Control or direction definition

Control or direction generally means that you have by contract, operation of law or other express or implied arrangement, the power to make voting or investment decisions, alone or with others, in respect of securities. For example, if you have discretionary authority over your spouse’s brokerage account, you exercise control or direction over securities in that account.
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Examples of Control or direction in a sentence

  • Application to Direct and Indirect Offers [See § 1.10 Can TO Reg]In this Common Code, a reference to an Offer to Acquire or to the acquisition or ownership of securities or to Control or direction over securities includes a direct or indirect Offer to Acquire or the direct or indirect acquisition or ownership of securities, or the direct or indirect Control or direction over securities, as the case may be.

  • In the Code, a reference to an Offer to Acquire or to the acquisition or ownership of securities or to Control or direction over securities includes a direct or indirect Offer to Acquire or the direct or indirect acquisition or ownership of securities, or the direct or indirect Control or direction over securities, as the case may be.

  • Control or direction" generally means that you have by contract, operation of law or other express or implied arrangement, the power to make voting or investment decisions, alone or with others, in respect of securities.

  • Control or direction through Rosseau Limited Partnership and G10 Rosseau Special Situations Master Fund.

  • Control or direction" generally means that you have by contract, operation of law or other express or implied arrangement, t he power to make voting or investment decisions, alone or with others, in respect of securities.

  • Indicate the nature of ownership, control or direction in respect of the class of securities held using the following codes: Direct ownershipIndirect ownership (identify the registered holder) Control or direction (identify the registered holder) 012 F.

  • Subsection 1(1) of the Securities Act (Ontario) defines an “issuer” to mean “a person or company who has outstanding, issues or proposes to issue, a security.” 4.4. Control or direction4.4.1. Control or direction exercised outside of the employee’s or Approved Person’s required role or functionThe proposed “Dealer Related Person account” definition would include accounts controlled or directed by an employee or Approved Person that can access confidential information.

  • Limitation Control or direction of police forceany information regardless of its form or characteristics.R.S., 1985, c.

  • Ownership of Securities of Offeree IssuerState the number, designation and percentage of the outstanding securities of any Class of Equity Securities of the Offeree Issuer beneficially owned or over which Control or direction is exercised: a) by the director or officer, andb) if known after reasonable enquiry, by the Associates of the director or officer.

  • Ontario) defines an “issuer” to mean “a person or company who has outstanding, issues or proposes to issue, a security.” 4.4. Control or direction‌4.4.1. Control or direction exercised outside of the employee’s or Approved Person’s required role or function‌The proposed “Dealer Related Person account” definition would include accounts controlled or directed by an employee or Approved Person that can access confidential information.

Related to Control or direction

  • UCITS Directive means Directive 2009/65/EC of the European Parliament and of the Council of 13 July 2009 on the coordination of laws, regulations and administrative provisions relating to undertakings for collective investment in transferable securities, as amended;

  • Control means the possession, directly or indirectly, of the power to direct or cause the direction of the management or policies of a Person, whether through the ability to exercise voting power, by contract or otherwise. “Controlling” and “Controlled” have meanings correlative thereto.

  • CRD Directive means the Directive (2013/36/EU) of the European Parliament and of the Council on prudential requirements for credit institutions and investment firms dated 26 June 2013 and published in the Official Journal of the European Union on 27 June 2013 (or, as the case may be, any provision of Danish law transposing or implementing such Directive), as amended or replaced from time to time (including, for the avoidance of doubt, the amendments to such Directive resulting from Directive (EU) 2019/878 of the European Parliament and of the Council as regards exempted entities, financial holding companies, mixed financial holding companies, remuneration, supervisory measures and powers and capital conservation measures dated 20 May 2019 and published in the Official Journal of the European Union on 7 June 2019);

  • Animal control officer means any person employed by a city, county, or city and county for the purpose of enforcing animal control laws or regulations.

  • Change in Ownership means change of ownership of the Bidder/Member in a Bidding Consortium by way of merger/ acquisition/ amalgamation/ reorganisation/ consolidation/ demerger;

  • direct “notify” “notice” or “request” means apply approve approval consent direct notify notice or request (as the case may be) in writing;

  • Maintain Viable Presence means (i) the operation during the term of this Agreement of the facility or facilities for which the tax limitation is granted; and (ii) the Applicant’s maintenance of jobs and wages as required by the Act and as set forth in its Application.

  • Indirect Political Event shall have the meaning set forth in Clause 21.3;