derivatives business in the category of derivatives brokerage limited to precious metal derivatives; (2) “precious metal trading firm” means any person engaging in business relating to buying or selling
monitored with professional investment advices. If investors encounter any solicitation to transfer money into an account of securities firm, whether or not it is the firm that investors have already opened
, the asset management firm must disclose the information to investors for investment decisions; as well as rectify such non-compliance within two months. Failure to do so may cause the asset management
information about investment of a fund. Clause 4 A person who may be appointed by an investment management company as a fund manager shall meet the following requirements: (1) not being a director, executive
Notification concerning financial advisor approval and scope of performance which specifies that financial advisor supervisor must be responsible and perform duties with prudence and care in compliance with laws
) Certificate of Juristic Person Registration or Incorporation Document of Audit Firm with which the Applicant is Affiliated and Shareholders’ List Original: 0 copy Photocopy: 1 copy Remark: Sign to certify on
. The methods which are consensus between the fund/trust manager and the fund supervisor/or the trustee;(2) Amending the rule on determining rents by abolishing the requirement on the ratio of fixed
Data > Intermediaries > Asset Management Businesses > Marketing Representative of Derivatives Fund Manager Market Data SHARE : Detail Content No. List of Licensees Approval Date 1 https