Category 2 investment definition

Category 2 investment means any investment complying with Article 1, but with neither Article 2
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Category 2 investment means any investment complying with Article 1, but with neither Article 2 nor Article 3, of this chapter.
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Examples of Category 2 investment in a sentence

  • Regulatory Capital RequirementDefined in Rule CA-1.2.2 for Category 1 and Category 2 investment firms, and in Rule CA-1.2.3 for Category 3 investment firms.

  • AU-2.3.2For Category 1 and Category 2 investment firm licensees, at least one of the controllers of an investment firm licensee must be a reputable financial institution of financial soundness, operating within a regulated jurisdiction, with a legal structure, all of which must be acceptable to the CBB.

  • AU-1.1.16 A Category 2 investment firm cannot, therefore, trade in financial instruments for its own account („dealing in financial instruments as principal‟), but it may conduct all other types of regulated investment services, including holding client assets.

  • Category 2 AU-1.1.15For the purposes of Volume 4 (Investment Business), Category 2 investment firms may undertake (subject to Rule AU-1.1.19) any regulated investment service (as listed in Rule AU-1.1.13), except that of ‘dealing in financial instruments as principal’.

  • Category 2 For the purposes of Volume 4 (Investment Business), Category 2 investment firms may undertake (subject to Rule AU-1.1.19) any regulated investment service (as listed in Rule AU-1.1.13), except that of ‘dealing in financial instruments as principal’.

  • BGC Brokers, L.P. Bahrain operates as a Category 2 investment firm under regulatory license IBF – 2/025 issued by the Central Bank of Bahrain (“CBB”).

  • AU-1.1.14 [This Paragraph was moved and amended to Paragraph AU-1.4.11A in January 2012].MODULEAU: AuthorisationCHAPTERAU-1: Authorisation Requirements AU-1.1 Licensing (continued)Category 2 AU-1.1.15For the purposes of Volume 4 (Investment Business), Category 2 investment firms may undertake (subject to Rule AU-1.1.19) any regulated investment service (as listed in Rule AU-1.1.13), except that of ‘dealing in financial instruments as principal’.

  • Admittedly, we may have overlooked other explanations, but all these findings suggest that the predictability reflects a market inefficiency due to investors’ expectations being sticky.

  • MODULEAU: AuthorisationCHAPTERAU-1: Authorisation Requirements AU-1.1 Licensing (continued)Category 2 AU-1.1.15For the purposes of Volume 4 (Investment Business), Category 2 investment firms may undertake (subject to Rule AU-1.1.19) any regulated investment service (as listed in Rule AU-1.1.13), except that of ‘dealing in financial instruments as principal’.

  • AU-1.1.16 A Category 2 investment firm cannot, therefore, trade in financial instruments for its own account (‘dealing in financial instruments as principal’), but it may conduct all other types of regulated investment services, including holding client assets.

Related to Category 2 investment

  • Fixed Investor Percentage means, with respect to any Monthly Period, the percentage equivalent of a fraction, the numerator of which is the Investor Interest as of the close of business on the last day of the Revolving Period and the denominator of which is the greater of (a) the aggregate amount of Principal Receivables in the Trust determined as of the close of business on the last day of the prior Monthly Period and (b) the sum of the numerators used to calculate the Investor Percentages (as such term is defined in the Agreement) for allocations with respect to Principal Receivables for all outstanding Series on such date of determination; provided, however, that with respect to any Monthly Period in which an Addition Date occurs or in which a Removal Date occurs on which, if any Series has been paid in full, Principal Receivables in an aggregate amount approximately equal to the initial investor interest of such Series are removed from the Trust, the denominator determined pursuant to clause (a) hereof shall be (i) the aggregate amount of Principal Receivables in the Trust as of the close of business on the last day of the prior Monthly Period for the period from and including the first day of such Monthly Period to but excluding the related Addition Date or Removal Date and (ii) the aggregate amount of Principal Receivables in the Trust as of the beginning of the day on the related Addition Date or Removal Date after adjusting for the aggregate amount of Principal Receivables added to or removed from the Trust on the related Addition Date or Removal Date, for the period from and including the related Addition Date or Removal Date to and including the last day of such Monthly Period.

  • Sustainable Investment means an investment in an economic activity that contributes to an environmental objective, as measured, for example, by key resource efficiency indicators on the use of energy, renewable energy, raw materials, water and land, on the production of waste, and greenhouse gas emissions, or on its impact on biodiversity and the circular economy, or an investment in an economic activity that contributes to a social objective, in particular an investment that contributes to tackling inequality or that fosters social cohesion, social integration and labour relations, or an investment in human capital or economically or socially disadvantaged communities, provided that such investments do not significantly harm any of those objectives and that the investee companies follow good governance practices, in particular with respect to sound management structures, employee relations, remuneration of staff and tax compliance;

  • PIPE Investment has the meaning specified in the Recitals hereto.

  • Investment Strategy is the processes and policies implemented by the Investment Manager for pursuing a particular investment objective managed by an Investment Team.

  • Nonpurpose Investment means any investment property, as defined in section 148(b) of the Code, in which Gross Proceeds of the Bonds are invested and which is not acquired to carry out the governmental purposes of the Bonds.

  • Contract Minimum Investment Requirement means, with respect to the Project, investment by the Company and any Sponsor Affiliates of at least $10,000,000 in Economic Development Property subject (non-exempt) to ad valorem taxation (in the absence of this Fee Agreement).