addition, the SEC will extend the scope of services for category B derivatives investor contact limited to gold derivatives to cover precious metals derivatives, and will allow selling agents whose services
Custody of Assets of Clients by Licensed Derivatives Brokers (No. 3)
Appointment of Agents for Selling Investment Units or Receiving Requisition of Investment Unit Redemption and Marketing Representatives of Private Funds
planning whereby securities brokers and derivatives agents would be allowed to offer services on asset allocation and investment planning in the forms of program trading and portfolio advisory with
Rules, Conditions and Procedures for Appointment of Agents for Selling Investment Units or Receiving Requisition of Investment Unit Redemption and Marketing Representatives of Private Funds
companies with clients who are securities companies under foreign law and acting as brokers or agents in trading or exchange of securities for others (inter-brokers) to additionally conduct a Know-Your
Maintenance of Capital of Mutual Fund Management Companies, Private Fund Management Companies, Securities Brokers and Dealers, and Underwriters Limited to Investment Units and Derivatives Fund
Rules, ConditioRules, Conditions and Procedures for Appointment of Agents for Selling Investment ns and Procedures for Appointment of Representatives for Sale or Acceptance of Redemption of
Detailed Rules on Maintenance of Capital of Mutual Fund Management Companies, Private Fund Management Companies, Securities Brokers and Dealers and Underwriters limited to Investment Units and