Rule 3 Adviser definition

Rule 3 Adviser means a financial adviser appointed to report to a company’s shareholders for the purposes of Rule 3 of the Takeover Code;
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Rule 3 Adviser means the advisor appointed in accordance with Rule 3 of the Takeover Code. ‘‘SDRT” means UK stamp duty reserve tax.
Sample 1

Examples of Rule 3 Adviser in a sentence

  • Canaccord Genuity Limited ("Canaccord Genuity"), which is authorised and regulated in the United Kingdom by the FCA, is acting exclusively as Rule 3 Adviser to the Ideagen Directors and for no one else in connection with the Acquisition and will not be responsible to anyone other than Ideagen for providing the protections afforded to clients of Canaccord Genuity nor for providing advice in relation to the Acquisition, the contents of this document or any other matters referred to in this document.

  • Accordingly, SP Angel, as Rule 3 Adviser to Altus, has provided formal advice to the Directors regarding the La Mancha Investment and the Whitewash.

  • In the event that the Takeover Code applies, we will not accept an offer that is not recommended by the Rule 3 Adviser.

  • Cairn, as Rule 3 Adviser under the Takeover Code, considers that the Proposals, including the Whitewash Resolution, are fair and reasonable and in the best interests of the Independent Shareholders and the Company as a whole.

  • In AWS Marketplace, from the product's detail page, choose Continue to Subscribe.Confidential2.

  • RBC (as sole financial adviser to Apollo and Bidco), Lazard (as lead financial adviser and Rule 3 Adviser to TRG), Centerview (as financial adviser to TRG), Citi (as financial adviser and joint corporate broker to TRG) and Investec (as joint corporate broker to TRG) have each given and not withdrawn their consent to the publication of this Document with the inclusion herein of the references to their names in the form and context in which they appear.

  • Declan O’Connor ( Declan.oconnor@hl.com), of Houlihan Lokey UK Limited (HL), Financial Adviser and Joint Rule 3 Adviser to AdEPT Technology Group plc and such other persons that we or HL (acting on our behalf) consent to in writing from time to time (each an Authorised Contact).

  • Beaumont Cornish shall act as the nominated advisor (and if applicable Rule 3 Adviser) on the first transaction undertaken by the Company which amounts to a reverse takeover under the AIM Rules for Companies on the basis that the fees will be agreed between Beaumont Cornish and the Company at such time.

Related to Rule 3 Adviser

  • Rule 3a-5 means Rule 3a-5 under the Investment Company Act.

  • Independent Adviser means an independent financial institution of international repute or other independent financial adviser experienced in the international debt capital markets, in each case appointed by the Issuer at its own expense;

  • Rule 3a-7 means Rule 3a-7 under the Investment Company Act.

  • Independent Advisor means a reputable accounting, appraisal or nationally recognized investment banking, engineering or consulting firm (a) which does not, and whose directors, officers and employees or Affiliates do not, have a direct or indirect material financial interest in the Company and (b) which, in the judgment of the Board of Directors of the Company, is otherwise disinterested, independent and qualified to perform the task for which it is to be engaged.

  • Sub-Adviser means an adviser to

  • Rule 15c2-12 means Rule 15c2-12 under the Securities Exchange Act of 1934, as amended through the date of this Undertaking, including any official interpretations thereof.

  • Investment Advisers Act means the Investment Advisers Act of 1940, as amended.

  • Independent Financial Adviser means an independent financial institution of international repute appointed by the Company at its own expense.

  • Independent Financial Advisor means an accounting, appraisal, investment banking firm or consultant to Persons engaged in Similar Businesses of nationally recognized standing that is, in the good faith judgment of the Issuer, qualified to perform the task for which it has been engaged.

  • Investment Adviser or "Adviser" means a party furnishing services to the Trust pursuant to any contract described in Article IV, Section 7(a) hereof;

  • portfolio adviser means a person or company that provides investment advice or portfolio management services under a contract with the investment fund or with the manager of the investment fund;

  • Sub-Advisor shall include the Sub-Advisor and/or any of its affiliates and the directors, officers and employees of the Sub-Advisor and/or any of its affiliates.

  • Investment adviser representative means an individual employed by or associated with an investment adviser or federal covered investment adviser and who makes any recommendations or otherwise gives investment advice regarding securities, manages accounts or portfolios of clients, determines which recommendation or advice regarding securities should be given, provides investment advice or holds herself or himself out as providing investment advice, receives compensation to solicit, offer, or negotiate for the sale of or for selling investment advice, or supervises employees who perform any of the foregoing. The term does not include an individual who:

  • Invesco Advisers, Inc. s -affiliated Broker-dealer” means Invesco Distributors, Inc. or Invesco Capital Markets, Inc. or their successors.

  • Investment Advisor means, in relation to a Portfolio, the investment manager or investment advisor of the Portfolio.

  • rule making ’ means agency process for formulating, amending, or repealing a rule;

  • Independent Director/Trustee means any; (i) director or trustee of an Invesco Mutual Fund who is not an “interested person” (as defined in Section 2(a)(19) of the Investment Company Act) of an Invesco Mutual Fund; (ii) director or trustee of an Invesco ETP who is not an “interested person” (as defined in Section 2(a)(19) of the Investment Company Act) of an Invesco ETP; or (iii) member of the Invesco Canada Independent Review Committee, Invesco Canada Funds Advisory Board or Board of Directors of Invesco Corporate Class Inc. who has no other executive responsibilities or engagement in an Invesco Canada Fund or Invesco NA’s day-to-day activities beyond the scope of their duties as director/trustee.

  • Adviser/Subadviser means the Adviser or a Subadviser, if any, of the Fund or both as the context may require.

  • SEC Rule means Rule 15c2-12 adopted by the Securities and Exchange Commission under the Securities Exchange Act of 1934.

  • Independent Board Member means a trustee of the Fund who is neither an “interested person” of the Fund as defined in Section 2(a)(19) of the Investment Company Act of 1940, as amended, nor a party to the Proceeding with respect to which indemnification or advances are sought.

  • Expert Advisor means a mechanical online trading system designed to automate trading activities on an electronic trading platform such as the Company’s Trading Platform. It can be programmed to alert the Client of a trading opportunity and can also trade his Trading Account automatically managing all aspects of trading operations from sending orders directly to the Trading Platform to automatically adjusting stop loss, Trailing Stops and take profit levels.

  • Adviser/Subadviser means the Adviser or a Subadviser, if any, of the Fund or both as the context may require.

  • Disinterested Director/Trustee means a Director/Trustee of the Fund who is not an "interested person" of the Fund within the meaning of Section 2(a)(19) of the Act.

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

  • Investment Company Act Event means that the Company shall have received an Opinion of Counsel to the effect that, as a result of the occurrence of a change in law or regulation or a written change in interpretation or application of law or regulation by any legislative body, court, governmental agency or regulatory authority, there is more than an insubstantial risk that the Securities Trust is or will be considered an "investment company" that is required to be registered under the Investment Company Act of 1940, as amended, which change becomes effective on or after the Original Issue Date.

  • Public Key means the key of a key pair used to verify a digital signature and listed in the Digital Signature Certificate;