Investment Banking Activities definition

Investment Banking Activities means, but is not limited to, the rendering of advice or recommendations or the rendering of a written opinion, any disclosure requirements of, the underwriting, syndicating or promotion of any securities or partnership interest in connection with any actual, alleged or threatened event listed in the following:
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Investment Banking Activities means (a) advisory services for mergers, acquisitions and debt restructuring activities; (b) equity and debt structuring, placement and/or underwriting under different regulatory structures, including those registered with the SEC, under Rule 144A or Regulation S; (c) debt and loan structuring services and services related to syndication efforts; and (d) any other activities that may be developed by an Investing Person, as permitted under an IB Agreement.
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Investment Banking Activities means, but is not limited to, the rendering of advice or recommendations or the rendering of a written opinion, any disclosure requirements of, the underwriting, syndicating or promotion of any securities or partnership interest in connection with any actual, alleged or threatened event listed in the following:a) merger, acquisition, divestiture, or tender offer;b) proxy contest;c) leveraged buy-out;d) going private transaction;e) reorganization (voluntary or involuntary);f) capital restructuring;g) recapitalization;h) spin-offs;i) primary or secondary offerings of securities (regardless of whether the offering is a public offering or private placement);j) dissolution or sale of all or substantially all of the assets or stock of a business entity;k) effort to raise or furnish capital or financing for any enterprise or entity;l) any acquisition or sale of securities by the Broker/Dealer for its own account, orm) any activity by an Insured as a specialist or market maker (including the failure to make a market) for any securities. Subject otherwise to the terms, exclusions and conditions of this policy. (下列新增之用詞定義僅適用於本附加條款：投資銀行活動指包含但不限於與下列實際上或被指控之事件相關之建議或書面意見的提供、任何依規定所為資訊公開之義務，或與有價證券或合夥權益之承銷、聯合承銷或推介有關：(一) 合併、收購、撤資、或公開收購。(二) 徵求委託書。(三) 融資收購。(四) 私有化交易(going private transaction)。(五) 自願或非自願的重整。(六) 資本結構重組。(七) 再資本化或轉增資(recapitalization)。(八) 資產分割。(九) 證券之初次發行或再次發行(無論為公開或私募)。(十) 解散或出售該事業之全部或主要部分資產或股票。 (十一)集資、融資或提供資金予其他事業或團體。(十二)以自己名義透過經紀商或自營商取得或出售證券。(十三) 任何被保險人以證券專家或造市者(market maker)(包含市場製造不能(fail to make a market)之情形)身分所為之行為。 ) *本保險單為英文保單，中文節譯僅供參考，應以英文條款內容為準。 不保事項: 依主保險契約之約定 銷售予金融消費者之保險商品預定附加費用率: 7.6%~46.6% 短期費率表: 依主保險契約之約定 保費退費係數表: 依主保險契約之約定 理賠申請文件及程序: 請參照本公司網站「理賠服務」專欄Protection for You & Your Business- Government Exclusion - [Country] 保險商品之文號及日期:97.01.21(97)邦保精字第 0061 號函備查98.11.23(98)美亞保精字第 0001 號函備查102.03.04(102)美亞保精字第 0030 號函備查105.09.01 依金融監督管理委員會 105.08.08 金管保產字第 10502087940 號函修正 承保範圍: 依主保險契約之約定 不保事項:It is hereby understood and agreed that the following [Country] Government Exclusion shall be added to Section G “Exclusions” of this policy: [Country] Governmentarising out of, based upon or attributable to any Claim which is brought by or on behalf of the [Country] Government or any representative or authority or institution thereof. (茲經雙方明瞭並同意，主保險單條款 G「除外不保事項」應增訂下列約定：【XXX 國】政府由【XXX 國】政府、主管機關或機構，或前述的代表人所提起或代為提起之賠償請求所產生或以其為基礎或原因者。) *本保險單為英文保單，中文節譯僅供參考，應以英文條款內容為準。銷售予金融消費者之保險商品預定附加費用率: 7.6%~46.6%短期費率表: 依主保險契約之約定保費退費係數表: 依主保險契約之約定 理賠申請文件及程序: 請參照本公司網站「理賠服務」專欄Protection...
Sample 1

Examples of Investment Banking Activities in a sentence

  • Investment Banking Activities, is deleted in its entirety and replaced as follows: S.

  • Therefore, for Boilers No. 1, No. 2, and No. 3, the Agency will only require initial notification.

  • White, ‘Before the Glass-Steagall Act: An Analysis of the Investment Banking Activities of National Banks’ (1986) 23 Explorations in Economic History 33, 41.

  • The reception gave a rather constant income while the School health care sector grew at a stable pace.

  • Investment Banking Activities, is deleted in its entirety and replaced as follows: R.

  • They furthermore noted that they had suffered non-pecuniary damage due to the mental suffering that they had experienced and continued to experience owing to the lack of legal recognition and protection of their relationships.

  • Specific surviving conditions will include, but not limited to: (I) payment of the monthly retainer and expenses incurred through termination, (ii) grant and survival of the Advisory Warrant pursuant to 2(b), (iii) payment of Success Fees earned under section 2(d) during the Term and for Transactions considered during the Term and completed within 18 months of the termination of this agreement, (iv) Section 3, Future Investment Banking Activities and (v) Section 5, Indemnity.

  • YAC Failed to Supervise Marquez and His Investment Banking Activities One of the primary principles of the securities industry is a broker/dealer’s obligation and responsibility to supervise the sales practice activities of its associated persons.

  • Due to the crossover design, demographic and baseline data will be presented by lens care sequence group and overall.

  • An Analysis of the Investment Banking Activities of National Banks,” Explorations in Economic History, 23 (1986), 33-55; George J.


More Definitions of Investment Banking Activities

Investment Banking Activities means, but is not limited to, the rendering of advice or recommendations or the rendering of a written opinion, any disclosure requirements of, the underwriting, syndicating or promotion of any securities or partnership interest in connection with any actual, alleged or threatened event listed in the following:n) merger, acquisition, divestiture, or tender offer;o) proxy contest;p) leveraged buy-out;q) going private transaction;r) reorganization (voluntary or involuntary);s) capital restructuring;t) recapitalization;u) spin-offs;
Sample 1

Related to Investment Banking Activities

  • Investment Bank means each of those reputable internationally recognised investment banks, selected from time to time as First Choice Investment Banks or as a Third Investment Bank in terms of Section 1.4 or Section 1.5 of the Subscription Agreement (as the case may be), whose Mandate Letters remain effective.

  • Barclays Capital is a reference to Barclays Capital, the investment banking division of Barclays Bank PLC;

  • Independent Investment Bank means one of the Reference Treasury Dealers that the Issuer appoints to act as the Independent Investment Bank from time to time.

  • collective investment undertaking or ‘CIU’ means a UCITS as defined in Article 1(2) of Directive 2009/65/EC of the European Parliament and of the Council (2) or an alternative investment fund (AIF) as defined in point (a) of Article 4(1) of Directive 2011/61/EU of the European Parliament and of the Council (3);‌

  • International banking institution means an international financial institution of which the United States is a member and whose securities are exempt from registration under the Securities Act of 1933.

  • investment services and activities means any of the services and activities listed in Section A of Annex I relating to any of the instruments listed in Section C of Annex I;

  • banking business means the business of accepting deposits withdrawable or repayable on demand or after a fixed period or after notice and the employment of those deposits, in whole or in part, by lending or any other means for the account and at the risk of the person accepting the deposits;

  • Treasury Management Bank means (a) any Person that is a Lender or an Affiliate of a Lender at the time that it becomes a party to a Treasury Management Agreement with any Loan Party and (b) any Lender or Affiliate of a Lender that is a party to a Treasury Management Agreement with any Loan Party in existence on the Closing Date.

  • Advisory Group means the environmental flows

  • Investment Advisory Services means (a) advice with respect to the desirability of investing in, purchasing or selling securities or other property, including the power to determine what securities or other property shall be purchased or sold, but not including furnishing only statistical and other factual information (such as economic factors and trends); and (b) the provision of financial, economic or investment management services, but only if ancillary and related to the advice referred to in clause (a) above.

  • Additional Financial Centre(s means the city or cities specified as such in the relevant Final Terms;

  • Asset Management Company/UTI AMC/AMC/Investment Manager means the UTI Asset Management Company Limited incorporated under the Companies Act, 1956, (1 of 1956) [replaced by The Companies Act, 2013 (No.18 of 2013)] and approved as such by Securities and Exchange Board of India (SEBI) under sub-regulation (2) of Regulation 21 to act as the Investment Manager to the schemes of UTI Mutual Fund.

  • Canadian Investment Manager designation means the designation earned through the Canadian investment manager program prepared and administered by CSI Global Education Inc. and so named on the day this Instrument comes into force, and every program that preceded that program, or succeeded that program, that does not have a significantly reduced scope and content when compared to the scope and content of the first-mentioned program;

  • Sales finance company means that term as defined in section 2 of the motor vehicle sales finance act, MCL 492.102.

  • Asset Management Company/UTI AMC/AMC/Investment Manager means the UTI Asset Management Company Limited incorporated under the Companies Act, 1956, (1 of 1956) replaced by The Companies Act, 2013 (No. 18 of 2013) and approved as such by Securities and Exchange Board of India (SEBI) under sub-regulation (2) of Regulation 21 to act as the Investment Manager to the schemes of UTI Mutual Fund;

  • Special Purpose Investment Personnel means each SEI Access Person who, in connection with his or her regular functions (including, where appropriate, attendance at Board meetings and other meetings at which the official business of a Trust or any Fund thereof is discussed or carried on), obtains contemporaneous information regarding the purchase or sale of a Security by a Fund. Special Purpose Investment Personnel shall occupy this status only with respect to those Securities as to which he or she obtains such contemporaneous information.

  • Investment Advisor means, in relation to a Portfolio, the investment manager or investment advisor of the Portfolio.

  • Federal banking agencies means the Board of Governors of the Federal Reserve System, the Comptroller of the Currency, the Director of the Office of Thrift Supervision, the National Credit Union Administration, and the Federal Deposit Insurance Corporation.

  • Investment Management Services means any services which involve: (i) the management of an investment account or Fund (or portions thereof or a group of investment accounts or Funds); (ii) the giving of advice with respect to the investment and/or reinvestment of assets or funds (or any group of assets or funds); or (iii) otherwise acting as an “investment adviser” within the meaning of the Investment Advisers Act of 1940, as amended, including, without limitation, in each of the foregoing cases, performing activities related or incidental thereto.

  • Desjardins Investments means Desjardins Investments Inc. “DFSF” means Desjardins Financial Services Firm Inc. “DSFI” means Desjardins Financial Security Investments Inc. “DSI” means Desjardins Securities Inc.

  • Mobile Banking Service means the EB Services which we enable you to access via the Mobile Banking App or a web browser designed for use on a Mobile Device; and

  • banking group means the New Zealand business of the registered bank and its subsidiaries as required to be reported in group financial statements for the group’s New Zealand business under section 461B(2) of the Financial Markets Conduct Act 2013.

  • Investment Management Agreement means the Investment Management Agreement made

  • Banking Services means each and any of the following bank services provided to the Borrower or any Subsidiary by any Lender or any of its Affiliates: (a) credit cards for commercial customers (including, without limitation, commercial credit cards and purchasing cards), (b) stored value cards and (c) treasury management services (including, without limitation, controlled disbursement, automated clearinghouse transactions, return items, overdrafts and interstate depository network services).

  • Family of Investment Companies as used herein means two or more registered investment companies (or series thereof) that have the same investment adviser or investment advisers that are affiliated (by virtue of being majority owned subsidiaries of the same parent or because one investment adviser is a majority owned subsidiary of the other).

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