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 or power, alone or with others, in respect of the securities. For example, if you have the discretionary authority over your spouse’s brokerage account, you exercise control or direction over securities in that account.

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

  • 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.

  • 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).

  • 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.

  • 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;