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Third Party Agent

In relation to a Client Account, means an Authorised Firm or Regulated Financial Institution (including a bank, custodian, an intermediate broker, a settlement agent, a clearing house, an exchange and 'over the counter' counterparty) that is a separate legal entity from the Authorised Firm that is required under COB to establish the Client Account.


Derived from DFSA RM12/2004 (Made 16th September 2004). [VER1/09-04]
[Amended] DFSA RM187/2016 (Made 7th December 2016). [VER37/02-17]