person under (6) makes interference with the subscription or allotment of securities of the securities company which manages such mutual fund so that such mutual fund obtains benefits in such a manner that
which manages such mutual fund so that such mutual fund obtains benefits in such a manner that does not comply with the fair allocation principle; and (7) a person to whom an offeror of newly issued
of clients ; (2) operating in a manner that does not cause any obstacle to compliance with the governing laws or related regulations of the authority or affect the supervisory efficiency of the
; (2) operating in a manner that does not cause any obstacle to compliance with the governing laws or related regulations of the authority or affect the supervisory efficiency of the intermediary or the
complaints relating to customer solicitation arising from the performance of duties of the representative or the employees of the marketing representative of private funds in a similar manner with handling of
similar manner with handling of complaints arising from the performance of duties of its employees. 3 Repealed for amendment by the Notification of the Securities and Exchange Commission, No. Kor Khor. 29
employees of the marketing representative of private funds in a similar manner with handling of complaints arising from the performance of duties of its employees. 3 Repealed for amendment by the Notification
- person and such transaction is in the manner of unfair treatment to the fund or causing fund to lose its best benefit. Except that the transaction is specified in Clause 13; (3) Management company perform
(Translation) - 4 - person and such transaction is in the manner of unfair treatment to the fund or causing fund to lose its best benefit. Except that the transaction is specified in Clause 13; (3) Management
licensee shall maintain the shareholding proportion in the manner required under Clause 2 at all time during which it has been granted the license for gold derivatives brokerage business. If the licensee