Principal Underwriters definition

Principal Underwriters means Equitable Advisors, LLC and Equitable Distributors, LLC.
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Principal Underwriters means Lead Underwriter and Joint Lead Underwriters “Programme” means the Renminbi Bonds Issuance Programme of Crédit Agricole S.A., under which the Issuer may, from time to time for a period of two years from the date of the PBOC Approval, issue Renminbi-denominated bonds in an aggregate principal amount of up to RMB10 billion “Regional Banks” means Caisses Régionales de Crédit Agricole Mutuel, as defined by the French Monetary and Financial Code “Regulated Entity” means any entity referred to in Section I of Article L.613-34 of the French Monetary and Financial Code as modified by the BRRD Implementation Decree Laws, which includes certain credit institutions, investment firms, and certain of their parent or holding companies established in France “Regulation S” means Regulation S under the U.S. Securities Act, as amended from time to time “Relevant Regulator” means the ECB and any successor or replacement thereto, or other authority having primary responsibility for the prudential oversight and supervision of the Issuer “Relevant Resolution Authority” means the ACPR, the Single Resolution Board established pursuant to the SRM and/or any other authority entitled to exercise or participate in the exercise of the Statutory Loss Absorption Powers from time to time (including the Council of the European Union and the European Commission when acting pursuant to Article 18 of the SRM) “Senior Non- Preferred Obligations” means any obligations or other instruments issued by the Issuer which fall or are expressed to fall within the category of obligations described in Articles L.613-30-3-I-4 and R.613-28 of the French Monetary and Financial Code
Sample 1
Principal Underwriters means Bank of China Limited, China Securities Co., Ltd. andStandard Chartered Bank (China) Limited.
Sample 1

Examples of Principal Underwriters in a sentence

  • In connection with the Principal Underwriter's acceptance of employment hereunder, the Principal Underwriter hereby agrees and covenants for itself and on behalf of its Affiliates that neither the Principal Underwriter nor any of its Affiliates shall replace or seek to replace any Essential Person or cause to be replaced any Essential Person, in each case without first consulting with the Board of Trustees of the Fund in a timely manner.

  • Such records shall also be available upon reasonable prior notice, during normal business hours for inspection by any governmental agency or self-regulatory organization that has regulatory authority over Principal Underwriter's business activities.

  • The Parties agree and acknowledge that the Principal Underwriters will continue to perform the principal underwriter function for the Novated Contracts.

  • In connection with the Principal Underwriter's employment hereunder, the Principal Underwriter hereby agrees to distribute the Shares through brokers, dealers and other agents of Dean Xxxxxx Xxxtributors, Inc.

  • The Trust will pay to the Principal Underwriter, as the Funds' Distribution Coordinator, an annual fee for the Principal Underwriter's services in such capacity including its expenses in connection with the promotion and distribution of each Fund's or Class's shares (the "Distribution Expenses").

  • The Trust will pay the Trust's principal underwriter ("Principal Underwriter") an annual fee for the Principal Underwriter's services in connection with the sales and promotion of the Class A Shares of the Series, including its expenses in connection therewith.

  • To efficiently support these diverse appli- cations, heterogeneous clusters are being widely adopted in data centers, to gain advantages in performance and energy consumption.

  • The Companies' and the Advisers' and Principal Underwriters' codes of ethics under Rule 17j-1 under the Investment Company Act and the Advisers' more detailed policies and procedures set forth in its Compliance and Supervisory Procedures Manual are separate requirements applying to Covered Officers and others, and are not part of this Code.

  • The Trustees shall have full power to provide for the issuance and the distribution of Shares by the Trust directly or through one or more Principal Underwriters, or both, or otherwise, including pursuant to one or more distribution plans of any kind.

  • The Trust will pay the Trust's Principal Underwriter an annual fee for the Principal Underwriter's services in connection with the sales and promotion of the Class C Shares of the Series, including its expenses in connection therewith.


More Definitions of Principal Underwriters

Principal Underwriters means the Lead Underwriter and the Joint Lead Underwriters collectively. “RMB” means Renminbi Yuan, if not specifically indicated. “SGX-ST” means Singapore Exchange Securities Trading Limited. “Shanghai Clearing House” means Inter-bank Market Clearing House Co., Ltd. “SIBs” means banks incorporated in Singapore. “S$” means Singapore dollars, the official currency of Singapore. “Underwriter(s)” means one or a number of or all of the institutions responsible for underwriting the Bonds (as the context requires). “Underwriting Agreement” means the underwriting agreement relating to the United Overseas Bank Limited 2024 Renminbi Bonds (Series 1) to be entered into between the Issuer and the Principal Underwriters and any supplemental agreement as may be entered into from time to time. “Underwriting Syndicate” means the syndicate organised by the Principal Underwriters for underwriting the Bonds and comprises the Principal Underwriters and other members of the Underwriting Syndicate. “U.S.$” or “USD” means U.S. dollars, the official currency of the United States of America.
Sample 1

Related to Principal Underwriters

  • Principal Underwriter shall have the meanings given them in the 1940 Act.

  • financial undertaking means any of the following entities:

  • IPO Underwriter means each Person named as an underwriter in Schedule I to the IPO Underwriting Agreement who purchases Common Units pursuant thereto.

  • Investment Company means an investment company as defined in the Investment Company Act.

  • Principal use means the use other than one which is wholly incidental or accessory to another use on the same premises.

  • Company Underwriter has the meaning set forth in Section 4(a).

  • Promoter means a person—

  • Credit Underwriter means the independent contractor under contract with the Corporation having the responsibility for providing Credit Underwriting services.

  • affiliated person promoter" and "principal underwriter" as used in the preceding sentence shall have the meanings assigned to each such term in the Investment Company Act of 1940, as amended.

  • Marketed Underwritten Offering means any Underwritten Offering (including a Marketed Underwritten Shelf Take-Down, but, for the avoidance of doubt, not including any Shelf Take-Down that is not a Marketed Underwritten Shelf Take-Down) that involves a customary “road show” (including an “electronic road show”) or other substantial marketing effort by the Company and the underwriters over a period of at least 48 hours.

  • Underwriter means a securities dealer who purchases any Registrable Securities as principal in an Underwritten Offering and not as part of such dealer’s market-making activities.

  • Approved Underwriter has the meaning set forth in Section 3(f) of this Agreement.

  • Shelf Underwritten Offering shall have the meaning given in subsection 2.1.3.

  • Qualified Independent Underwriter means a “qualified independent underwriter” within the meaning of FINRA Rule 5121.

  • Marketed Underwritten Shelf Take-Down has the meaning set forth in Section 2.02(e)(iii).

  • Registered Investment Company means any one or more corporations, partnerships or trusts registered under the Investment Company Act of 1940 for which Fidelity Management and Research Company serves as investment advisor.

  • Underwritten Offering means a Registration in which securities of the Company are sold to an Underwriter in a firm commitment underwriting for distribution to the public.

  • Piggyback Registration shall have the meaning given in subsection 2.2.1.

  • Underwritten Takedown means an underwritten public offering of Registrable Securities pursuant to the Resale Shelf Registration Statement, as amended or supplemented.

  • Piggy-Back Registration is defined in Section 2.2.1.

  • Underwritten Demand shall have the meaning given in subsection 2.1.3 of this Agreement.

  • Underwritten Shelf Takedown shall have the meaning given in subsection 2.3.3.

  • Investment Company Act Event means that the Company shall have received an Opinion of Counsel to the effect that, as a result of the occurrence of a change in law or regulation or a written change in interpretation or application of law or regulation by any legislative body, court, governmental agency or regulatory authority, there is more than an insubstantial risk that the Securities Trust is or will be considered an "investment company" that is required to be registered under the Investment Company Act of 1940, as amended, which change becomes effective on or after the Original Issue Date.

  • Participating Underwriter means any of the original underwriters of the Bonds required to comply with the Rule in connection with offering of the Bonds.

  • Rule 415 Offering means an offering on a delayed or continuous basis pursuant to Rule 415 (or any successor rule to similar effect) promulgated under the Securities Act.

  • voluntary organisation means a body, other than a public or local authority, the activities of which are carried on otherwise than for profit;