approval to act as a mutual fund manager. In this regard, such person may perform duties as a mutual fund manager and a private fund manager in the same management company if such management company is also
bonds, in this regard such securities company shall: (a) Provide information on risks and description of bond with one or more of the following methods; (1) Arrange to have staff at the premise of the
a selling or redemption agent of such bonds, in this regard such securities company shall: (a) Provide information on risks and description of bond with one or more of the following methods; (1
customer as well as maintain it up-to-date. In this regard, the list of derivatives trading account shall contain at least the materials specified in the notification of the SEC Office. Clause 25. Derivative
written from the owner of the account. Clause 24. Derivatives broker shall prepare the account of derivatives trading for each customer as well as maintain it up-to-date. In this regard, the list of
different renewal period allowed, such person shall submit a renewal application within the later period. In this regard, the approval period for investor contact or derivatives investor contact, as the case
derivatives investor contact but different renewal period allowed, such person shall submit a renewal application within the later period. In this regard, the approval period for investor contact or derivatives