New Listing of Securities Sample Clauses

New Listing of Securities. 7.1 In the event that the Client requests and authorises WLSL to apply for Securities in respect of a new listing and/or issue of Securities on the Exchange as its agent and for its benefit or for the benefit of any other person, the Client hereby warrants to and for WLSL's benefit that WLSL has authority to make such application on the Client’s behalf. 7.2 The Client shall familiarise himself and comply with all the terms and conditions governing the new listing and/or issue of Securities and the application for such new Securities set out in any prospectus and/or offering document and the application form or any other relevant document in respect of such new listing and/or issue and the Client agrees to be bound by such terms and conditions in any such transaction the Client may have with WLSL. 7.3 The Client hereby gives WLSL all the representations, warranties and undertakings which an applicant for Securities in a new listing and/ or issue is required to give (whether to the issuer, sponsors, underwriters or placing agents of the relevant Securities, the Exchange or any other relevant regulator or person). 7.4 The Client hereby further declares and warrants, and authorises WLSL to disclose and warrant to the Exchange on any application form (or otherwise) and to any other person as appropriate, that any such application made by WLSL as its agent is the only application made, and the only application intended to be made, by the Client or on the Client's behalf, to benefit the Client or the person for whose benefit the Client is applying. The Client acknowledges and accepts that the aforesaid declaration and warranty will be relied upon by WLSL and by the issuer, sponsors, underwriters or placing agents of the relevant Securities, the Exchange or any other relevant regulator or person in respect of any application made by WLSL as the Client’s agent. 7.5 In relation to Clause 7.4 above, the Client acknowledges that any application made by an unlisted company which does not carry on any business other than dealing in Securities and in respect of which the Client exercises statutory control shall be deemed to be an application made for the benefit of the Client. 7.6 The Client recognizes and understands that the legal, regulatory requirements and market practice in respect of applications for Securities may vary from time to time as may the requirements of any particular new listing or issue of Securities. The Client undertakes to provide WLSL such informa...
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New Listing of Securities. In the event that the Customer requests and authorizes the Company to apply for Securities in respect of a new listing and/or issue of Securities on the Exchange as its agent and for its benefit or for the benefit of any other person, the Customer hereby warrants to and for the Company's benefit that the Company has authority to make such application on the Customer's behalf.
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New Listing of Securities a. In the event that the Client requests and authorizes the Company to apply tor securities in respect of a new listing and/or issue of securities on the Exchange as his agent and for his benefit or for the benefit of any other person, the Client hereby warrants to and for the Company's benefit that the Company has authority to make such application on the Client's behalf.倘若客戶要求並授權本公司作為客戶的代理人和為客戶或任何其他人士的利益申請於聯交所新上市及 / 或發行的證 券，為了本公司的利益，客戶保證本公司有權代表客戶作出該等申請。 b. The Client Shall familiarize himself and comply with all the terms and conditions governing the securities of the new listing and/or issue and the application for such new securities set out in any prospectus and/or offering document and the application form or any other relevant document in respect of such new listing and/or issue and the Client agrees to be bound by such terms and conditions in any such transaction the Client may have with the Company. 客戶應熟悉並遵從任何招股說明書及/ 或發行文件、申請表格或其他有關文件內所載之管轄新上市及/ 或發行的證券及其申請之全部條款和條件，客戶同意在與本公司進行的任何交易中受該等條款和條件約束。 c. The Client hereby gives to the Company all the representations, warranties and undertakings which an applicant for securities in a new listing and/or issue is required to give (whether to the issuer, sponsors, underwriters or placing agents of the relevant securities, the SEHK or any other relevant regulator or person). 客戶茲向本公司作出新上市及 / 或發行證券申請人 (不論是向有關證券的發行人、發起人、承銷人或配售代理人、聯交所或任何其他有關監管機構或人士) 需要作出的所有陳述、保證和承諾。 d. The Client hereby further declares and warrants, and authorizes the Company to disclose and warrant to SEHK on any application form (or otherwise) and to any other person as appropriate, that any such application made by the Company as his agent is the only application made, and the only application intended to be made, by the Client or on the Client's behalf, to benefit the Client or the person for whose benefit the Client is applying. The Client acknowledges and accepts that the aforesaid declaration and warranty will be relied upon by the Company and by the issuer, sponsors, underwriters or placing agents of the relevant securities, SEHK any other relevant regulator or person in respect of any application made by the Company as the Client's agent. 客戶茲進一步聲明和保證，並授權本公司通過何任申請表格 (或以其他方式) 向聯交所和任何其他適合人士披露和保證，為受益與客戶或客戶在申請中載明的受益人士，本公司作為客戶代理人作出的任何申請是客戶或本公司代表客戶作出唯一的申請或打算作出唯一的申請。客戶確認和接受，就本公司作為客戶代理人作出的任何申請而言，本公司和有關證券的發行人、發起人、承銷人或配售代理人、聯交所或任何其他有關監管機構或人士將會依賴上述聲明和保證。 e. The Company, on receipt of a request from the Client to apply for IPO Shares, may provide an I...
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New Listing of Securities. 新證券上市 6.1 In the event that I/we request and authorize you to apply for Securities in respect of a new listing and/or issue of Securities on the Exchange as my/our agent and for my/our benefit or for the benefit of any other person, I/we hereby warrant and for your benefit that you have authority to make such application on my/our behalf. 本人(等)要求並授權貴 司以代理人身份為本人(等)或任何其他人士的利益，申請在交易所新上市／ 或發行證券，為了貴 司的利益，本人(等)保證貴 司有權代表本人(等)提出該等申請。 6.2 I/We shall familiarize myself/ourselves and comply with all the terms and conditions governing the Securities of the new listing and/or issue and the application for such new Securities as set out in any prospectus and/or offering document and the application form or any other relevant document in respect of such new listing and/or issue and I/we agree to be bound by such terms and conditions in any such transactions I/we may have with you. 本人(等)應熟悉及遵守招股章程及／或發行文件，及申請表格或其他相關文件內所載列管轄新上市 及／或發行該等證券及其申請的所有條款及條件，本人(等)同意與貴 司進行的任何相關交易中受該等條款及條件約束。 6.3 I/We hereby give you all the representations, warranties and undertaking on which application for Securities in a new listing and/or issue is required to give (whether to the issuer, sponsors, underwriters or placing agents of the relevant Securities, the Exchange or any other relevant regulator or person). 本人(等)茲向貴 司作出申請新上市及／或發行證券時必須作出的所有陳述、保證及承諾（不論向相 關證券發行人、保薦人、包銷商或配售代理、有關交易所或任何其他相關監管機構或人士作出）。 6.4 I/We hereby further declare and warrant, and authorize you to disclose and warrant the Exchange or any application form (or otherwise) and to any other person as appropriate, that any such application made by you as its agent is the only application made, and the only application intended to be made, by me/us or on my/our behalf, to benefit me/us or the person for whose benefit my/our applying. I/We acknowledge and accept that the aforesaid declaration and warranty will be relied upon by you and by the issuer, sponsors, underwriters or placing agents of the relevant Securities, the Exchange or any other relevant regulator or person in respect of any application made by you as my/our agent. 本人(等)進一步聲明及保證，並授權貴 司在申請表格（或其他文件）向交易所或及任何其他適當人 士披露及保證，貴 司提交的任何相關申請，乃由本人(等)或代表本人(等)為自身或本人(等)代為申請的人士之利益，提交及有意提交的唯一申請。本人(等)承認並接受，貴 司及相關證券發行人、保薦人、包銷商或配售代理、交易所或任何其他相關監管機構或貴 司作為本人(等)代理所提交任何申請之相關人士，均可依憑前述聲明及保證。 6.5 I/We acknowledge that any application made by an unlisted company which does not carry on any business other than dealing in Securities and in respect of which I/we exercise statutory control shall be deemed ...
Sample 1
New Listing of Securities. 新上市證券 5.1 The Client authorizes TCCS, upon the Client’s Instruction, to apply for the subscription or purchase of securities in a public offer in respect of a new listing and/or placing of securities of companies listed on the SEHK as its agent and for the benefit of the Client or for the benefit of the ultimate beneficiary, whether singly or in conjunction with applications of other clients or Affiliates of TCCS as a bulk application. The Client acknowledges that TCCS shall not be responsible for the accuracy or completeness of or any misstatement in any prospectus and other offering documents relating to a public offer and/or placing, copies of which are supplied by TCCS to the Client. 客戶授權天宸康合應客戶指示作為其代理，就新上市公司的公開認購及/或在聯交所上市公司的證券配售，為客戶之利益或為最終受益人的利益申請認購或購買證券，不論是單一或聯同其他客戶的申請或聯同天宸康合聯屬人進行大量申請。客戶確認，就有關任何公開認購及/或配售的任何招股書及其他銷售文件，天宸康合概不對其準確性或完整性或任何錯誤陳述負責。 5.2 In making such Instruction to TCCS to apply for the subscription or purchase of securities in a public offer in respect of new listing and/or placing of securities of companies listed on the SEHK, the Client confirms and declares that: 於向天宸康合作出指示，就新上市公司的公開認購及/或在聯交所上市公司的證券配售申請認購或購買證券時，客戶確認並聲明： (a) it has already read and understands the related prospectus, application forms and/or other relevant offering documents, and its application is subject to the terms and conditions of such prospectus, application forms and/or relevant offering documents (including the discretion of the relevant issuer to determine on the final pricing of the securities) or, in the absence of any written offering documents, it fully understands the terms and conditions of the relevant subscription/purchase; 其已閱讀及了解相關的招股書、申請表格及/或其他相關售股文件，以及其申請須符合有關招股書、申請表格及/或相關售股文件訂明之條款及條件（包括相關發行人確定證券最終訂價的酌情權），或如果沒有任何書面銷售文件，其完全了解相關認購／購買的條款及條件； (b) it is eligible to subscribe for or purchase the securities and will comply with or has complied with all the terms and conditions as stated in such prospectus, application forms and/or other relevant offering documents or, in the absence of any written offering documents, will comply with or has complied with the terms and conditions of the relevant subscription/purchase; 其符合資格認購或購買該等證券，並且會遵守或已遵守有關招股書、申請表格及/或其他相關銷售文件訂明的條款及條件，或如果沒有任何書面銷售文件，其會遵守或已遵守相關認購／購買的條款及條件； (c) TCCS has the due authority to make such application on the Client’s behalf; 天宸康合擁有充分的權力，代表客戶作出有關申請； (d) the application made by TCCS on the Client’s behalf is the only application made, and the only application intended to be made, by the Client or ...
Sample 1
New Listing of Securities. 3.1 Subject to all other provisions of this Agreement, Client may request and authorize Golden Eagle Brokerage to apply on Client’s behalf for securities in a new issue for listing on an Exchange (an “Application”) and/or requests for financing from Golden Eagle Brokerage in respect of the Application (“IPO Financing”), the provisions of this clause 3 shall apply. 3.1.1 Client authorizes Golden Eagle Brokerage to complete such application form as may be required, and represents and warrants to Golden Eagle Brokerage that all representations, warranties, confirmations and undertakings on the part of the applicant contained or incorporated in the application form are true and accurate in respect of Client. 3.1.2 Client agrees to be bound by the terms of the new issue and in particular, Client hereby: 3.1.2.1 warrants and undertakes that the Application shall be the only application made for Client’s benefit in respect of the same issue of securities and that Client shall make no other application in that issue; 3.1.2.2 authorizes Golden Eagle Brokerage to represent and warrant to the Exchange that no other application shall be made or shall be intended to be made by Client or for Client’s benefit; 3.1.2.3 acknowledges that Golden Eagle Brokerage will rely on the above warranties, undertakings and authorizations in making the application and request for IPO Financing. 3.1.2.4 acknowledges that Golden Eagle Brokerage accepts no responsibility to send the Client the listing document which sets out the terms and conditions of the new issue of securities (“Prospectus”). By Client’s application for subscriptions and request for IPO Financing, Client confirms that Client has obtained such Prospectus from elsewhere, have read and understood the terms and conditions, and Client’s application is not in breach of such terms and conditions. Client confirms that Client shall not request subscription for new issues of securities unless eligible to do so under the applicable securities legislation; and 3.1.2.5 represents and warrants that he is not a connected person of the issuer of securities that are subject of the new issue. 3.1.3 The Client further acknowledges that an application made by an unlisted company that does not carry on any business other than dealing in shares and in respect of which the Client exercises statutory control, shall be deemed to be an application made for the benefit of the Client. 3.1.4 The Client declares that the Client’s Application throug...
Sample 1
New Listing of Securities. In the event that the Customer requests and authorizes the Company to apply for Securities in respect of a new listing and/or issue of Securities on the Exchange as its agent and for its benefit or for the benefit of any other person, the Customer hereby warrants to and for the Company's benefit that the Company shall have authority to make such application on the Customer's behalf.
Sample 1
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New Listing of Securities 
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Related to New Listing of Securities

  • Listing of Securities The Company agrees, (i) if the Company applies to have the Common Stock traded on any other Trading Market, it will include in such application the Shares and Warrant Shares, and will take such other action as is necessary or desirable to cause the Shares and Warrant Shares to be listed on such other Trading Market as promptly as possible, and (ii) it will take all action reasonably necessary to continue the listing and trading of its Common Stock on a Trading Market and will comply in all material respects with the Company’s reporting, filing and other obligations under the bylaws or rules of the Trading Market.

  • Reservation and Listing of Securities (a) The Company shall maintain a reserve from its duly authorized shares of Common Stock for issuance pursuant to the Transaction Documents in such amount as may then be required to fulfill its obligations in full under the Transaction Documents. (b) If, on any date, the number of authorized but unissued (and otherwise unreserved) shares of Common Stock is less than the Required Minimum on such date, then the Board of Directors shall use commercially reasonable efforts to amend the Company’s certificate or articles of incorporation to increase the number of authorized but unissued shares of Common Stock to at least the Required Minimum at such time, as soon as possible and in any event not later than the 75th day after such date. (c) The Company shall, if applicable: (i) in the time and manner required by the principal Trading Market, prepare and file with such Trading Market an additional shares listing application covering a number of shares of Common Stock at least equal to the Required Minimum on the date of such application, (ii) take all steps necessary to cause such shares of Common Stock to be approved for listing or quotation on such Trading Market as soon as possible thereafter, (iii) provide to the Purchasers evidence of such listing or quotation and (iv) maintain the listing or quotation of such Common Stock on any date at least equal to the Required Minimum on such date on such Trading Market or another Trading Market.

  • Offering of Securities Neither the Company nor any person acting on its behalf has taken any action (including any offering of any securities of the Company under circumstances which would require the integration of such offering with the offering of any of the Preferred Shares under the Securities Act, and the rules and regulations of the Securities and Exchange Commission (the “SEC”) promulgated thereunder), which might subject the offering, issuance or sale of any of the Preferred Shares to Treasury pursuant to this Agreement to the registration requirements of the Securities Act.

  • Rating of Securities The Company shall take all reasonable action necessary to enable Standard & Poor’s Ratings Services, a division of McGraw Hill, Inc. (“S&P”), and Xxxxx’x Investors Service Inc. (“Moody’s”) to provide their respective credit ratings of the Securities.

  • Pricing of Securities A. For each valuation date, USBFS shall obtain prices from a pricing source recommended by USBFS and approved by the Board of Trustees and apply those prices to the portfolio positions of the Fund. For those securities where market quotations are not readily available, the Board of Trustees shall approve, in good faith, procedures for determining the fair value for such securities. If the Trust desires to provide a price that varies from the price provided by the pricing source, the Trust shall promptly notify and supply USBFS with the price of any such security on each valuation date. All pricing changes made by the Trust will be in writing and must specifically identify the securities to be changed by CUSIP, name of security, new price or rate to be applied, and, if applicable, the time period for which the new price(s) is/are effective. B. In the event that the Trust at any time receives Data containing evaluations, rather than market quotations, for certain securities or certain other data related to such securities, the following provisions will apply: (i) evaluated securities are typically complicated financial instruments. There are many methodologies (including computer-based analytical modeling and individual security evaluations) available to generate approximations of the market value of such securities, and there is significant professional disagreement about which method is best. No evaluation method, including those used by USBFS and its suppliers, may consistently generate approximations that correspond to actual “traded” prices of the securities; (ii) methodologies used to provide the pricing portion of certain Data may rely on evaluations; however, the Trust acknowledges that there may be errors or defects in the software, databases, or methodologies generating the evaluations that may cause resultant evaluations to be inappropriate for use in certain applications; and (iii) the Trust assumes all responsibility for edit checking, external verification of evaluations, and ultimately the appropriateness of using Data containing evaluations, regardless of any efforts made by USBFS and its suppliers in this respect.

  • Voting of Securities As long as no Event of Default exists, Debtor is entitled to exercise all voting Rights pertaining to any Pledged Securities and Partnership/Limited Liability Company Interests; provided however, that no vote shall be cast or consent, waiver, or ratification given or action taken without the prior written consent of Secured Party which would be inconsistent with or violate any provision of this Security Agreement or any other Loan Document; and provided further that Debtor shall give Secured Party at least five Business Days’ prior written notice in the form of an officers’ certificate of the manner in which it intends to exercise, or the reasons for refraining from exercising, any voting or other consensual Rights pertaining to the Collateral or any part thereof which might have a Material Adverse Effect on the value of the Collateral or any part thereof. If an Event of Default exists and if Secured Party elects to exercise such Right, the Right to vote any Pledged Securities shall be vested exclusively in Secured Party. To this end, Debtor hereby irrevocably constitutes and appoints Secured Party the proxy and attorney-in-fact of Debtor, with full power of substitution, to vote, and to act with respect to, any and all Collateral that is Pledged Securities standing in the name of Debtor or with respect to which Debtor is entitled to vote and act, subject to the understanding that such proxy may not be exercised unless an Event of Default exists. The proxy herein granted is coupled with an interest, is irrevocable, and shall continue until the Obligations have been paid and performed in full.

  • Lending of Securities If the Fund is permitted by the terms of its organization documents and as disclosed in its Prospectus to lend securities, within 24 hours after each loan of Securities, the Fund shall deliver to the Custodian a Certificate specifying with respect to each such loan: (a) the Series to which the Securities to be loaned are specifically allocated; (b) the name of the issuer and the title of the Securities; (c) the number of shares or the principal amount loaned; (d) the date of loan and delivery; (e) the total amount to be delivered to the Custodian, and specifically allocated against the loan of the Securities, including the amount of cash collateral and the premium, if any, separately identified; and (f) the name of the broker, dealer or financial institution to which the loan was made. Promptly after each termination of a loan of Securities, the Fund shall deliver to the Custodian a Certificate specifying with respect to each such loan termination and return of Securities: (a) the Series to which the Securities to be returned are specifically allocated; (b) the name of the issuer and the title of the Securities to be returned; (c) the number of shares or the principal amount to be returned; (d) the date of termination; (e) the total amount to be delivered by the Custodian (including the cash collateral for such Securities minus any offsetting credits as described in said Certificate); and (f) the name of the broker, dealer or financial institution from which the Securities will be returned. The Custodian shall receive all Securities returned from the broker, dealer or financial institution to which such Securities were loaned and upon receipt thereof shall pay the total amount payable upon such return of Securities as set forth in the Certificate. Securities returned to the Custodian shall be held as they were prior to such loan.

  • Title of Securities There shall be a series of Securities designated the “6.150% Senior Notes due 2036” of the Company (the “Senior Notes”).

  • Form of Securities Bearer Security. The Securities will be issued in global bearer form, evidenced on issue by a Temporary Bearer Global Security. Beneficial interests in a Temporary Bearer Global Security will be exchangeable for beneficial interests in a Permanent Bearer Global Security on or after the date which is 40 days after the date on which the Temporary Bearer Global Security is issued and upon certification as to non-U.S. beneficial ownership as required by U.S. Treasury regulations.

  • Sale of Securities Promptly upon each sale of Securities by the Fund, Written Instructions shall be delivered to the Custodian, specifying (i) the name of the issuer or writer of such Securities, and the title or other description thereof, (ii) the number of shares, principal amount (and accrued interest, if any), or other units sold, (iii) the date of sale and settlement, (iv) the sale price per unit, (v) the total amount payable upon such sale, and (vi) the person to whom such Securities are to be delivered. Upon receipt of the total amount payable to the Fund as specified in such Written Instructions, the Custodian shall deliver such Securities to the person specified in such Written Instructions. Subject to the foregoing, the Custodian may accept payment in such form as shall be satisfactory to it, and may deliver Securities and arrange for payment in accordance with the customs prevailing among dealers in Securities.

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