EEA Retail Investor means a person who is one (or more) of the following:
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and of the Council of 15 May 2014 on markets in financial instruments, as such term may be amended, restated or superseded from time to time.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 retail investor as defined in Article 4(6) of the PRIIPsRegulation who is located in a Member State of the European Economic Area.
Examples of EEA Retail Investor in a sentence
The Exchange has not considered the specific circumstances of any Member or EEA Retail Investor.
Members must provide a paper copy of the relevant Key Information Document to EEA Retail Investors for any PRIIPs Contracts that are being made available to the EEA Retail Investor if the relevant PRIIPs Contracts are being made available on a face-to-face basis, unless the EEA Retail Investor requests otherwise.
The Exchange has not considered the specific circumstances of any EEA Retail Investor or any other Person.
Members must have adequate systems, controls and policies to ensure compliance with the requirements of this Rule I.26 and the PRIIPs Regulation, and, at the request of the Exchange, be able to show evidence of any such systems, controls, policies and, subject to Applicable Law, evidence that those requirements have been met in relation to any single EEA Retail Investor that is a client of a Member.
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 IFEU.
More Definitions of EEA Retail Investor
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
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 Directive2014/65/EU (as amended, “MiFID II”), (B) a customer within the meaning of Directive (EU) 2016/97 (as amended or superseded), where that customer would not qualify as a professional client as defined in point (10) of Article 4(1) of MxXXX XX or (C) not a qualified investor as defined in Regulation (EU) 2017/1129 (as amended), and (ii) the expression “offer” includes the communication in any form and by any means of sufficient information on the terms of the offer and the Notes to be offered so as to enable an investor to decide to purchase or subscribe the Notes.
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. 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.
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, where that customer would not qualify as a professional client as defined in point (10) of Article 4(1) of MiFID II; or (C) not a qualified investor as defined in Article 2 of Regulation (EU) 2017/1129; and (ii) 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 so as to enable an investor to decide to purchase or subscribe for the Offered Certificates; (iii) the expression “European Economic Area” means Austria, Belgium, Bulgaria, Croatia, Cyprus, Czech Republic, Denmark, Estonia, Finland, France, Germany, Greece, Hungary, Iceland, Ireland, Italy, Latvia, Liechtenstein, Lithuania, Luxembourg, Malta, Netherlands, Norway, Poland, Portugal, Romania, Slovakia, Slovenia, Spain and Sweden.