Participant Sponsored Holder’s Rights Sample Clauses

Participant Sponsored Holder’s Rights. 2.2.1 The Participant Sponsored Holder is entitled to receive a copy of the executed Broker Sponsorship Agreement on request. 2.2.2 Subject to Clauses 2.1.3 and 2.1.4, the Participant will initiate any Transfer, Conversion or other action necessary to give effect to Withdrawal instructions within two (2) Business Days of the date of the receipt of the Withdrawal Instructions. 2.2.3 The Participant will not initiate any Transfer or Conversion into or out of the Participant Sponsored Holding without the express authority of the Participant Sponsored Holder. 2.2.4 The Participant is regulated by the Corporations Act 2001 (Cth), the Australian Securities and Investment Commission (ASIC) Act and related legislation applicable to Financial Services Providers, the ASIC Market Integrity Rules (Securities Markets), ASX Operating Rules, ASX Clearing Rules, and ASX Settlement Rules (collectively ASX Rules), the Chi-X Australia Pty Limited (Chi-X) Operating Rules. The Participant Sponsored Holder can obtain information as to the status of the Participant from ASIC, ASX and Chi-X. 2.2.5 The Participant Sponsored Holder may lodge a complaint against the Participant with the Participant, the Australian Financial Complaints Authority (AFCA), ASIC, ASX or Chi-X. 2.2.6 The Participant Sponsored Holder may lodge a claim for compensation with the Participant, or if the circumstances specified in Part 7.5 Division 4 of the Corporations Regulations 2001 apply, with the National Guarantee Fund.

Participant Sponsored Holder’s Rights. 3.2.1 Subject to Clauses 3.1.3. and 3.1.4., State One will initiate any Transfer, Conversion or other action necessary to give effect to Withdrawal Instructions within two (2) Business Days of the date of the receipt of the Withdrawal Instructions. 3.2.2 Subject to Clause 6.8 State One will not initiate any Transfer or Conversion into or out of the Participant Sponsored Holding without Your express authority. 3.2.3 The Regulatory regime which applies to State One is the Corporations Act and Corporations Regulations, ASIC Market Integrity Rules, Chi-X Operating Rules, APX Operating Rules, and the rules of the ASX Group, including the ASX Operating Rules, the ASX Settlement Rules and the ASX Clear Rules and their associated procedures. You can obtain information as to the status of State One from the Australian Securities and Investments Commission (“ASIC”), Chi-X Australia Pty Ltd (“Chi-X”), Asia Pacific Exchange Pty Ltd (“APX”), the Australian Securities Exchange Limited (“ASX”), ASX Settlement Pty Ltd (“ASX Settlement”) and ASX Clear Pty Ltd (“ASX Clear”). 3.2.4 You may lodge a complaint against State One with ASIC, APX, Chi-X, ASX, ASX Settlement, ASX Clear or the Financial Ombudsman Service (“FOS”). You may lodge any claim for compensation with State One in the first instance and if not satisfied with State One’s response, You may refer the matter to FOS. You may lodge any claims to the relevant compensation fidelity fund for each market.

Participant Sponsored Holder’s Rights. 2.2.1 Subject to Clauses 2.1.3 and 2.1.4, the Participant will initiate any Transfer, Conversion or other action necessary to give effect to Withdrawal Instructions within two (2) Business Days of the date of the receipt of the Withdrawal Instructions. 2.2.2 The Participant will not initiate any Transfer or Conversion into or out of the Participant Sponsored Holding without the express authority of the Participant Sponsored Holder. 2.2.3 Xxxxxxx Capital Limited is a holder of an Australian Financial Services Licence under the Corporations Act 2001 which is regulated by the Australian Securities and Investments Commission (“ASIC”). As a Market Participant of ASX Group Ltd (“ASX”), Xxxxxxx Capital Limited is also bound by the ASX Market Operating Rules, ASX Settlement Operating Rules and the ASX Clear Operating Rules. The Participant Sponsored Holder can obtain information as to the status of Xxxxxxx Capital Limited from ASIC. 2.2.4 The Participant Sponsored Holder may lodge a complaint against Xxxxxxx Capital Limited or any claim for compensation with the Financial Ombudsman Service (“FOS”). The FOS toll free number is 1300 780 808.

Participant Sponsored Holder’s Rights. 3.1 Subject to clauses 2.3, 2.4, 2.5 and 2.6, the Sponsoring Participant will initiate any Transfer, Conversion or other action necessary to give effect to Withdrawal Instructions within two (2) Business Days of the date of receipt of the Withdrawal Instructions or except as detailed above. 3.2 The Sponsoring Participant will not initiate any Transfer or Conversion into or out of the Participant Sponsored Holding without the express authority of the Participant Sponsored Holder.

Participant Sponsored Holder’s Rights. 3.1 Subject to the clauses 2.3 and 2.4, the Sponsoring Participant will initiate any Transfer, Conversion or other action necessary to give effect to Withdrawal Instructions within two Business Days of the date of the receipt of the Withdrawal Instructions. 3.2 The Sponsoring Participant will not initiate any Transfer or Conversion into or out of a Participant Sponsored Holding without the express authority of the Participant Sponsored Holder. 3.3 The regulatory regime which applies to the Sponsoring Participant is the Business Rules of Australian Stock Exchange Limited and the Corporations Act as regulated by the Australian Securities and Investments Commission. 3.4 The Participant Sponsored Holder may lodge a complaint against the Sponsoring Participant or any claim for compensation if our service has not met your expectations. If you have a complaint, you may take the following steps: (a) Write to the Compliance Manager, Canaccord Genuity Financial Limited, GPO Box W2024, Perth, Western Australia 6846. (b) If the complaint has not been resolved to your satisfaction, you may lodge a complaint with Australian Financial Complaints Authority (AFCA). AFCA contact details are: Website: xxx.xxxx.xxx.xx Email: xxxx@xxxx.xxx.xx Telephone: 0000 000 000 (free call) In writing to: Australian Financial Complaints Authority GPO Box 3, Melbourne VIC 3001 (c) The Australian Securities and Investments Commission also has a free call infoline on 0000 000 000 which you may use to make a complaint or obtain information about your rights. (d) If you are still not satisfied with the outcome, you may wish to take independent legal advice to consider your further options.

Participant Sponsored Holder’s Rights. 2.2.1 The Participant Sponsored Holder is entitled to receive a copy of the executed Broker Sponsorship Agreement on request. 2.2.2 Subject to Clauses 2.1.3 and 2.1.4, the Participant will initiate any Transfer, Conversion or other action necessary to give effect to Withdrawal instructions within two (2) Business Days of the date of the receipt of the Withdrawal Instructions. 2.2.3 The Participant will not initiate any Transfer or Conversion into or out of the Participant Sponsored Holding without the express authority of the Participant Sponsored Holder. 2.2.4 The Participant is regulated by the Corporations Act 2001 (Cth), the Australian Securities and Investment Commission (ASIC) Act and related legislation applicable to Financial Services Providers, the ASIC Market Integrity Rules (Securities Markets), ASX Operating Rules, ASX Clearing Rules, and ASX Settlement Rules (collectively ASX Rules), the Cboe Australia Pty Limited (Cboe) Operating Rules.The Participant Sponsored Holder can obtain information as to the status of the Participant from ASIC, ASX and Cboe. 2.2.5 The Participant will investigate and respond to all complaints via an Internal Dispute Resolution process at no cost to the Participant Sponsored Holder. It may be up to 45 days before the Participant is in a position to provide formal feedback. If an issue has not been resolved to the satisfaction of the Participant Sponsored Holder, a complaint can be lodged with the Australian Financial Complaints Authority (AFCA). AFCA provides fair and independent financial services complaint resolution that is free to consumers. Website: xxxx.xxx.xx Telephone: 0000 000 000 (free call) Email: xxxx@xxxx.xxx.xx In writing to: Australian Financial Complaints Authority, GPO Box 3, Melbourne VIC 3001 2.2.6 The Participant Sponsored Holder may lodge a claim for compensation with the Participant, or if the circumstances specified in Part 7.5 Division 4 of the Corporations Regulations 2001 apply, with the National Guarantee Fund. 3 Other Rights and Duties

Participant Sponsored Holder’s Rights. 2.2.1 The Participant Sponsored Holder is entitled to receive a copy of the executed Broker Sponsorship Agreement on request. 2.2.2 Subject to Clauses 2.1.3 and 2.1.4, the Participant will initiate any Transfer, Conversion or other action necessary to give effect to Withdrawal instructions within two (2) Business Days of the date of the receipt of the Withdrawal Instructions. 2.2.3 The Participant will not initiate any Transfer or Conversion into or out of the Participant Sponsored Holding without the express authority of the Participant Sponsored Holder. 2.2.4 The Participant is regulated by the Corporations Xxx 0000 (Cth), the Australian Securities and Investment Commission (ASIC) Act and related legislation applicable to Financial Services Providers, the ASIC Market Integrity Rules, ASX Operating Rules, ASX Clearing Rules, and ASX Settlement Rules. The Participant Sponsored Holder can obtain information as to the status of the Participant from ASIC and ASX. 2.2.5 The Participant Sponsored Holder may lodge a complaint against the Participant with the Participant, the Australian Financial Complaints Authority (AFCA) 2.2.6 The Participant Sponsored Holder may lodge a claim for compensation with the Participant, or if the circumstances specified in Part 7.5 Division 4 of the Corporations Regulations 2001 apply, with the National Guarantee Fund.

Participant Sponsored Holder’s Rights. 2.2.1. Subject to Clauses 2.1.3 and 2.1.4, the Participant will initiate any Transfer, Conversion or other action necessary to give effect to Withdrawal Instructions within two (2) Business Days of the date of the receipt of the Withdrawal Instructions.

Participant Sponsored Holder’s Rights. 2.2.1. Subject to Clauses 2.1.3 and 2.1.4, the Participant will initiate any Transfer, Conversion or other action necessary to give effect to Withdrawal Instructions within two (2) Business Days of the date of the receipt of the Withdrawal Instructions. 2.2.2. Subject to rule 7.4 the Participant will not initiate any Transfer or Conversion into or out of the Participant Sponsored Holding without the express authority of the Participant Sponsored Holder.

Participant Sponsored Holder’s Rights. 4.1 Subject to ASX Settlement Rules 7.2.2(e) and 7.2.2(f) the Sponsoring Participant will initiate any Transfer, Conversion or an action necessary to give effect to Withdrawal Instructions within two (2) Business Days of the date of the receipt of the Withdrawal Instructions. 4.2 Subject to Rule 7.4, the Sponsoring Participant will not initiate any Transfer or Conversion into or out of the Participant Sponsored Holding without the express authority of the Participant Sponsored Holder. 4.3 The Sponsoring Participant is an Australian Financial Services Licensee and is therefore regulated by ASIC pursuant to the Corporations Act. The conduct of the Sponsoring Participant is also regulated in accordance with the Regulatory Rules. 4.4 The Participant Sponsored Holder may lodge a complaint against the Sponsoring Participant with either ASIC, ASX, ASX Settlement, ASX Clear or the Australian Financial Complaints Authority (“AFCA”) as a result of any contravention of this agreement. Any claim for compensation can initially be lodged with the Participant and then with AFCA.