place; and (2) in cases where the person appointed as a fund manager is an employee of the investment management company, holding a position having either of the following characteristics: (a) a position
. Tor Thor. 80/2552 Re: Criteria for Undertaking Derivatives Business for Licensed Derivatives Brokers dated 3 August 2009, the SEC Office hereby issues the following regulations: Clause 1 In this
Supervisory Board hereby issues the following regulations: Clause 1. Provision in (3) of Clause 1 of the Notification of the Capital Market Supervisory Board No. TorThor. 70/2552 Re: Rules, Conditions and
any other benefits are appropriate and fair, following the Office’s guideline which will be notified in advance. Clause 7. In case the advertisement contains a statement that is partially copied or
following rules: (1) The advertisement which presents return or past performance of the fund shall be made in print or electronic media. The presentation of such information shall not be more prominent than
accordance with the following rules; (1) prepare and complete the daily report of net liquid capital calculation by the following business day. Every report shall be signed by authorized person; (2) file the
liquid capital in Form Bor.Lor. 4/1 as attached to this notification. Clause 4. A securities company shall prepare the report of net liquid capital calculation in accordance with the following rules; (1