) “prospectus” means a prospectus which is identical to a draft prospectus filed with the SEC Office; (12) “market maker” means a person appointed by a mutual fund management company to perform duty in managing
identical to a draft prospectus filed with the SEC Office; (12) “market maker” means a person appointed by a mutual fund management company to perform duty in managing the trading price of investment unit of
mutual fund management company to perform duty in managing the trading price of investment unit of an ETF fund in an organized market to proximately reflect the value of such investment unit which is
, investment or capital market product analysis, investment management, or managing branches of an applicant ; (c) duties concerning control, supervision, and administration of operation of business units, work
market product analysis, investment management, or managing branches of an applicant; (c) duties concerning control, supervision, and administration of operation of business units, work performance
. Clause 18.25 A securities company shall trade securities to conform to the instruction of the owner of the account and shall have a reliable system to verify that person instructing the orders or managing
that person instructing the orders or managing the assets in the client’s account is the rightful owner or the person, with written authorization, entrusted by the rightful owner. Clause 19. A securities
” means a prospectus which is identical to a draft prospectus filed with the Office; (12) “market maker” means a person appointed by a mutual fund management company to perform duty in managing the trading
identical to a draft prospectus filed with the Office; (12) “market maker” means a person appointed by a mutual fund management company to perform duty in managing the trading price of investment units of an