Wholesale Investor definition

Wholesale Investor means a person or entity that:
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Wholesale Investor has the meaning given to that term in the FMCA.
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Wholesale Investor has the meaning given to that term in clause 35(a).
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Examples of Wholesale Investor in a sentence

  • Wholesale Investor In the case of a New Zealand investor, means a Wholesale Client who also meets the definition of wholesale investor under clause 3(2) of Schedule 1 of the Financial Markets Conduct Act 2013 (New Zealand).

  • All references to Wholesale Investor in this document are a reference to an investor who is both a Wholesale Client under the Australian Corporations Act 2001 and a Wholesale Investor in terms of clause 3(2) of Schedule 1 of the Financial Markets Conduct Act 2013 (New Zealand).

  • Rowe Price Funds New Zealand Wholesale Investors Fact Sheet and complete a Wholesale Investor Certificate attached to the Application Form.

  • Unless you are a Wholesale Investor your Approved Adviser Group, your Adviser and other financial services organisations should not receive a fee calculated on the Loan Amount.

  • For example, if you are a Wholesale Investor and UBS has agreed to pay your Approved Adviser Group an upfront fee of 3.3% of the Loan Amount, and assuming the Loan Amount for the Series is $6.00, the upfront fee payable to your Approved Adviser Group will be $0.1980.

  • If you are a Wholesale Investor and you provide a valid Wholesale Client Accountant Certificate to UBS or otherwise confirm to UBS' satisfaction your status as a Wholesale Investor, then UBS may pay your Approved Adviser Group and other financial services organisations an upfront fee and/or trail payments for future Interest Periods.

  • Rowe Price Funds New Zealand Wholesale Investor Fact Sheet and complete a Wholesale Investor Certificate attached to the Application Form.

  • New Zealand Investors: Availability and Selling Restriction The offer made to New Zealand investors is available only to, and may only be accepted by, a Wholesale Investor who has completed a Wholesale Investor Certification.

  • Availability and Selling Restriction for the Cooper Investors Asian Equities Fund – Wholesale Class.The offer made to New Zealand investors in respect of the Cooper Investors Asian Equities Fund – Wholesale Class Fund is available only to, and may only be accepted by, a Wholesale Investor who has completed a Wholesale Investor Certification.

  • Wholesale Investor In the case of a New Zealand investor, has the meaning given in clause 3(2) of Schedule 1 of the Financial Markets Conduct Act 2013 (New Zealand).


More Definitions of Wholesale Investor

Wholesale Investor means investor who buys or sells investment unit of mutual fund from the mutual fund management company with the amount or value as specified in the scheme which shall not be less than ten million Baht.
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Wholesale Investor is as defined in the Financial Markets Conduct Act 2013 as it may vary from time to time;
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Wholesale Investor means a sophisticated investor within the meaning of section 708(8) of the Corporations Act or an experienced investor meeting the criteria in section 708(10) of the Corporations Act or a “professional investor” within the meaning of section 708(11) of the Corporations Act.
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Wholesale Investor means Wholesale Investor as defined by Schedule 1 Part 1 Section 3(2) to Section 3(3) of the FMC Act; “We”, “Us”, “Our” means Blackwell Global Investments Limited (hereinafter the “Company”).
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Related to Wholesale Investor

  • retail investor means a person who is one (or more) of the following:

  • Portfolio Securities or "investments" of the Series shall mean, respectively, such assets, net assets, securities, portfolio securities or investments which are from time to time under the management of the Subadviser pursuant to this Agreement.

  • Preliminary Offering Memorandum means the Preliminary Offering Memorandum, dated June 19, 2013, relating to the Offered Securities to be offered by the Purchasers.

  • Exempt commercial purchaser means any person purchasing commercial insurance that, at the time of placement, meets the following requirements:

  • Qualified Initial Public Offering means a firm underwritten offering of the Company pursuant to a registration statement under the Securities Act (i) of common Capital Stock having an aggregate gross offering price of at least $50,000,000 and (ii) reasonably expected to result in more than 100 holders of record of Voting Stock of the Company (exclusive of holdings of Affiliates and employees of the Company).

  • PIPE Investors means those certain investors participating in the PIPE Investment pursuant to the Subscription Agreements.

  • Additional Purchased Securities Securities provided by Seller to Buyer pursuant to Paragraph 4(a) hereof;

  • Initial Public Offering” (“IPO means an offering of securities registered under the 1933 Act, the issuer of which, immediately before the registration, was not subject to the reporting requirements of Sections 13 or 15(d) of the 1934 Act.

  • Approved Investor means any institution which has made a Takeout Commitment and has been approved by Buyer and not subsequently disapproved by Buyer.

  • Final Offering Memorandum shall be deemed to mean and include all information filed under the Securities Exchange Act of 1934 (as amended, the “Exchange Act,” which term, as used herein, includes the rules and regulations of the Commission promulgated thereunder) prior to the Time of Sale and incorporated by reference in the Pricing Disclosure Package (including the Preliminary Offering Memorandum) or the Final Offering Memorandum (as the case may be), and all references herein to the terms “amend,” “amendment” or “supplement” with respect to the Final Offering Memorandum shall be deemed to mean and include all information filed under the Exchange Act after the Time of Sale and incorporated by reference in the Final Offering Memorandum. The Company hereby confirms its agreements with the Initial Purchasers as follows:

  • Underwritten Public Offering means an underwritten Public Offering, including any bought deal or block sale to a financial institution conducted as an underwritten Public Offering.

  • Wholesale dealer means any dealer who deals in, or who holds a licence under any law to deal in, as the case may be, wholesale quantities of goods, and the business and stock of a wholesale dealer shall be deemed to include the business and stocks of any retail dealer who conducts business on the same premises on which the wholesale dealer conducts his or her business; and

  • Equity Offering means any public or private sale of common stock or Preferred Stock of the Company or any of its direct or indirect parent companies (excluding Disqualified Stock), other than:

  • Qualified Public Offering means the initial underwritten public offering of common Equity Interests of Holdings or any direct or indirect parent of Holdings or the Company pursuant to an effective registration statement filed with the SEC in accordance with the Securities Act (other than a registration statement on Form S-8 or any successor form).

  • Purchased Securities has the meaning assigned in the Terms;

  • managing dealer means a person that has entered into an agreement with an issuer under which the person has agreed to organize and participate in the solicitation of the exercise of the rights issued by the issuer;

  • Offering Memorandum means the preliminary offering memorandum dated March 1, 2021, as supplemented by the related pricing term sheet dated March 1, 2021, relating to the offering and sale of the Notes.

  • Eligible Investor Either (i) a Qualified Institutional Buyer that is purchasing for its own account or for the account of a Qualified Institutional Buyer to whom notice is given that the offer, sale or transfer is being made in reliance on Rule 144A or (ii) an Institutional Accredited Investor.

  • Related Securities means any options or warrants or other rights to acquire Shares or any securities exchangeable or exercisable for or convertible into Shares, or to acquire other securities or rights ultimately exchangeable or exercisable for or convertible into Shares.

  • Lead Investor means Empery Asset Master, Ltd.

  • Disclosure Package means, with respect to any specific offering of the Offered Securities, (i) the Preliminary Final Prospectus, if any, used most recently prior to the Applicable Time, (ii) the Issuer Free Writing Prospectuses, if any, identified in Schedule B to the Terms Agreement, (iii) the final term sheet prepared and filed pursuant to Section 4(c) hereto, if any, and (iv) any other Free Writing Prospectus that the parties hereto shall hereafter expressly agree in writing to treat as part of the Disclosure Package.

  • Approved Securities means securities of any State Government or of the Central Government and such bonds, both the principal whereof and the interest whereon shall have been fully and unconditionally guaranteed by any such Government;

  • Original Purchaser means the original purchaser of the Bonds designated by the Fiscal Officer in the Certificate of Award.

  • Public Offering means any offering by the Company of its equity securities to the public pursuant to an effective registration statement under the Securities Act or any comparable statement under any comparable federal statute then in effect (other than any registration statement on Form S-8 or Form S-4 or any successor forms thereto).