) “specific advice” means investment advice given to any person which is suitable to the investment objective, financial status, or requirements of such person. Chapter 1 Operational Control _____________
agent for selling investment units or receiving requisition of investment unit redemption; (2) the appointment of a marketing representative of private fund . Chapter 1 Appointment of a Representative
appointment of a marketing representative of private fund. Chapter 1 Appointment of a Representative ___________________ Division 1 3 Appointment of an agent for selling investment unit or receiving requisition
information, internal audit, compliance or other services which are similar to above. Chapter 1 General --------------------------------------- Clause 3. In off-exchange service of derivatives broker
(Translation) 2 Chapter 1 General --------------------------------------- Clause 3. In off-exchange service of derivatives broker, derivatives broker shall provide service only for institutional investor, and in
are comparable to this Notification. Chapter 1 Risk Management System ______________________________ Clause 4. Securities company must have in place written policies and procedures concerning risk
of other regulators and are subject to anti-money laundering and terrorist financing regulatory and oversight regimes that are comparable to this Notification. (Unofficial Translation) - 3 - Chapter 1
. (Unofficial Translation) - 3 - Chapter 1 Risk Management System ______________________________ Clause 4. Securities company must have in place written policies and procedures concerning risk management to
of the Securities and Exchange Commission. Chapter 1 Scope of the Provisions Clause 3. This Notification shall not apply to the appointment of a fund manager who makes decisions to invest or dispose of