AFSL Holder definition

AFSL Holder means a person who holds an Australian financial service licence issued under Chapter 7 of the Corporations Act.
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Examples of AFSL Holder in a sentence

  • AFSL Holder means a holder of an Australian financial services licence under section 911A(2)(b) of the Corporations Act.

  • The Investment Manager may elect to pay away some or all of the debt arranging fee to AFSL Holders.The Responsible Entity, on behalf of the Fund, will pay AFSL Holders a stamping fee equal to 1.025% of amounts raised and allocated under Applications bearing the stamp of the AFSL Holder.

  • Each AFSL Holder has their own dispute resolution process you can access, which is outlined in Part 2 of this FSG.

  • We are authorised to provide a range of financial services under the Australian Financial Services Licence of each of the AFSL Holders identified in Part 2 of this FSG.We will be acting on the behalf of the relevant AFSL Holder at all times in relation to the provision of authorised financial services and related financial products.

  • Fees paid to the AFSL Holder Fees paid to the AFSL holder in the year ended 30 June 2016 were $4,420 (2015: $9,100).

  • The Corporate Authorised Representative shall cause all income derived or received by the Corporate Authorised Representative as a representative of the AFSL Holder, to be paid directly to the AFSL Holder.

  • None of the AFSL Holder or the Fund Entities give any assurance as to the tax treatment of the Fund to individual investors.

  • The Company will forward all Application Forms that do not bear an AFSL Holder stamp to Wilson Asset Management (International) Pty Limited.

  • Neither the Licenced Dealer nor any AFSL Holder is responsible for or caused the issue of this Prospectus.

  • Each AFSL Holder responsible for Broker Firm Proceeds equal to or less than $5,000,000 will receive a selling fee equivalent to 1.5% (inclusive of GST) of that AFSL Holder’s Broker Firm Proceeds.

Related to AFSL Holder

  • Principal Holder means a person who, directly or indirectly, beneficially owns or controls 10% or more of any class of voting securities of the Corporation.

  • Initial Holder has the meaning set forth in the preamble.

  • FTR Holder means the PJM Member that has acquired and possesses an FTR.

  • Ticket Holder means any individual possessing, holding or using a Ticket, including (without limitation) the Ticket Purchaser or any person to whom the Ticket was issued or transferred;

  • Electing Holder means any Holder of Registrable Securities that has returned a completed and signed Notice and Questionnaire to the Company in accordance with Section 3(a)(i) or 3(a)(ii) hereof.

  • Octopus Holder means a user of an Octopus who may be an AAVS Account Holder or who has linked his/her Octopus to an AAVS Account in the name of one of his/her family members or friends;

  • Initial Holders has the meaning set forth in the preamble.

  • Series B Holder means a Record Holder of the Series B Preferred Units.

  • Directing Holder means the Holder of Note A-1 or, if Note A-1 is included in a Securitization, the holders of Certificates issued in connection with such Securitization representing the specified interest in the class of Certificates designated as the “Controlling Class” or the duly appointed representative of the holders of such Certificates or such other party that the Note A-1 Holder grants the right to exercise the rights granted to the Directing Holder in this Agreement; provided, that no Borrower Party shall be entitled to act as Directing Holder.

  • Holder means a Person in whose name a Security is registered in the Security Register.

  • Principal Stockholder Transferee means any Person who acquires voting stock of the Corporation from the Principal Stockholder (other than in connection with a public offering) and who is designated in writing by the Principal Stockholder as a “Principal Stockholder Transferee.”

  • Eligible Holder means a Limited Partner whose (a) federal income tax status would not, in the determination of the General Partner, have the material adverse effect described in Section 4.9(a)(i) or (b) nationality, citizenship or other related status would not, in the determination of the General Partner, create a substantial risk of cancellation or forfeiture as described in Section 4.9(a)(ii).

  • Majority Holder as used in this Section 7.4 shall mean any holder or any combination of holders of Registrable Securities, if included in such holders' Registrable Securities are that aggregate number of Shares (including Shares already issued and Shares issuable pursuant to the exercise of outstanding Warrants) as would constitute a majority of the aggregate number of Shares (including Shares already issued and Shares issuable pursuant to the exercise of outstanding Warrants) included in all of the Registrable Securities.

  • Controlling Holder means, as of any date of determination:

  • Equity Holder means any Person that owns the Equity Interests in any Practice that is a party to any Management Agreement.

  • 10% Stockholder means the owner of stock (as determined under Code Section 424(d)) possessing more than ten percent (10%) of the total combined voting power of all classes of stock of the Corporation (or any Parent or Subsidiary).

  • Initiating Holder has the meaning set forth in Section 2.01(a).

  • Existing Holder means a Broker-Dealer, or any such other Person that may be permitted by the Trust, that is listed as the holder of record of APS in the Share Books.

  • Potential Holder means any Broker-Dealer or any such other Person as may be permitted by the Corporation, including any Existing Holder, who may be interested in acquiring shares of AMPS (or, in the case of an Existing Holder, additional shares of AMPS).

  • Series A Holder means a Record Holder of the Series A Preferred Units.

  • Stockholder Group means the Stockholder and each Person (other than any member of the Company Group) that is an Affiliate of the Stockholder.

  • Holder Group means the Holder plus any other Person with which the Holder is considered to be part of a group under Section 13 of the Exchange Act or with which the Holder otherwise files reports under Sections 13 and/or 16 of the Exchange Act. In determining the number of Equity Interests of a particular class outstanding at any point in time, the Holder may rely on the number of outstanding Equity Interests of such class as reflected in (x) the Company’s most recent Annual Report on Form 10-K or Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission, as the case may be, (y) a more recent public announcement by the Company or (z) a more recent notice by the Company or its transfer agent to the Holder setting forth the number of Equity Interests of such class then outstanding. For any reason at any time, upon written or oral request of the Holder, the Company shall, within one (1) Trading Day of such request, confirm orally and in writing to the Holder the number of Equity Interests of any class then outstanding. Anything herein to the contrary, any increase in the Beneficial Ownership Limitation will not be effective until the 61st day after such notice is delivered to the Company. The provisions of this Section 10 shall be construed, corrected and implemented in a manner so as to effectuate the intended beneficial ownership limitation herein contained.

  • Non-Directing Holder means the Note A-2 Holder or, if Note A-2 is included in a Securitization, the holders of Certificates representing the specified interest in the class of Certificates designated as the “controlling class” or the duly appointed representative of the holders of such Certificates or such other party otherwise entitled under the Note A-2 PSA, to exercise the rights granted to the Non-Directing Holder in this Agreement. If Note A-2 is no longer in a Securitization, the Non-Directing Holder with respect to such Note will be the then-current Holder of such Note.

  • Non-U.S. Holder means a Holder that is not treated as a United States person for U.S. federal income tax purposes as defined under Section 7701(a)(30) of the Internal Revenue Code of 1986, as amended from time to time.