Wholesale Investor definition

Wholesale Investor means a person or entity that:
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Wholesale Investor has the meaning given to that term in clause 35(a).
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Wholesale Investor has the meaning given to that term in the FMCA.
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Examples of Wholesale Investor in a sentence

  • Unless you are a Wholesale Investor your Approved Adviser Group, your Adviser and other financial services organisations should not receive a fee calculated on the Loan Amount.

  • For example, if you are a Wholesale Investor and UBS has agreed to pay your Approved Adviser Group an upfront fee of 3.3% of the Loan Amount, and assuming the Loan Amount for the Series is $6.00, the upfront fee payable to your Approved Adviser Group will be $0.1980.

  • If you are a Wholesale Investor and you provide a valid Wholesale Client Accountant Certificate to UBS or otherwise confirm to UBS' satisfaction your status as a Wholesale Investor, then UBS may pay your Approved Adviser Group and other financial services organisations an upfront fee and/or trail payments for future Interest Periods.

  • In order to participate in the Offer you must be a Wholesale Investor.

  • By receiving and viewing this IM the recipients are warranting that they are legally entitled to do so, the securities laws of their relevant jurisdiction do not prohibit them from acquiring interests in the Fund, and they are a Wholesale Investor as defined in the Corporations Act.

  • The offer to which this IM relates is only available to Wholesale Clients (as defined in the Glossary) receiving this IM (electronically or otherwise) in Australia and Wholesale Investors (as defined in the Glossary) receiving this IM (electronically or otherwise) in New Zealand who have completed a Wholesale Investor Certificate attached to the Application Form.

  • Application checklist Your application will not be processed without the following: Application form Identification requirements (Part 11) Wholesale Investor Declaration Application funding (EFT or cheque) Return the documentation listed above to: Argonaut Funds Management GPO Box 2553 PERTH WA 6001 How to complete this form Write in BLOCK letters, using a black pen.

  • The offer is not to be treated as an offer to, and is not capable of acceptance by, any person in New Zealand who is not a Wholesale Investor.

  • To be eligible to become a Member as an individual or joint applicant, you must have the capacity to make the investment and qualify in our assessment as a Wholesale Investor.

  • Individuals, companies, trusts and self-managed superannuation funds (SMSF), and any other form of legal entity operating in Australia can invest, but you need to be a Wholesale Investor (see section 3.2).


More Definitions of Wholesale Investor

Wholesale Investor means investor who buys or sells investment unit of mutual fund from the mutual fund management company with the amount or value as specified in the scheme which shall not be less than ten million Baht.
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Wholesale Investor means Wholesale Investor as defined by Schedule 1 Part 1 Section 3(2) to Section 3(3) of the FMC Act; “We”, “Us”, “Our” means Blackwell Global Investments Limited (hereinafter the “Company”).
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Wholesale Investor means a sophisticated investor within the meaning of section 708(8) of the Corporations Act or an experienced investor meeting the criteria in section 708(10) of the Corporations Act or a “professional investor” within the meaning of section 708(11) of the Corporations Act.
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Wholesale Investor has the meaning given to that term in the FMCA. 7. New Zealand based clients agree that this Agreement is governed by and construed in accordance with the Laws of New Zealand. 8. In these World Account Terms and Conditions, the following defined terms shall have the following meanings:
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Wholesale Investor is as defined in the Financial Markets Conduct Act 2013 as it may vary from time to time;
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Related to Wholesale Investor

  • retail investor means an investor who is not a professional investor;

  • Portfolio Securities or "investments" of the Series shall mean, respectively, such assets, net assets, securities, portfolio securities or investments which are from time to time under the management of the Subadviser pursuant to this Agreement.

  • Preliminary Offering Memorandum means the preliminary offering memorandum consisting of the Red Xxxxxxx Prospectus and the preliminary international wrap to be used for offer and sale to persons/entities that are resident outside India;

  • Exempt commercial purchaser means any person purchasing commercial insurance that, at the time of placement, meets the following requirements:

  • Qualified Initial Public Offering means a public offering of the securities of Parent pursuant to an effective registration statement filed under the Securities Act, that is fully underwritten pursuant to a firm commitment contract and with respect to which the product of (a) the price to the public per share multiplied by (b) the aggregate number of offered shares will yield Net Offering Proceeds of at least $50,000,000.

  • PIPE Investors means those certain investors participating in the PIPE Investment pursuant to the Subscription Agreements.

  • Additional Purchased Securities Securities provided by Seller to Buyer pursuant to Paragraph 4(a) hereof;

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

  • Initial Public Offering” (“IPO means an offering of securities registered under the 1933 Act, the issuer of which, immediately before the registration, was not subject to the reporting requirements of Sections 13 or 15(d) of the 1934 Act.

  • Approved Investor means any institution which has made a Takeout Commitment and has been approved by Buyer and not subsequently disapproved by Buyer.

  • Final Offering Memorandum shall be deemed to mean and include all information filed under the Securities Exchange Act of 1934 (as amended, the “Exchange Act,” which term, as used herein, includes the rules and regulations of the Commission promulgated thereunder) prior to the Time of Sale and incorporated by reference in the Pricing Disclosure Package (including the Preliminary Offering Memorandum) or the Final Offering Memorandum (as the case may be), and all references herein to the terms “amend,” “amendment” or “supplement” with respect to the Final Offering Memorandum shall be deemed to mean and include all information filed under the Exchange Act after the Time of Sale and incorporated by reference in the Final Offering Memorandum. The Company hereby confirms its agreements with the Initial Purchasers as follows:

  • Underwritten Public Offering means an underwritten Public Offering, including any bought deal or block sale to a financial institution conducted as an underwritten Public Offering.

  • Wholesale dealer means any dealer who deals in, or who holds a licence under any law to deal in, as the case may be, wholesale quantities of goods, and the business and stock of a wholesale dealer shall be deemed to include the business and stocks of any retail dealer who conducts business on the same premises on which the wholesale dealer conducts his or her business; and

  • Equity Offering means any public or private sale of common stock or Preferred Stock of the Company or any of its direct or indirect parent companies (excluding Disqualified Stock), other than:

  • NIM Securities As defined in the tenth Recital to this Agreement.

  • Qualified Public Offering means the sale by the Company, in an ------------------------- underwritten public offering registered under the 1933 Act, of shares of the Company's Common Stock having an aggregate offering value of at least $10 million and where the per share price to the public multiplied by the number of shares of Common Stock issued under the Purchase Agreement and this and the other Executive Stock Agreements (adjusted for stock splits and other recapitalizations) is at least $30,000,000.

  • Purchased Securities has the meaning assigned in the Terms;

  • managing dealer means a person that has entered into an agreement with an issuer under which the person has agreed to organize and participate in the solicitation of the exercise of the rights issued by the issuer;

  • Offering Memorandum means the Offering Memorandum, dated May 7, 2019, related to the issuance and sale of the Initial Notes.

  • Eligible Investor Either (i) a Qualified Institutional Buyer that is purchasing for its own account or for the account of a Qualified Institutional Buyer to whom notice is given that the offer, sale or transfer is being made in reliance on Rule 144A or (ii) an Institutional Accredited Investor.

  • Related Securities means any options or warrants or other rights to acquire Shares or any securities exchangeable or exercisable for or convertible into Shares, or to acquire other securities or rights ultimately exchangeable or exercisable for or convertible into Shares.

  • Lead Investor means Cavalry Fund I LP.

  • Disclosure Package means (i) the Base Prospectus, (ii) the Preliminary Prospectus used most recently prior to the Execution Time, (iii) the Issuer Free Writing Prospectuses, if any, identified in Schedule III hereto, and (iv) any other Free Writing Prospectus that the parties hereto shall hereafter expressly agree in writing to treat as part of the Disclosure Package.

  • Approved Securities means securities of any State Government or of the Central Government and such bonds, both the principal whereof and the interest whereon shall have been fully and unconditionally guaranteed by any such Government;

  • Underwriters' Securities means the Offered Securities other than Contract Securities.

  • Original Purchaser means the original purchaser of the Bonds designated by the Fiscal Officer in the Certificate of Award.