Clause 10 In engaging in proprietary trading, a securities intermediary in the category of mutual fund management or private fund management shall supervise that short- term investment shall not be made
payment information of intermediary for money transfering between customers and intermediary ; (3) sending transfer instruction to banks as an agent for intermediary . “ fund ” means mutual fund, private
payment information of intermediary for money transfering between customers and intermediary; (3) sending transfer instruction to banks as an agent for intermediary. “fund” means mutual fund, private fund
services of intermediary , including any fund , unit holder and member of provident fund. “ fund ” means a mutual fund or a private fund. “ capital market products ” means any securities and derivatives
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Providing Compliance Unit of an Intermediary
Broker dated 2 April 2008; (5) Notification of the Capital Market Supervisory Board No. TorThor. 46/2553 Re: Rules on Applying for and Permission of Establishing Branch Offices of Derivatives Broker (No. 2
of an intermediary ’s service and shall include fund , unitholder or member of the provident fund; “ fund ” means a mutual fund, private fund and provident fund; “ central utility function ” means a