term is defined in Section 13-32a-102.

  • insurance broker means an insurance brokerage firm,

  • Designated Broker Agreement means an agreement between the Manager, on behalf of the ETFs, and a Designated Broker;

  • Universal service means any service approved by the board

  • Customs Broker/Carrier Agreement means an agreement in form and substance satisfactory to the Agent among a Loan Party, a customs broker, freight forwarder, consolidator, or carrier, and the Agent, in which the customs broker, freight forwarder, consolidator, or carrier acknowledges that it has control over and holds the documents evidencing ownership of the subject Inventory for the benefit of the Agent and agrees, upon notice from the Agent, to hold and dispose of the subject Inventory solely as directed by the Agent.

  • Authorized Broker means those Brokers which are authorized to deal in Government Securities.

  • Universal bilateral modification means a bilateral modification, as defined in FAR subpart 43.1, that updates or incorporates new FAR or AIDAR clauses, other terms and conditions, or special requirements, affecting all USAID awards or a class of awards, as specified in the Agency notification of such modification.