EEA Retail Investor definition

EEA Retail Investor means any person or entity located in the European Economic Area that does not qualify as a “professional client” as defined in Directive 2014/65/EU of the European Parliament and of the Council of 15 May 2014 on markets in financial instruments, as such term may be amended, restated or superseded from time to time.

EEA Retail Investor means a person who is one (or more) of the following:

EEA Retail Investor means a person who is one (or more) of the following: (1) a retail client as defined in point (11) of Article 4(1) of Directive 2014/65/EU (as amended, “MiFID II”); or (2) a customer within the meaning of Directive (EU) 2016/97, where that customer would not qualify as a professional client as defined in point (10) of Article 4(1) of XxXXX XX; or (3) not a qualified investor as defined in Article 2 of Regulation (EU) 2017/1129; and

Examples of EEA Retail Investor in a sentence

• Consequently no key information document required by Regulation (EU) No. 1286/2014 (as amended, the “EU PRIIPs Regulation”) for offering or selling the Offered Certificates or otherwise making them available to EEA Retail Investors in the EEA has been prepared and therefore offering or selling the Offered Certificates or otherwise making them available to any EEA Retail Investor in the EEA may be unlawful under the EU PRIIPs Regulation.

• Any person making products to which this document relates available to an EEA Retail Investor is responsible for verifying whether this document is sufficient for their purposes or their clients’ purposes, for adding any further disclosures as may be required for their clients and for assessing the suitability and appropriateness for their clients of any products traded on IFUS.

• Consequently no key information document required by Regulation (EU) No 1286/2014 (as amended, the “EU PRIIPs Regulation”) for offering or selling the Offered Certificates or otherwise making them available to EEA Retail Investors in the EEA has been prepared and therefore offering or selling the Offered Certificates or otherwise making them available to any EEA Retail Investor in the EEA may be unlawful under the EEA PRIIPs Regulation.

• Consequently, no keyinformation document required by Regulation (EU) No 1286/2014 (as amended, the “PRIIPS Regulation”) for offering or selling the Notes or otherwise making them available to any EEA Retail Investors in the EEA has been prepared and therefore offering or selling the Notes or otherwise making them available to any EEA Retail Investor in the EEA may be unlawful under the PRIIPS Regulation.

• If the result of Step one isnegative then the seller has made a loss.Note: An EEA Retail Investor cannot make delivery of the underlying commodity.

More Definitions of EEA Retail Investor

EEA Retail Investor means a person who is one (or more) of the following: (A) a retail client as defined in point (11) of Article 4(1) of Directive 2014/65/EU (as amended, “MIFID II”); or (B) a customer within the meaning of Directive (EU) 2016/97 (as amended), where that customer would not qualify as a professional client as defined in point (10) of Article 4(1) of XXXXX XX; or (C) not a qualified investor as defined in Article 2 of Regulation (EU) 2017/1129 (as amended); and (2) the expression “offer” includes the communication in any form and by any means of sufficient information on the terms of the offer and the Publicly Offered Certificates so as to enable an investor to decide to purchase or subscribe for the Publicly Offered Certificates;

EEA Retail Investor means a person who is one (or more) of the following: (I) a retail client as defined in point (11) of Article 4(1) of Directive 2014/65/EU (as amended, “MiFID II”), or (II) a customer within the meaning of Directive (EU) 2016/97 (as amended), where that customer would not qualify as a professional client as defined in point (10) of Article 4(1) of XxXXX XX, or (III) not a qualified investor as defined in Article 2 of Regulation (EU) 2017/1129 (as amended), and the expression “offer” includes the communication in any form and by any means of sufficient information on the terms of the offer and the Offered Certificates to be offered as to enable an investor to decide to purchase or subscribe for the Offered Certificates. Consequently no key information document required by Regulation (EU) No. 1286/2014 (as amended, the “EU PRIIPs Regulation”) for offering or selling the Offered Certificates or otherwise making them available to EEA Retail Investors in the EEA has been prepared and therefore offering or selling the Offered Certificates or otherwise making them available to any EEA Retail Investor in the EEA may be unlawful under the EU PRIIPs Regulation.

EEA Retail Investor means a retail investor as defined in Article 4(6) of the PRIIPsRegulation who is located in a Member State of the European Economic Area.

EEA Retail Investor means a person who is one (or more) of: (A) a retail client as defined in point (11) of Article 4(1) of Directive 2014/65/EU, as amended (“MIFID II”); or (B) a customer within the meaning of Directive EU 2016/97/EU, where that customer would not qualify as a professional client as defined in point (10) of Article 4(1) of XXXXX XX; or (C) not a qualified investor as defined in Article 2 of Regulation (EU) 2017/1129; (2) the expression “offer” includes the communication in any form and by any means of sufficient information on the terms of the offer and the Publicly Offered Certificates so as to enable an investor to decide to purchase or subscribe to the Publicly Offered Certificates;

EEA Retail Investor means a retail investor as defined in Article 4(6) of the PRIIPs Regulation who is located in a Member State of the European Economic Area;"Key Information Document" or “KID”means the key information document drafted by the Exchange (including any non-English language translated version produced by the Exchange at its discretion) and published on its website (including any revised versions produced by the Exchange from time to time) for a PRIIPs Contract for purposes of facilitating compliance with the PRIIPs Regulation. The KIDs (and any revised versions) published by the Exchange can be found on the Exchange's website;"PRIIP"means a packaged retail and insurance-based investment product as defined in Article 4(3) of the PRIIPs Regulation;"PRIIPs Contract"means a Contract that is (or is determined by the Exchange from time to time as likely to be or to have a material risk of being) a PRIIP;"PRIIPs Regulation"means Regulation (EU) No 1286/2014 of the European Parliament and of the Council of 26 November 2014 on Key Information Documents for packaged retail and insurance-based investment products (PRIIPs), as amended from time to time, together with any regulatory technical standards adopted by the EuropeanCommission pursuant to the PRIIPs Regulation, as amended from time to time.”

EEA Retail Investor means a person who is (i) a retail client as defined in point (11) of Article 4(1) of MiFID II or (ii) a customer within the meaning of the Insurance Distribution Directive, where that customer would not qualify as a professional client as defined in point(10) of Article 4(1) of MiFID II;

EEA Retail Investor means a retail investor as defined in Article 4(6) of the PRIIPs Regulation