Registered Dealers definition

Registered Dealers means dealers or brokers that are registered under applicable securities laws of the Offering Jurisdictions to sell securities of investment funds and that are not restricted from selling the Units including, for greater certainty, dealers registered in the category of exempt market dealers;
Sample 1Sample 2Sample 3
Registered Dealers means dealers or brokers registered under applicable securities laws in the Offering Jurisdictions to sell securities of mutual funds and that are not restricted from selling the Units, and in the Province of Ontario includes limited market dealers;
Sample 1
Registered Dealers means dealers or brokers registered under applicable securities laws in the Offering Jurisdictions to sell securities of mutual funds;
Sample 1Sample 2

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Commission Policy 35-601 Registration of Non-Resident Salesmen, Partners or Officers of Registered Dealers is rescinded on the day National Instrument 31-103 Registration Requirements and Exemptions comes into force.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.


More Definitions of Registered Dealers

Registered Dealers means dealers or brokers registered under applicable securities laws in the Offering Jurisdictions to sell securities of mutual funds and that are not restricted from selling the Units, and includes exempt market dealers;
Sample 1Sample 2
Registered Dealers means a dealer registered under provincial securities legislation in the Province of Ontario and other jurisdictions in Canada (as defined under National Instrument 31-103 – Registration Requirements, Exemptions and Ongoing Registrant Obligations);
Sample 1

Related to Registered Dealers

  • registered dealer means a dealer registered under this Act;

  • registered dentist means a fully registered person within the meaning of the Dentists Act 1984 who holds a license to practice under that Act;

  • Registered nurse means a person who has been issued a certificate of registration as a registered nurse pursuant to the Health Professions Act and Regulations, and who holds an annual certificate.

  • registered pharmacist means a person whose name is for the time being entered in the register of the State in which he is for the time being residing or carrying on his profession or business of pharmacy;

  • Registered dietitian means a person who shall be both:

  • Registered design in this Act shall mean a design for which a design registration has been granted.

  • Registered Name refers to a domain name within the domain of the Registry TLD, whether consisting of two or more (e.g., xxxx.xxxxx.xxxx) levels, about which VNDS or an affiliate engaged in providing registry services maintains data in a registry database, arranges for such maintenance, or derives revenue from such maintenance. A name in a registry database may be a Registered Name even though it does not appear in a TLD zone file (e.g., a registered but inactive name).

  • Authorized Dealer means a person authorized as an authorized dealer under sub- section (1) of section 10 of FEMA.

  • Registered User means a person who is for the time being registered as such under section 49;

  • Renminbi Dealer means an independent foreign exchange dealer of international repute active in the Renminbi exchange market in Hong Kong reasonably selected by the Issuer.

  • registered firm means a registered dealer, a registered adviser, or a registered investment fund manager;

  • Registered entity means a covered entity, opt-in entity,

  • Relevant Dealer means, in respect of any Variable Rate Note, the Dealer party to the Programme Agreement referred to in the Agency Agreement with whom the Issuer has concluded or is negotiating an agreement for the issue of such Variable Rate Note pursuant to the Programme Agreement;

  • Licensed dealer means a person who is federally licensed under 18 U.S.C. Sec. 923(a).

  • registered person means a person who is registered under section 25 but does not include a person having a Unique Identity Number;

  • Registered Representative is defined as a duly registered representative of Broker-Dealer, in good standing, with the authority to sell Contracts as required by the Financial Industry Regulatory Authority, Inc. (hereinafter “FINRA”) and who is appointed as a non exclusive agent of the Company and properly licensed and appointed in accordance with applicable laws and regulations and the Company’s Licensing, Appointment and Registration policy, as amended from time to time.

  • Registered Shareholder means, as the context requires:

  • Dealer Managers shall have the meaning set forth in the preamble.

  • registered and “registration” refer to a registration effected by preparing and filing a registration statement in compliance with the Securities Act, and the declaration or ordering of the effectiveness of such registration statement.

  • Registered lobbyist means a person registered under Title 36, Chapter 11,

  • Registered Player means a person whose application for registration with the Club has been validated by the Registrar for the current playing season;

  • registered graduate means a graduate registered under this Act;

  • Secondhand dealer means a person who carries on the business of retailing or wholesaling used or secondhand property, including collectibles, or who operates a secondhand dealers’ premises, except for a person who carries on the business of retailing or wholesaling used property limited to:

  • Registered Clubs Act means the Registered Clubs Act 1976 and any regulation made under the Registered Clubs Act 1976. Any reference to a provision of the Registered Clubs Act includes a reference to the same or similar provision in any legislation replacing, amending or modifying the Registered Clubs Act however that provision may be amended in that legislation.

  • Registered private provider means a nonpublic school or entity registered with the superintendent of public instruction under section 3310.41 of the Revised Code to participate in the autism scholarship program or section 3310.58 of the Revised Code to participate in the Jon Peterson special needs scholarship program.