Participating Dealer definition

Participating Dealer means any licensed broker or dealer and who has entered into a Participation Agreement in form and substance acceptable to the Manager and the Trustee.

Participating Dealer means a licensed broker or dealer who is (or who has appointed an agent or delegate who is) a person admitted for the time being by HKSCC as a participant of CCASS and who has entered into a Participation Agreement in form and substance acceptable to the Company, the Manager and the Custodian, and any reference in this Prospectus to “Participating Dealer” shall include a reference to any agent or delegate so appointed by the Participating Dealer.

Participating Dealer means a dealer other than the principal distributor that distributes securities of a mutual fund;

Examples of Participating Dealer in a sentence

• Participating Dealer agrees to comply with the record keeping requirements of the Exchange Act, including but not limited to, Rules 17a-3 and 17a-4 promulgated under the Exchange Act.

• The Dealer Manager agrees, and each Participating Dealer shall have agreed, to comply and shall comply with any applicable requirements with respect to its and each Participating Dealer’s participation in any resales or transfers of the Offered Shares.

• Such due diligence expenses may include travel, lodging, meals and other reasonable out-of-pocket expenses incurred by the Dealer Manager or any Participating Dealer and their personnel when visiting the Company’s offices or properties to verify information relating to the Company or its properties.

• Any purported assignment or delegation by Participating Dealer shall be null and void.

• Participating Dealer shall have no right to assign this Agreement or any of Participating Dealer’s rights hereunder or to delegate any of Participating Dealer’s obligations.

More Definitions of Participating Dealer

Participating Dealer means a broker or dealer who is (or who has appointed an agent or delegate who is) a Participant and who has entered into a Participation Agreement in form and substance acceptable to the Manager and Trustee, and any reference in this Prospectus to “Participating Dealer” shall include a reference to any agent or delegate so appointed by the Participating Dealer.

Participating Dealer means any eligible dealer who has entered into a Participation Agreement.

Participating Dealer means any participant who is a broker or dealer or such other person as may be approved by the Manager and the Trustee and who has entered into a Participant Agreement in form and substance acceptable to the Manager and the Trustee;

Participating Dealer means a broker or dealer (licensed for Type 1 regulated activity under the Securities and Futures Ordinance) which has entered into a Participation Agreement, and any reference in this Prospectus to “Participating Dealer” shall, where the context requires, include a reference to any PD agent so appointed by the Participating Dealer.

Participating Dealer means any participant of CCASS who has entered into a Participation Agreement.

Participating Dealer means, in respect of each Sub-Fund, a broker or dealer (licensed for Type 1 regulated activity under the Securities and Futures Ordinance) which has entered into a Participation Agreement.

Participating Dealer means Citigroup Global Markets Singapore Securities Pte Ltd, CIMB Securities (Singapore) Pte. Ltd., Goldman Sachs Futures Pte Ltd, DBS Vickers Securities (Singapore) Pte Ltd, Flow Traders Asia Pte Ltd, Commerzbank AG, or any broker or dealer which has entered into a Participation Agreement in form and substance acceptable to the Manager and the Trustee.