Control or direction definition

Control or direction generally means that you have by contract, operation of law or other express or implied arrangement, the power to make voting or investment decisions, alone or with others, in respect of securities. For example, if you have discretionary authority over your spouse’s brokerage account, you exercise control or direction over securities in that account.
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Examples of Control or direction in a sentence

  • Application to Direct and Indirect Offers [See § 1.10 Can TO Reg]In this Common Code, a reference to an Offer to Acquire or to the acquisition or ownership of securities or to Control or direction over securities includes a direct or indirect Offer to Acquire or the direct or indirect acquisition or ownership of securities, or the direct or indirect Control or direction over securities, as the case may be.

  • In the Code, a reference to an Offer to Acquire or to the acquisition or ownership of securities or to Control or direction over securities includes a direct or indirect Offer to Acquire or the direct or indirect acquisition or ownership of securities, or the direct or indirect Control or direction over securities, as the case may be.

  • Control or direction" generally means that you have by contract, operation of law or other express or implied arrangement, the power to make voting or investment decisions, alone or with others, in respect of securities.

  • Control or direction through Rosseau Limited Partnership and G10 Rosseau Special Situations Master Fund.

  • Control or direction" generally means that you have by contract, operation of law or other express or implied arrangement, t he power to make voting or investment decisions, alone or with others, in respect of securities.

  • Indicate the nature of ownership, control or direction in respect of the class of securities held using the following codes: Direct ownershipIndirect ownership (identify the registered holder) Control or direction (identify the registered holder) 012 F.

  • Subsection 1(1) of the Securities Act (Ontario) defines an “issuer” to mean “a person or company who has outstanding, issues or proposes to issue, a security.” 4.4. Control or direction4.4.1. Control or direction exercised outside of the employee’s or Approved Person’s required role or functionThe proposed “Dealer Related Person account” definition would include accounts controlled or directed by an employee or Approved Person that can access confidential information.

  • Limitation Control or direction of police forceany information regardless of its form or characteristics.R.S., 1985, c.

  • Ownership of Securities of Offeree IssuerState the number, designation and percentage of the outstanding securities of any Class of Equity Securities of the Offeree Issuer beneficially owned or over which Control or direction is exercised: a) by the director or officer, andb) if known after reasonable enquiry, by the Associates of the director or officer.

  • Ontario) defines an “issuer” to mean “a person or company who has outstanding, issues or proposes to issue, a security.” 4.4. Control or direction‌4.4.1. Control or direction exercised outside of the employee’s or Approved Person’s required role or function‌The proposed “Dealer Related Person account” definition would include accounts controlled or directed by an employee or Approved Person that can access confidential information.

Related to Control or direction

  • Change in Control of the Corporation means a change in control of a nature that would be required to be reported in response to Item 6(e) of Schedule 14A of Regulation 14A promulgated under the Securities Exchange Act of 1934, as amended ("Exchange Act"), or any successor thereto, whether or not the Corporation is registered under the Exchange Act; provided that, without limitation, such a change in control shall be deemed to have occurred if (i) any "person" (as such term is used in Sections 13(d) and 14(d) of the Exchange Act) is or becomes the "beneficial owner" (as defined in Rule 13d-3 under the Exchange Act), directly or indirectly, of securities of the Corporation representing 25% or more of the combined voting power of the Corporation's then outstanding securities; or (ii) during any period of two consecutive years, individuals who at the beginning of such period constitute the Board of Directors of the Corporation cease for any reason to constitute at least a majority thereof unless the election, or the nomination for election by stockholders, of each new director was approved by a vote of at least two-thirds of the directors then still in office who were directors at the beginning of the period.

  • Noteholder Direction has the meaning set forth in Section 7.6(a) of the Indenture.

  • Medical direction means direction, advice, or orders provided by a medical director, supervising physician, or physician designee (in accordance with written parameters and protocols) to emergency medical care personnel.

  • UCITS Directive means Directive 2009/65/EC of the European Parliament and of the Council of 13 July 2009 on the coordination of laws, regulations and administrative provisions relating to undertakings for collective investment in transferable securities, as amended;

  • Control means the possession, directly or indirectly, of the power to direct or cause the direction of the management or policies of a Person, whether through the ability to exercise voting power, by contract or otherwise. “Controlling” and “Controlled” have meanings correlative thereto.

  • Control Officer means the air pollution control officer of

  • Change of Control of the Company means a change in control of a nature that would be required to be reported in response to Item 5(f) of Schedule 14A of Regulation 14A promulgated under the Securities Exchange Act of 1934 as in effect on the date of this Agreement or, if Item 5(f) is no longer in effect, any regulations issued by the Securities and Exchange Commission pursuant to the Securities and Exchange Act of 1934 which serve similar purposes; provided that, without limitation, such change in control shall be deemed to have occurred if and when (a) any "person" (as such term is used in Sections 13(d) and 14(d)(2) of the Securities Exchange Act of 1934) is or becomes a beneficial owner, directly or indirectly, of securities of the company representing 25% or more of the combined voting power of the company's then outstanding securities or (b) individuals who were members of the Board of Directors of the Company immediately prior to a meeting of the shareholders of the Company involving a contest for the election of directors shall not constitute a majority of the Board of Directors following such election.

  • CRD Directive means Directive 2013/36/EU of the European Parliament and of the Council of 26 June 2013 on access to the activity of credit institutions and the prudential supervision of credit institutions and investment firms, amending Directive 2002/87/EC and repealing Directives 2006/48/EC and 2006/49/EC (as amended from time to time, including by Directive (EU) 2019/878 of the European Parliament and of the Council of 20 May 2019);

  • Change in Management will occur if more than 50% of the Leadership Team is terminated and/or resigns within 12 months after the date of the occurrence of a Change of Control; provided, in each case, that termination and/or resignation of such officer will not include (i) a change in such officer’s status in the ordinary course of succession so long as such officer remains affiliated with the Manager or its Subsidiaries as an officer or director, or in a similar capacity, (ii) retirement of any officer or (iii) death or incapacitation of any officer.

  • Technical Direction means developing work statements, determining parameters, directing other Contractors' operations, or resolving technical controversies.

  • Voting Control means, with respect to a share of Class B Common Stock, the power (whether exclusive or shared) to vote or direct the voting of such share by proxy, voting agreement or otherwise.

  • Animal control officer means any person employed by a city, county, or city and county for the purpose of enforcing animal control laws or regulations.

  • Sponsoring organization means any organization that establishes,

  • Direction Has the meaning specified in Section 1.04(a).

  • Change in Ownership or Control means a change in the ownership or effective control of the Company or in the ownership of a substantial portion of the assets of the Company determined in accordance with Section 280G(b)(2) of the Code.

  • Acquired Rights Directive means the European Council Directive 77/187/EEC on the approximation of laws of European member states relating to the safeguarding of employees’ rights in the event of transfers of undertakings, businesses or parts of undertakings or businesses, as amended or re-enacted from time to time;

  • Direct Load Control means load reduction that is controlled directly by the Curtailment Service Provider’s market operations center or its agent, in response to PJM instructions.

  • Clearing Organization means The Depository Trust Company, or, if agreed to by Borrower and Lender, such other clearing agency at which Borrower (or Borrower's agent) and Lender (or Lender's agent) maintain accounts, or a book-entry system maintained by a Federal Reserve Bank.

  • Event of Eminent Domain with respect to any Property, (a) any compulsory transfer or taking by condemnation, seizure, eminent domain or exercise of a similar power, or transfer under threat of such compulsory transfer or taking or confiscation of such Property or the requisition of the use of such Property, by any agency, department, authority, commission, board, instrumentality or political subdivision of any state, the United States or another Governmental Authority having jurisdiction or (b) any settlement in lieu of clause (a) above.

  • Control Affiliate of a Person means (a) any other Person directly or indirectly owning, controlling, or holding with power to vote, greater than 50% of the outstanding voting securities of such Person, (b) any other Person greater than 50% of whose outstanding voting securities are directly or indirectly owned, controlled, or held with power to vote, by such Person, or (c) any Person directly or indirectly controlling, controlled by, or under common control with, such other Person. For purposes of this defined term, “control” means the power to exercise a controlling influence over the management or policies of a company, and “controlling” and “controlled” shall have correlative meanings.

  • Competing Organization means any person or organization engaged in, or with definitive plans to become engaged in, research or development, production, distribution, marketing or selling of a Competing Product.

  • Change in Ownership means change of ownership of the Bidder/Member in a Bidding Consortium by way of merger/ acquisition/ amalgamation/ reorganisation/ consolidation/ demerger;

  • direct “notify” “notice” or “request” means apply approve approval consent direct notify notice or request (as the case may be) in writing;

  • Maintain Viable Presence means (i) the operation during the term of this Agreement of the facility or facilities for which the tax limitation is granted; and (ii) the Applicant’s maintenance of jobs and wages as required by the Act and as set forth in its Application.

  • Indirect Political Event shall have the meaning set forth in Clause 21.3;

  • the telephone voting system means such telephone voting facility as may be provided by the returning officer for the purpose of enabling voters to cast their votes by telephone;