or need of such person; “Office” means The Office of the Securities and Exchange Commission. Chapter 1 Operation Control Clause 4. Securities company shall have an effective internal control system
shall also apply to securities dealing of a securities company mutatis mutandis . Chapter 1 Operational Control ___________ Clause 6 A securities company shall establish rules in writing, which are
company. Clause 5 The provisions in Clause 19 shall also apply to securities dealing of a securities company mutatis mutandis. Chapter 1 Operational Control ___________ Clause 6 A securities company shall
Approval and Criteria for Granting Approval regarding Offer for Sale of Units ______________________ Chapter 1 Submitting of an application ______________________ Clause 5 Any person who wishes to submit an
; (21)5 “seller of real estate” means a person who will sell, transfer, lease or grant the rights to real estate to a real estate investment trust. Chapter 1 Application for and Granting of Approval
company wishing to establish a fund shall comply with the following rules: (1) Application for Approval for the Establishment of a Fund in Chapter 1; (2) Post-approval Proceeding in the following matters in
Chapter 1; (2) Post-approval Proceeding in the following matters in Chapter 2; (a) General Provisions in Part 1; (b) Allotment and Offer for Sale of Units of the Fund in Part 2; and (c) Investment in
Limited. Provided that, the provisions in Part 1 of Chapter 1 shall apply particularly for mutual fund management company and private fund management company which is a limited company or a public limited