” means a securities business operator or a derivatives business operators, but not including a business operator which is a commercial bank under the law on financial institution, a life insurance company
) “Subsidiary” means subsidiary company under Section 89/1; (2) “Connected person” means connected person as specified by the Notification of the Capital Market Supervisory Board concerning rules on connected
investment company or trust certificates of unit trust. In this regard, either investment company or unit trust shall have objective to invest in securities or financial instruments. “CIS operator” means any
2004; the Office of the Securities and Exchange Commission hereby issues the following regulations: Clause 1. In this Notification: “Securities company” means any company licensed to undertake securities
of Investment Units dated 3 August 2004; the Office of the Securities and Exchange Commission hereby issues the following regulations: Clause 1. In this Notification: “Securities company” means any
company” means any company licensed to undertake securities business in the category of securities brokerage, securities dealing, securities underwriting, mutual fund management, private fund management and
who is assigned by the board of directors to be the highest level responsible for the management of the company regardless of whichever name is called; (3) “authorized management person” means a deputy
December 2008, the Office hereby issues the following regulations: Clause 1 A company wishing to offer for sale of newly issued share warrants and underlying shares to the public shall file with the Office