Trading Participant and AFSL Holder Sample Clauses

Trading Participant and AFSL Holder. (a) The Company is: (i) duly and validly admitted as a Trading Participant of ASX and has Trading Permission in respect of all of the ASX Products in respect of which it executes transactions through ASX; (ii) duly and validly admitted as a General Participant of ASX Clear; (iii) duly and validly admitted as a General Settlement Participant of ASX Settlement; (iv) duly and validly admitted as a Trading Participant of Chi-X; and (v) holds an AFSL authorising it to provide financial services which it provides. (b) The Company has not exceeded in any material respect the business activities enumerated in any membership agreements or other limitations imposed in connection with its registrations, forms and reports filed with ASX, or any other Governmental Authority. Except as set forth on Schedule 4.10(b), the Company has filed all reports, registrations and statements, together with any amendments required to be made with respect thereto, that they were required to file since inception with any Governmental Authority, and all other reports and statements required to be filed by it have been filed including any report or statement required to be filed pursuant to the laws, rules or regulations of ASX, any jurisdiction or any Governmental Authority and the Company has paid all fees and assessments due and payable in connection therewith. The information contained in such registrations, forms and reports was true and complete in all material respects as of the date of the filing thereof. Each such registration is in full force and effect on the date hereof. Except for normal examinations conducted by a Governmental Authority in the regular course of the business of the Company, no Governmental Authority has initiated any proceeding or investigation into the business or operations of the Company or any of its employees, agents (Persons having the authority to bind the Company or the Company Subsidiary), brokers or representatives. There is no unresolved violation or exception by any Governmental Authority with respect to any report or statement relating to any examination of the Company. (c) To the knowledge of the Seller, each of the Company’s employees that is required to be registered or licensed as a registered principal, registered representative or a salesperson with its designated examining authority, the securities commission of any domestic or foreign jurisdiction or any Governmental Authority is duly registered or licensed to act in their respective cap...
Sample 1
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Related to Trading Participant and AFSL Holder

  • Participant Signature Ratification, Acceptance(A), Approval(AA), Accession(a)

  • Participant Information My address is: My Social Security Number is:

  • Sharing of Participant Information 20 7.4 REPORTING AND DISCLOSURE AND COMMUNICATIONS TO PARTICIPANTS..................................................20 7.5 NON-TERMINATION OF EMPLOYMENT; NO THIRD-PARTY BENEFICIARIES.................................................20 7.6

  • Beneficial Owner; Holder Prior to due presentment for registration of transfer of any Warrant, the Company and the Warrant Agent may deem and treat the person in whose name that Warrant shall be registered on the Warrant Register (the “Holder”) as the absolute owner of such Warrant for purposes of any exercise thereof, and for all other purposes, and neither the Company nor the Warrant Agent shall be affected by any notice to the contrary. Notwithstanding the foregoing, nothing herein shall prevent the Company, the Warrant Agent or any agent of the Company or the Warrant Agent from giving effect to any written certification, proxy or other authorization furnished by DTC governing the exercise of the rights of a holder of a beneficial interest in any Warrant. The rights of beneficial owners in a Warrant evidenced by the Global Certificate shall be exercised by the Holder or a Participant through the DTC system, except to the extent set forth herein or in the Global Certificate.

  • Participant Undertaking Participant hereby agrees to take whatever additional action and execute whatever additional documents the Corporation may deem necessary or advisable in order to carry out or effect one or more of the obligations or restrictions imposed on either Participant or the Purchased Shares pursuant to the provisions of this Agreement.

  • Information from Holder It shall be a condition precedent to the obligations of the Company to take any action pursuant to this Section 1 with respect to the Registrable Securities of any selling Holder that such Holder shall furnish to the Company such information regarding itself, the Registrable Securities held by it, and the intended method of disposition of such securities as shall be reasonably required to effect the registration of such Holder’s Registrable Securities.

  • WARRANT HOLDER NOT DEEMED A STOCKHOLDER Except as otherwise specifically provided herein, the Holder, solely in its capacity as a holder of this Warrant, shall not be entitled to vote or receive dividends or be deemed the holder of share capital of the Company for any purpose, nor shall anything contained in this Warrant be construed to confer upon the Holder, solely in its capacity as the Holder of this Warrant, any of the rights of a stockholder of the Company or any right to vote, give or withhold consent to any corporate action (whether any reorganization, issue of stock, reclassification of stock, consolidation, merger, conveyance or otherwise), receive notice of meetings, receive dividends or subscription rights, or otherwise, prior to the issuance to the Holder of the Warrant Shares which it is then entitled to receive upon the due exercise of this Warrant. In addition, nothing contained in this Warrant shall be construed as imposing any liabilities on the Holder to purchase any securities (upon exercise of this Warrant or otherwise) or as a stockholder of the Company, whether such liabilities are asserted by the Company or by creditors of the Company. Notwithstanding this Section 6, the Company shall provide the Holder with copies of the same notices and other information given to the stockholders of the Company generally, contemporaneously with the giving thereof to the stockholders.

  • Information for Unit Holders For the purpose of permitting Unit holders to satisfy any reporting requirements of applicable federal or state tax law, First Trust Advisors L.P., acting in its capacity as Evaluator, shall make available to the Trustee and the Trustee shall transmit to any Unit holder upon request any determinations made by it pursuant to Section 4.01.

  • Participant Acknowledgment The Participant hereby acknowledges receipt of a copy of the Plan. The Participant hereby acknowledges that all decisions, determinations and interpretations of the Committee in respect of the Plan, this Agreement and the Restricted Stock shall be final and conclusive.

  • Agent Member At the date hereof, BD is a participant of the Securities Depository.

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