; (2) “supervisor” means a person in charge of supervising the work of financial advisory unit who has been or is to be assigned to co-sign with the financial advisor in the letter of certification of
natural person who ultimately owns the account, or has significant interests in the customer’s transactions; (4) “ultimate controlling person of the transactions” means a natural person who ultimately
in the customer’s transactions; (4) “ultimate controlling person of the transactions” means a natural person who ultimately exercises effective control in relation to the customer’s account or
owns the account, or has significant interests in the customer’s transactions; (4) “ultimate controlling person of the transactions” means a natural person who ultimately exercises effective control in
) government bond; (2) treasury bill; (3) bond issued by a state enterprise or a juristic person established by specific law and guaranteed unconditionally for the principal and the interest in full by the
to undertake securities business in the category of securities dealing; “counter trader” means a person who trade securities with securities company; “client” means a counter trader which is not a
foncier companies; (Translation) -2- (5) insurance companies; (6) juristic persons but not include any juristic person as prescribed in (8); (7) international financial institutions; (8) government agencies
not been approved by the Office, the company shall state [in the advertisement] that the mutual fund is under the Office’s consideration for approval of establishment and management. Clause 9. In case
such fund’s establishment to the Office. In case that the application for establishment and management of the mutual fund has not been approved by the Office, the company shall state [in the