Affected Investor definition

Affected Investor means each of EU-regulated credit institutions, EU-regulated investment firms, certain alternative investment fund managers, EU-regulated insurers or reinsurers, certain investment companies authorised in accordance with Directive 2009/65/EC, managing companies as defined in Directive 2009/65/EC, institutions for occupational retirement provision falling within the scope of Directive (EU) 2016/2341 (subject to certain exceptions), and certain investment managers and authorised entities appointed by such institutions subject thereto.
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Affected Investor means each Holder of a beneficial interest in any Note that is (i) an EEA credit institution or investment firm or a consolidated affiliate thereof, (ii) an EEA insurer or reinsurer or (iii) an alternative investment fund to which EU Directive 2011/61/EU applies.
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Affected Investor shall have the meaning assigned to such term in Section 11.01(c).
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Examples of Affected Investor in a sentence

  • Subject to the exceptions described in Part I relating to Collective Investors and the de minimis exception described in Part IV, the Company will treat each person who invested in a Relevant Fund through a Collective Investor as an Affected Investor for purposes of determining entitlement to, and calculating the amount of, a payment under the Plan.

  • Following the determination of Affected Investors, the Company will calculate the effect of each relevant trade on each Affected Investor in each Relevant Fund.

  • Under the Plan, unless otherwise indicated, the characterization of an Affected Investor will be done at the “fund position level”, as opposed to the “account level” or “client level”.

  • An Affected Investor that has been determined to have experienced an overall benefit from the relevant trades in a Relevant Fund will receive none of the Settlement Amount.

  • If the Company does not receive such information by September 30, 2005, the Company will treat the Collective Investor as the Affected Investor and there will be no “look- through” to the underlying investors in that Collective Investor.

  • Under the Plan, a Market Timing Trader cannot be an Affected Investor.

  • The Company will make payments under the Plan by sending a cheque to the last address of the Affected Investor (other than Collective Investors, which will be dealt with as described below) maintained in the records of the Company, which may be updated by the dealer’s address information, if appropriate.

  • If the due diligence requirements under the UK Securitisation Regulation are not satisfied then, depending on the regulatory requirements applicable to such UK Affected Investor, an additional risk weight, regulatory capital charge and/or other regulatory sanction may be applied to such securitisation investment and/or imposed on the UK Affected Investor.

  • Each Affected Investor should consult with their own legal and regulatory advisors to determine whether, and to what extent, the information described is sufficient for compliance by that Affected Investor with any applicable EU Retention Rules.

  • Failure to comply with one or more of the requirements set out in Articles 405, 406 or 409 of the CRR may result in the imposition of a penal capital charge with respect to the investment made in the securitisation by the relevant Affected Investor.


More Definitions of Affected Investor

Affected Investor. An “institutional investor” as such term is defined in Article 2(12) of the EU Securitisation Regulation.
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Affected Investor. A Noteholder that is subject to regulation under any EU Retention Requirement Law or party to liquidity or credit support arrangements by a financial institution that is subject to regulation under any EU Retention Requirement Law.
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Affected Investor shall have the meaning ascribed to such term in Section 9.05(b) hereof. “Affected Plan Investor” shall have the meaning ascribed to such term in Section 2.03(d) hereof. “Affiliate” shall mean, with respect to any Person, any Person directly or indirectly controlling, controlled by, or under common control with, such Person. As used herein, the term “control” (including the term “controlling”, “controlled by” and “under common control with”) means the possession, direct or indirect, of the power to direct, or cause the direction of, the management and policies of such Person, whether through the ownership or voting securities, by contract or otherwise. For the purposes of this Agreement, (i) partners, members, officers and employees of the Management Company and its Affiliates shall be deemed to be “Affiliates” of the General Partner and the Management Company, and (ii) Portfolio Companies shall not be deemed to be “Affiliates” of the General Partner, the Management Company or the Partnership.
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Affected Investor has the meaning provided in Section 10.1(c).
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Affected Investor. An investor in an Obligation that is subject to regulation under any Applicable Regulation from time to time or party to liquidity or credit support arrangements provided by a financial institution that is subject to any Applicable Regulation and that has delivered a written notice to the Issuer and the Trustee (which notice shall specify the Class of Notes held by such investor and the Aggregate Outstanding Amount thereof) (i) on or prior to or promptly after its acquisition of any Obligation or (ii) if such Holder becomes subject to any Applicable Regulation, or party to liquidity or credit support arrangements provided by a financial institution that is subject to any Applicable Regulation, after the date of its acquisition of any Obligation and while it continues to hold such Obligation, then promptly after such date, in each case stating that such Holder's investment in the Transaction is subject to any Applicable Regulation and that such Holder will be relying on compliance by the Retention Provider with the Retention Requirement. Any Holder that does not provide such notice in accordance with the previous sentence will be deemed for purposes hereof not to be an Affected Investor. If no entity provides such notice, then no Affected Investors will be deemed to exist for purposes of any required consent or action under this Indenture or any other Transaction Document.
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Affected Investor. Each EU Affected Investor or UK Affected Investor.
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Related to Affected Investor

  • Designated Investor means an Investor (a) that has been approved in writing as a Designated Investor by Administrative Agent and the Required Lenders, in their sole discretion, and (b) in respect of which there has been delivered to Administrative Agent:

  • Qualified Investor means an investor who has been certified by the commissioner under subdivision 3.

  • Restricted Investment means an Investment other than a Permitted Investment.

  • Permitted Investor means collectively, Energy Capital Partners III, LP, Energy Capital Partners III-A, LP, Energy Capital Partners III-B, LP, Energy Capital Partners III-C, LP and Energy Capital Partners-D, LP, Quantum Strategic Partners, and each of their Permitted Transferees (as defined in the Investors Agreement, dated as of March 29, 2018, by and among the Parent and the other signatories thereto).

  • Approved Investor means any institution which has made a Takeout Commitment and has been approved by Buyer and not subsequently disapproved by Buyer.

  • Qualified Institutional Investor (tekikaku kikan xxxxxxx) has the meaning assigned thereto in Article 2, Paragraph 3, item 1 of the Financial Instruments and Exchange Law (kinyu shohin torihiki ho) of Japan (Law No. 25 of 1948), Article 10, Paragraph 1 of the regulations relating to the definitions contained in such Article 2.

  • Restricted Investments means all Investments except the following:

  • Prohibited Investor means a person or entity whose name appears on (i) the List of Specially Designated Nationals and Blocked Persons maintained by the U.S. Office of Foreign Assets Control; (ii) other lists of prohibited persons and entities as may be mandated by applicable law or regulation; or (iii) such other lists of prohibited persons and entities as may be provided to the Fund in connection therewith;

  • Qualified Investors means investors who are professional clients (client professionnel/professionele cliënt) or eligible counterparty (contrepartie éligible/in aanmerking komende tegenpartij) as defined in the Belgian Prospectus Law of 16 June 2006 (as amended from time to time). The Qualified Investors may bear a lower Entry Fee (as defined under item 77 of Part A) depending on (i) the evolution of the credit quality of the Issuer (credit spread), (ii) the evolution of interest rates, (iii) the success (or lack of success) of the placement of the Notes, and (iv) the amount of Notes purchased by an investor, each as determined by each relevant distributor (including BNP Paribas Fortis SA/NV) in its sole discretion. Conditions to which the offer is subject: The Offer of the Notes is conditional on its issue.

  • Qualified investment has the meaning set forth in Section 313.021(1) of the TEXAS TAX CODE, as interpreted by the Comptroller’s Rules.

  • Exempt Irish Investor for the present purposes means:

  • Qualified Independent Underwriter means a “qualified independent underwriter” within the meaning of FINRA Rule 5121.

  • Quoted Investment means any Investment which is quoted or listed or in respect of which permission to deal is effective on any Recognised Stock Exchange.

  • Institutional Investor means (a) any original purchaser of a Note, (b) any holder of more than $2,000,000 of the aggregate principal amount of the Notes then outstanding, and (c) any bank, trust company, savings and loan association or other financial institution, any pension plan, any investment company, any insurance company, any broker or dealer, or any other similar financial institution or entity, regardless of legal form.

  • Qualified Initial Public Offering means any initial public offering of securities by the Company pursuant to an effective Registration Statement covering the sale of such securities, pursuant to which the Company shall actually receive aggregate net cash proceeds (not subject to any contingencies) equal to no less than $50,000,000.

  • Specified Investments means (a) direct obligations of the United States of America or obligations fully guaranteed by the United States of America; (b) commercial paper rated A-1/P-1 by S&P and Moody's, respectively or, if such ratings are unavailable, rated by any nationally recognized rating organization in the United States equal to the highest rating assigned by such rating organization; (c) investments in negotiable certificates of deposit, time deposits, banker's acceptances, commercial paper or other direct obligations of, or obligations guaranteed by, commercial banks organized under the laws of the United States or of any political subdivision thereof (or any U.S. branch of a foreign bank) with issuer ratings of at least B/C by Thomson Bankwatch, having maturities no later than 90 days following the date of such investment; (d) overnight federal funds transactions with members of the Federal Reserve System arranged by federal funds brokers; or (e) overnight repurchase agreements with respect to the securities described in clause (a) above entered into with an office of a bank or trust company which is located in the United States of America or any bank or trust company which is organized under the laws of the United States or any state thereof and has capital, surplus and undivided profits aggregating at least $500 million. SSB. State Street Bank and Trust Company of Connecticut, National Association, a national banking association or any successor Owner Trustee in its individual capacity.

  • Registered Investment Company means any one or more corporations, partnerships or trusts registered under the Investment Company Act of 1940 for which Fidelity Management and Research Company serves as investment advisor.

  • Qualified Investments means any and all securities, obligations or accounts in which municipalities may invest their funds under applicable Maine law.

  • Qualified Securitization Transaction means any transaction or series of transactions that may be entered into by the Company or any of its Restricted Subsidiaries pursuant to which the Company or any of its Subsidiaries may sell, convey or otherwise transfer to:

  • Permitted Investors the collective reference to the Sponsor and its Control Investment Affiliates.

  • Co-Investor means any of (a) the assignees, if any, of the equity commitments of any Sponsor who become holders of Equity Interests in the Borrower (or any of the direct or indirect parent companies of the Borrower) on the Original Closing Date in connection with the acquisition of the Company by the Sponsor and (b) the transferees, if any, that acquire, within 90 days of the Original Closing Date, any Equity Interests in the Borrower (or any of the direct or indirect parent companies of the Borrower) held by any Sponsor as of the Original Closing Date.

  • Institutional Accredited Investor means an institution that is an “accredited investor” as defined in Rule 501(a)(1), (2), (3) or (7) under the Securities Act, who are not also QIBs.

  • Qualified Issuer any commercial bank (a) which has capital and surplus in excess of $250,000,000 and (b) the outstanding long-term debt securities of which are rated at least A by S&P or at least A2 by Moody’s, or carry an equivalent rating by a nationally recognized rating agency if both of the rating agencies named herein cease publishing ratings of investments.

  • Prohibited Investment means Property (other than prescribed excluded Property as that term is defined in the Tax Act) that is:

  • Qualifying investment means a capital investment in real property including the purchase price of land and existing buildings and structures, site preparation, improvements to the real property, building construction, and long-term lease costs. “Qualifying investment” also means a capital investment in depreciable assets.

  • Applicable Investor means each holder of a beneficial interest in any Class A Note that is (i) an EEA credit institution or investment firm subject to the CRR, including any consolidated group affiliate thereof; (ii) an EEA insurer or reinsurer subject to the Solvency II Regulation; or (iii) an EEA alternative investment fund manager to which the AIFM Regulation applies.