Examples of Registered Dealers in a sentence
Canadian Reporting Requirements apply to Dealers even if they are not Registered Dealers in the jurisdiction.
Under this scheme, Registered Dealers and others can lodge their grievances online.
The database of Registered Dealers (RDs) maintained in the MAHAVIKAS system gets periodically updated by the registration branch in respect of new registration, cancellation, amendment of registration certificates (RCs) etc.
Rescission of Ontario Securities Commission Policy 35-601 Registration of Non-Resident Salesmen, Partners or Officers of Registered Dealers 1.
Ontario Securities Commission Policy 35-601 Registration of Non-Resident Salesmen, Partners or Officers of Registered Dealers is rescinded on the day National Instrument 31-103 Registration Requirements and Exemptions comes into force.
Trailing Commission In respect of Class 1 Units (Series A-1), the Manager may pay to the Registered Dealers a trailing commission based on the aggregate market value of their clients’ investment in those Class 1 Units (Series A-1) calculated and accrued monthly, at an annualized rate of up to 1.0% of the aggregate value of the Class 1 Units (Series A-1) held by clients of such Registered Dealers (the “Trailing Commission”).
Service Fees on Class I and Class O Units Unitholders of Class I and O Units may be charged a service fee by the Unitholders’ Registered Dealers for ongoing advice and service which Unitholders are entitled to receive from their Registered Dealers for so long as the Unitholders’ investments remain in the Fund.
The Manager may also host seminars or conferences for salespersons or Registered Dealers, the primary purpose of which is the provision of educational information about financial planning, investing in securities, mutual fund industry matters or the CI Mutual Fund, although the Manager will not pay or subsidize Registered Dealer travel and accommodation costs to attend such seminars or conferences.
Sales IncentivesCo-operative Marketing Programs – The Manager may from time to time fund on a co-operative basis with Registered Dealers up to 50% of the direct costs of certain sales communications and investor seminars to provide educational information concerning the Funds, the Manager or mutual funds in general.
The Manager provides the compensation programs described below to Registered Dealers placing orders, whose clients purchase Units, to assist them in their distribution efforts.